LOCATION2nd Fl M'fiche
Sub-Location /Cabinet 12-14/
Call No. KF325 .A95 06652
Author Deming, Stuart H., 1951-
Title The Foreign Corrupt Practices Act and the new international norms [microform] / Stuart H. Deming.
 About the Authorxiii
 Prefacexv
 Introductionxvii
pt. I THE FOREIGN CORRUPT PRACTICES ACT 
I.Overview of the Foreign Corrupt Practices Act3
 Two Mechanisms3
 Lack of Judicial Review4
II.The Anti-Bribery Provisions7
 Scope and Jurisdiction7
 Issuers8
 Domestic Concerns10
 Any Other Person While in U.S. Territory12
 Essential Elements12
 Individual or Entity Subject to the Anti-Bribery Provisions13
 Willfully14
 Corrupt Intent15
 Made or Authorized Payment, Offer, or Promise16
 Anything of Value17
 Foreign Official18
 Influencing an Official Act20
 Obtain or Retain Business21
 Exceptions and Affirmative Defenses22
 Expediting Payments22
 Bona Fide Business Expenditures24
 Local Law26
 Opinion Procedure26
III.The Accounting and Record-Keeping Provisions41
 Scope and Jurisdiction42
 Issuers42
 Subsidiaries42
 Individuals43
 The Record-Keeping Provisions43
 Falsification of Books and Records44
 Material Misrepresentations or Omissions to Auditors46
 The Internal Accounting Controls Provisions47
 Elements of an Internal Control System48
 Broad Reach of Internal Accounting Control Provisions49
IV.Vicarious Liability59
 The Anti-Bribery Provisions60
 Third-Party Conduct60
 Requisite Knowledge61
 Authorization64
 Registering Disapproval65
 Control65
 The Accounting and Record-Keeping Provisions67
 Criminal Liability67
 Civil Liability68
 Other Forms of Vicarious Liability in a Criminal Context68
 Conspiracy69
 Aiding and Abetting69
 Implications69
 Control Person Liability70
 Knowledge of an Entity70
V.Enforcement75
 Criminal Enforcement76
 Accounting and Record-Keeping Provisions76
 Factors Considered in Charging an Entity78
 Deferred Prosecution and Non-Prosecution Agreements79
 Penalties80
 Civil Enforcement82
 No "Knowing" Requirement under Accounting and Record-Keeping Provisions82
 SEC Enforcement Considerations83
 Penalties84
 Statutes of Limitations85
Appendix I-A Foreign Corrupt Practices Act97
Appendix I-B Part 1: Record-Keeping Regulations119
Appendix I-B Part 2: Reporting on Internal Controls121
Appendix I-C Part 1: Foreign Corrupt Practices Act Opinion Procedure129
Appendix I-C Part 2: Foreign Corrupt Practices Act Opinion Procedure: Annotated Index of Review and Opinion Procedure Releases135
Appendix I-C Part 3: Foreign Corrupt Practices Act Opinion Procedure: Review and Opinion Procedure Releases149
Appendix I-D Part 1: United States Attorneys' Manual: 9-47.000 Foreign Corrupt Practices Act of 1977 (as amended)235
Appendix I-D Part 2: United States Attorneys' Manual: Title 9 Criminal Resource Manual: FCPA-Related Issues239
Appendix I-D Part 3: United States Attorneys' Manual: 9-28.000 Principles of Federal Prosecution of Business Organizations245
Appendix I-D Part 4: United States Attorneys' Manual: Title 9 Criminal Resource Manual: Selection and Use of Monitors267
Appendix I-E United States Department of Justice: Lay-Person's Guide to FCPA275
Appendix I-F SEC Staff Accounting Bulletin: No. 99---Materiality283
Appendix I-G U.S. Sentencing Guidelines for Organizations: U.S.S.G. [§] B2.1297
pt. II THE NEW INTERNATIONAL NORMS 
VI.Overview of the New International Norms305
 The New International Norms305
 Implications for Enforcement307
VII.The OECD Convention309
 Overview of OECD Convention310
 Scope and Jurisdiction310
 Foreign Official310
 Transfers of Value311
 Intent and Vicarious Liability311
 Sanctions and Corporate Criminal Responsibility312
 International Cooperation312
 Monitoring and Follow-Up313
 Outstanding and Emerging Issues313
 Political Candidates, Political Parties, and Party Officials313
 Books and Records314
 Jundical Entities314
 Status of Implementation and Enforcement314
