Anti-Corruption & FCPA

Transcription

1 Anti-Corruption & FCPA P R A C T I C E

2 ANTI-CORRUPTION & FCPA PRACTICE NEW YORK 1285 Avenue of the Americas New York, NY BEIJING Unit 3601, Office Tower A Beijing Fortune Plaza No. 7 Dongsanhuan Zhonglu Chaoyang District, Beijing People s Republic of China HONG KONG 12th Fl., Hong Kong Club Building 3A Chater Road, Central Hong Kong Our team has unsurpassed experience in counseling and defending U.S. and foreign companies and individuals in matters relating to the U.S. Foreign Corrupt Practices Act (FCPA) and similar anti-corruption laws. We are frequently contacted by companies when a potential corruption issue arises, and we are go-to counsel for investigations and enforcement proceedings before the U.S. Department of Justice (DOJ), the Securities & Exchange Commission (SEC) and the Multilateral Development Banks, including the World Bank. In addition, we are often called upon to advise clients who are considering transactions in high-risk markets or with business partners with high anti-corruption risks. We also advise clients who are designing compliance programs and are conducting risk assessments. A R E C O R D O F R E S U LT S : LONDON We help some of the world s best-known companies resolve multi-regulator, global anticorruption investigations either without any enforcement action, where possible, or by achieving resolutions significantly more favorable than the government s initial assessment. We have also successfully represented numerous senior foreign and U.S. executives and board members in criminal and civil investigations arising under the FCPA and related laws. TOKYO W E U N D E R S TA N D T H E R E G U L AT O R S : Alder Castle, 10 Noble Street London EC2V 7JU United Kingdom Fukoku Seimei Building 2F, 2-2, Uchisaiwaicho 2-chome Chiyoda-ku, Tokyo Japan TORONTO Toronto-Dominion Centre 77 King Street West, Suite 3100 Post Office Box 226 Toronto, ON M5K 1J3 Canada WASHINGTON, DC 2001 K Street, NW Washington, DC WILMINGTON 500 Delaware Avenue, Suite 200 Post Office Box 32 Wilmington, DE Our team includes a former senior DOJ official who was in charge of FCPA enforcement. It also includes nationally recognized trial lawyers, numerous former federal prosecutors and former SEC officials, all with extensive experience in all aspects of the FCPA, as well as the former Chief Ethics and Compliance Officer of a Fortune 200 company. The team has a unique balance of behind-thescenes knowledge and depth of experience, allowing us to anticipate and respond to complex anti-corruption challenges that others might miss. We have an active docket of matters before the DOJ and SEC, giving us regular contact with lawyers representing the U.S. government and other enforcement authorities in foreign bribery investigations. ADVICE WITHOUT BOUNDARIES: In addition to conducting internal investigations around the world and across virtually all industries, we routinely represent clients in enforcement proceedings and investigations before foreign regulatory and enforcement agencies, such as the U.K. Serious Fraud Office, in conjunction with our legal partners around the globe. We also advise boards of directors, audit committees, general counsels and senior management regarding the design, implementation and enhancement of compliance programs, disciplinary actions impacting company employees and remedial measures for companies worldwide. PROACTIVE, VIGILANT COUNSEL: We focus on reducing future risk by keeping companies and boards ahead of the enforcement curve and have performed hundreds of transactional due diligence and risk assessments related to anti-corruption compliance. Clients also rely on us to design and assess compliance programs, to create and revise policies and procedures, and to conduct employee and board training. We advise clients on a daily basis on the adequacy of business partner and third party due diligence, structuring joint venture compliance, and entering high-risk businesses and geographical locations.

3 INVESTIGATIONS & DEFENSE AFRICA A financial institution in a government FCPA and money laundering investigation involving Equatorial Guinea and Angola. EUROPE A major U.S. oil and gas company in an FCPA investigation involving Angola and Nigeria. A global producer of specialty chemical products in internal and government investigations involving alleged improper third-party payments in its operations in West Africa, including Chad, Burkina Faso, Mali and Ghana. The Audit Committee of a publicly traded mining investigation of alleged improper transactions involving political party officials and a Black Economic Empowerment transaction. A S I A - PA C I F I C R E G I O N in the successful resolution of an investigation conducted by various authorities, including the DOJ and SEC, into whether its hiring practices in Asia complied with anti-corruption laws. A senior compliance professional of a medical technology company in connection with a DOJ A company in the gaming and hospitality industry in a DOJ and SEC FCPA investigation in connection with the company s operations GAMING AND HOSPITALITY A major motion picture company in asset forfeiture and potential money laundering issues associated with payments owed to Red Granite Pictures in connection with the distribution and financing of the movies The Wolf of Wall Street and Daddy s Home. A U.S. financial institution in an internal investigation relating to alleged improper payments in its Indian subsidiary. A U.S.-listed medical device company in an investigation of potential FCPA concerns relating to its operations An international cruise line and its European subsidiary in investigation regarding business partners and hospitality issues GAMING AND HOSPITALITY A financial software company in sanctions proceedings brought by the World Bank Vice Presidency for Integrity (INT) alleging corruption in connection with a Mongolian government tender and employee hiring. TECHNOLOGY AND SOFTWARE in an SEC and DOJ to senior executives of a client. Appointed by a multilateral development bank to act as an independent inquiry officer to investigate alleged solicitation of bribes in Russia by one of its directors. A private Ukrainian technology company in connection with multiple sanctions proceedings before the World Bank arising from corruption, collusion and obstruction allegations involving multiple World Bankfinanced government tenders. TECHNOLOGY AND SOFTWARE A multinational Fortune 500 alleged improper third-party payments by one of its Eastern European subsidiaries. L AT I N A M E R I C A in an internal investigation concerning gift and entertainment expense activities involving stateowned and private clients in Japan and South Korea. A major publicly held U.S. food products company in an internal investigation of bribery allegations A manufacturing and retail firm in an internal by an affiliate to Chinese government-connected organizations. A major pharmaceutical allegations of kickbacks, misuse of travel agencies, and improper payments and gifts to healthcare providers Executives and managers of the Indian subsidiary of a multinational food and beverage conglomerate in connection with DOJ and SEC investigations concerning in connection with licensing issues. A major Hollywood motion picture studio and its parent an SEC FCPA investigation regarding its film distribution activities in China and various payments in its India operations. A global anti-corruption internal investigation for a Japanese trading company involving government tender projects in the UAE, Italy and Asia. A Japanese conglomerate in an investigation into allegations of accounting fraud at a Chinese subsidiary. A private equity firm in at a portfolio company in the oilfield services industry to Mexican government officials in connection with public tenders. A commodity trading firm in made by a joint venture partner to Venezuelan government officials in connection with state mandated inspections. A major U.S. financial services company in an investigation of alleged improper payments in Brazil. A Fortune 100 retail vendor and other third-party relationships involving operations in Mexico. A U.S. manufacturer in an FCPA investigation relating to activities in Brazil. The U.S. subsidiary of a Japanese electronics an investigation of bribery allegations in Mexico and Brazil. A senior executive at a medical device company in DOJ and SEC investigations of potential FCPA violations in Brazil and Mexico. A mining company in an internal investigation concerning alleged improper payments made in connection with Bolivian licensing issues. MIDDLE EAST The general counsel of a public oil and gas drilling services company in to employees of state-owned customers in Pakistan. A major television network in a DOJ FCPA investigation concerning its business relationship with an Egyptian government official. A major multinational lightweight metal manufacturer in the defense and resolution of SEC and DOJ investigations involving through a middleman/ distributor to officials in Bahrain. The Audit Committee of a leading international commercial real estate firm in a DOJ and SEC FCPA investigation of to an official with a Middle Eastern sovereign wealth fund in connection with the putative purchase of a skyscraper in Vietnam.

