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FCPA - Foreign Corrupt Practices Act Compliance Program Fundamentals for In-House Compliance Departments

FCPA Compliance has become a crucial part of the compliance obligation of every US company engaged in international business. The penalties for violations and bad publicity for allegations of corruption can seriously damage even large companies.  The record number of U.S. and international bribery and corruption investigations over the past few years is a clear warning to all companies engaged in international business that compliance is not optional. To limit your exposure to investigations, fines and sanctions, the establishment of a robust FCPA compliance program customized to your company’s business and risk is essential in today’s increasingly global economy. And beyond the threat of fines and bad publicity, failure to control corruption or keep accurate books and records in your company is bad business. Most US public companies FCPA Compliance Programs may not be sufficiently robust to qualify as “adequate procedures” under the UK Bribery Act or to support credit under the US Federal Sentencing Guidelines. This program will focus on the practical aspects of establishing and running an FCPA Compliance Program which will be able to meet the tough standards established under those laws. 

Turning 'Theory' into 'Practice'?

This hands-on, interactive training will provide you with practical explanation of the required elements of an anti-corruption compliance program, with discussions of risk evaluation, the content of policies and programs, business partner due diligence, training and other processes. In addition, it will focus on internal FCPA investigations and responses to external investigations. Participants will develop a written roadmap for their company’s anti-corruption compliance program. Participants will want to come to the sessions with a thorough knowledge of their company’s current FCPA Compliance Program and a willingness to discuss aspects of it in a confidential learning environment.Register for this must-attend FCPA course and learn how limit the risks of inadvertent and intentional non-compliance in your organisation.

Who should attend?

Compliance personnel from public companies who want a structured, in depth understanding of the international anti-corruption compliance. Compliance Directors setting up an internal"Train the Trainer " program. In-house lawyers with responsibility for FCPA Compliance.Business people involved in international business who want to understand international anti-corruption law and compliance and understand their company’s risk. Leads, Heads, VPs. SVPs, Directors and In-House Counsel with interest & responsibilities & involvement in the following areas: - FCPA - Foreign Corrupt Practices Act - Anti-Corruption - Compliance & Ethics -Corporate Governance - Forensics Accounting - Regulatory Affairs - Internal / Corporate Audit - Risk Management - Investigation - Legal Affairs - Corporate Fraud

Key areas to be covered in the programme and documentation

1. Overview of International Corruption and Anti-Corruption Law 
    -How corruption takes place in various countries/industries
   - What happens in your industry
   - Which laws apply to your company

  -  Government corruption and commercial corruption

   - The Corruption Perception Index
   - Discussion of FCPA risk and risk assessment/management

 -  Views of the US DOJ and EC

2.  The FCPA
     - Short background
     - Bribery
     - Books and Records
     - Corporate Controls
     - Penalties
     - Roles of DOJ, SEC and FBI
     - Liability of individual corporate management and employees
     - Jurisdiction issues
     - Enforcement history and trends
     - Discussion of a few recent cases

 

3. Other Countries' Legislation and Treaties 

   - OECD
   - UN Convention Against Corruption
   - UK Bribery Act
   - Germany and others
   - International trends

 -  Criminalization of Commercial Corruption

4.  Corporate Responsibility 
- Board of Directors
- Management
- Control persons
- Role of the Federal Sentencing Guidelines
- Risk assessment
- Building an internal team
- Role of "Legal" and role of "business management.'"

- The value of showing up

- Establishing your program

   - Creating your roadmap
   - Budget:  No budget = No program
   - Accountability:  No one accountable = No program

 

5. Elements of a Program
   - The 12 Elements of an Anti-corruption Compliance Program

   - The 7 Elements in the Federal Sentencing Guidelines
   - What are "Adequate Procedures" under the UK Law?
   - What must be in your "policy?"

   - How do you weigh and prioritize these elements in your company’s program?

   -  Facilitating Payments – a bad practice


6. Gifts, Hospitality and Entertainment and Travel

-          What is the issue with corporate hospitality?

-          Establishing controls on corporate hospitality is a business issue

-          Reasonable business expenses/lavish expenses/bribery

-          What is substantial business justification?

-          Charitable donations and political donations

-          Running your system of controls

-         
7. Dealing with Company Management and Employees

-          Roles of the Board, senior management, Legal and other functions

-          Who is on your FCPA team?  Business, Finance, Legal, Compliance

-          Who in your company has the responsibility for FCPA Compliance?

-          Who in your company has the budget for FCPA Compliance?

-          FCPA considerations in your hiring process

-          Creating and enhancing tone at the top

-          Training your board, managers and employees

- in person training
- on line training
- training that works

 

8. Dealing with "business partners"

 - Vicarious liability, knowledge and why business partners can get you in trouble.

 - Industry differences
- Interaction between employees and partners
- What happens in your company/ industry?
- Contract terms are extremely important

 - Does your standard “audit” clause hinder your FCPA program?

 - What is business partner due diligence?

 - Training your business partners. What is required?
- Monitoring business partners

 

9. Due Diligence Programs and Best Practice

 

-          Business partner due diligence is a requirement

-          What is being done as best practice?

-          What is done in your industry

-          What do you do in your company?

-          Internal and external aspects of due diligence

-          Providers/costs/time/tools/budget

-          M & A Due diligence

10. Internal Investigations   

-          What makes FCPA Investigations different

-          Anatomy of an internal investigation

-          How to use your internal "virtual team"

-          When/how to use outside counsel

-          Poor investigations can harm your company

-          Attorney client privilege

-          Corporate Miranda

-          How much is enough?

-          Reports – written?

-          Self-disclosure  - Who decides and what are the factors/risks.

  -           How long do you remain at risk?

 

11. Cases Brought by the Government

- Cases brought by DOJ and/or SEC
- How cases are found, investigated and initiated by government
- Cases by foreign police/prosecutors

       - Multi-jurisdictional investigations

     - How do you respond?

       - Representation of individuals
       - Cooperation

12.  Current Trends and Developments –

13.  Hypothetical Situations, Preparation of an FCPA Compliance Program Roadmap

Benefits to you

- Increasing understanding of the FCPA and global anti-corruption regulations

- Guidance in developing a robust and efficient anti-corruption compliance program

- Developing a basis to analyze the strengths and weaknesses of your FCPA program

- The opportunity to discuss real life FCPA compliance issues with peers

- Assessing the sources and extent of FCPA risk in your company -

 Practical discussion on performing effective (and cost effective) internal investigations

- A setting to ask questions and assess your company’s FCPA program

Companies already benefiting include:

Duration of Course

2 Day Course

Course details

 

Looking to train larger teams in this subject?

 


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or dzingim@marcusevansuk.com

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or training@marcusevanscz.com

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