VIII.Inter-American Convention Against Corruption319
 Overview of the Inter-American Convention319
 Public Official319
 Passive Bribery320
 Transnational Bribery320
 Illicit Enrichment321
 Cooperation321
 The Inter-American Convention's Monitoring Mechanism321
IX.Council of Europe Criminal and Civil Law Conventions325
 The Council of Europe Criminal Law Convention325
 Overview of CoE Criminal Law Convention325
 Additional Protocol to CoE Criminal Law Convention329
 Council of Europe Civil Law Convention330
 Overview of CoE Civil Law Convention330
 Implications of CoE Civil Law Convention332
X.United Nations Convention against Corruption337
 Overview of UN Convention337
 Public Official338
 Corruption Offenses338
 Private Sector341
 Preventive Measures342
 Asset Recovery342
 Cooperation343
 Monitoring343
 Ramifications of UN Convention343
XI.Multilateral Lending Institutions347
 The World Bank347
 Anti-Corruption Policies and Guidelines348
 Investigation of Questionable Conduct349
 Voluntary Disclosure Program353
 Member Governments and Government Officials354
 Regional Development Banks354
XII.Other International Developments361
 Other Regional Anti-Bribery Conventions361
 AU Convention361
 European Union363
 Related International Developments364
 Eliminating Tax Deductibility of Bribes to Foreign Officials364
 Export Credit Agencies364
 Intervention by National Governments365
 Non-Governmental Organizations366
 International Chamber of Commerce367
 Transparency International368
Appendix II-A Part 1: Convention on Combating Bribery of Foreign Public Officials in International Business Transactions373
Appendix II-A Part 2: Commentaries on the Convention on Combating Bribery of Foreign Public Officials in International Business Transactions381
Appendix II-B Inter-American Convention Against Corruption389
Appendix II-C Part 1: Council of Europe Criminal Law Convention on Corruption401
Appendix II-C Part 2: Explanatory Report on the Council of Europe Criminal Law Convention on Corruption417
Appendix II-C Part 3: Additional Protocol to the Criminal Law Convention on Corruption457
Appendix II-C Part 4: Explanatory Report on the Additional Protocol to the Criminal Law Convention on Corruption463
Appendix II-D Part 1: Council of Europe Civil Law Convention on Corruption475
Appendix II-D Part 2: Explanatory Report on the Council of Europe Civil Law Convention on Corruption483
Appendix II-E Part 1: United Nations Convention against Corruption501
Appendix II-E Part 2: Interpretative Notes for the Official Records (Travaux Preparatoires) of the Negotiation of the United Nations Convention against Corruption547
Appendix II-F African Union Convention on Preventing and Combating Corruption561
Appendix II-G Part 1: World Bank Vendor Eligibility Policy575
Appendix II-G Part 2: World Bank Procurement and Consultant Guidelines581
Appendix II-G Part 3: The World Bank's Anti-Corruption Guidelines and Sanctions Reform: A User's Guide585
Appendix II-G Part 4: International Bank for Reconstruction and Development and International Development Association Sanctions Procedures599
Appendix II-G Part 5: World Bank Department of Institutional Integrity Voluntary Disclosure Program Terms & Conditions617
Appendix II-H Web Sites Relevant to Anti-Corruption Issues629
pt. III COMPLIANCE 
XIII.Instituting Protective Measures643
 Avoiding an Investigation643
 Disruptions Associated with Investigations644
 Perception of Enforcement Officials644
 Compliance Programs645
 Impact of U.S. Federal Sentencing Guidelines646
 General Considerations647
 Affiliates651
 Due Diligence652
 Documentation653
 Red Flags654
 Smaller Entities and Cost-Effective Due Diligence659
 Written Agreements661
 Termination Provisions661
 Cultural Sensitivities662
 Expediting Payments662
 Structuring Agreements662
 Withdrawal665
XIV.Responding to Potential Violations671
 Identifying Potential Violations671
 Assessing the Situation672
 Internal Investigations672
 Disclosure Issues675
 Justice Department Disclosure Policy676
 SEC Disclosure Policy677
 Disclosures in Financial Statements678
XV.Other Considerations685
 Implications for Business, Employment, and Client Relationships685
 Private Rights of Action685
 Suspension or Debarment686
 Public-Policy Exception to At-Will Employment686
 Enforcement of Contracts686
 Securities Fraud687
 The Role of Accountants and Auditors687
 Auditor's Role in Detecting Fraud687
 The Sarbanes-Oxley Act692
 Protected Information694
 Conclusion694
Appendix III-A Introduction to Sample Forms699
Appendix III-B Checklist for Establishing an Effective Compliance Program701
Appendix III-C Accounting and Record-Keeping Policies707
Appendix III-D Prohibited Foreign Business Practices Policies711
Appendix III-E Prohibited Business Practices Policies715
Appendix III-F Part 1: Memorandum to Executives and Managers721
Appendix III-F Part 2: Memorandum to Chief Financial Officer727
Appendix III-F Part 3: Confirmation of Compliance---Short Form729
Appendix III-F Part 4: Confirmation of Compliance---Long Form731
Appendix III-G Special Guidelines for the Conduct of International Business737
Appendix III-G Part 2: Certification of Compliance with Special Guidelines for the Conduct of International Business741
Appendix III-H Compliance Manual743
Appendix III-I Part 1: Compliance Policies and Procedures of Company with Operations in High Risk Areas747
Appendix III-I Part 2: Certification of Compliance751
Appendix III-J Part 1: Quarterly Report to Compliance Unit or Corporate Audit753
Appendix III-J Part 2: Quarterly Report to Compliance or Corporate Audit Regarding Payments to Government Officials757
Appendix III-K Sample Compliance Provisions759
Appendix III-L Representation or Consulting Agreement: Compliance-Related Provisions767
 Index781
Published Chicago, Ill. : Section of International Law, American Bar Association, c2010.
Edition 2nd ed.
Description xviii, 801 p. ; 26 cm.
Series International practitioner's deskbook series
International practitioner's deskbook series.
Bibliography Includes bibliographical references and index.
Contents Overview of the Foreign Corrupt Practices Act -- The anti-bribery provisions -- The accounting and record-keeping provisions -- Vicarious liability -- Enforcement -- Overview of the new international norms -- The OECD convention -- Inter-American Convention Against Corruption -- Council of Europe criminal and civil law conventions -- United Nations Convention Against Corruption -- Multilateral lending institutions -- Other international developments -- Instituting protective measures -- Responding to potential violations -- Other considerations.
Reproduction Microfiche. [Buffalo, NY] : W.S. Hein Co., [1993-]. microfiche : negative ; 11 x 15 cm. American Bar Association archive publications.
Subject United States. Foreign Corrupt Practices Act of 1977.
Bribery -- United States.
Corporation law -- Criminal provisions.
Corporation law -- United States -- Criminal provisions.
Corporations, American -- Law and legislation -- United States -- Criminal provisions.
Disclosure of information -- Law and legislation -- United States -- Criminal provisions.
Foreign trade regulation -- United States -- Criminal provisions.
International and municipal law -- United States.
Corporate Author American Bar Association. Section of International Law.
Alternate Title American Bar Association archive publications.
Related to Print version: Deming, Stuart H., 1951- Foreign Corrupt Practices Act and the new international norms Chicago, Ill. : Section of International Law, American Bar Association, c2010. (IEN-L)5757963 (DLC) 2009051893
ISBN 9781604426045 (pbk.)
1604426047 (pbk.)
Isbn/Issn hein5757963
OCLC No. or Control No. 746766813