4 COMPLIANCE COUNSELING & DUE DILIGENCE ANTI-CORRUPTION & FCPA PRACTICE TEAM CO-CHAIRS DEPUTY CHAIRS Advising one of the world s largest hedge funds in anti bribery compliance. Providing ongoing FCPA compliance advice to one of the world s largest investment firms. A global financial services and payments processing firm in an internal review of its global anti-corruption policies and procedures. A pharmacy chain in connection with conducting due diligence on potential partners, and designing a compliance program based on 1) first-time China entry, and 2) a plan by another firm implemented in connection with Brazil entry. A Tokyo-based general trading company in connection with anti corruption due diligence relating to a high-risk oil and gas venture in Pakistan. A global beverage company in the design and implementation of its internal anti-corruption compliance program. Due diligence for a private equity firm on acquisition of Indian retail operations. FCPA compliance due diligence on and compliance program redesign for an international manufacturing company. Mark F. Mendelsohn Partner (202) mmendelsohn@paulweiss.com PARTNERS Alex Young K. Oh Partner (202) aoh@paulweiss.com Farrah R. Berse Counsel (212) fberse@paulweiss.com Peter Jaffe Counsel (202) pjaffe@paulweiss.com Jack Baughman (212) jbaughman@paulweiss.com Geoffrey R. Chepiga (212) gchepiga@paulweiss.com Roberto J. Gonzalez (202) rgonzalez@paulweiss.com Jacqueline P. Rubin (212) jrubin@paulweiss.com Compliance counseling for private equity group and associated portfolio companies. Conducted a risk assessment, and advised on enhancements to compliance program for a U.S. supermarket chain. Drafting policies and procedures for a large consumer products group. Third-party and transactional due diligence, and the provision of anti-corruption compliance advice, for a major U.S. film production studio. H. Christopher Boehning (212) cboehning@paulweiss.com David W. Brown (212) dbrown@paulweiss.com Leslie Gordon Fagen (212) lfagen@paulweiss.com Roberto Finzi (212) rfinzi@paulweiss.com Michele Hirshman (212) mhirshman@paulweiss.com Brad S. Karp (212) bkarp@paulweiss.com Richard C. Tarlowe (212) rtarlowe@paulweiss.com Theodore V. Wells Jr. (212) twells@paulweiss.com Complex FCPA due diligence on the Brazilian sub of the technology company target of a $1.05 billion acquisition, while the acquirer was subject to a government settlement agreement. Third-party diligence for a U.K. manufacturer of surveillance and security systems. Ongoing anti-corruption compliance advice and thirdparty and transactional due diligence for a major U.S. technology company. An integrated trading due diligence in its 70% acquisition of a water and sewage management company in Sao Paulo, Brazil. Jessica S. Carey (212) jcarey@paulweiss.com Jeanette K. Chan 011 (852) (212) NY Voic jchan@paulweiss.com COUNSEL Martin Flumenbaum (212) mflumenbaum@paulweiss.com Michael E. Gertzman (212) mgertzman@paulweiss.com Lorin L. Reisner (212) lreisner@paulweiss.com Walter G. Ricciardi (212) wricciardi@paulweiss.com Kaye N. Yoshino 011 (81-3) (212) NY Voic kyoshino@paulweiss.com TECHNOLOGY AND SOFTWARE TECHNOLOGY AND SOFTWARE TECHNOLOGY AND SOFTWARE Aaron S. Delaney (212) adelaney@paulweiss.com Harris Fischman (212) hfischman@paulweiss.com Donna Ioffredo (202) dioffredo@paulweiss.com Justin D. Lerer (212) jlerer@paulweiss.com Compliance advice for an energy company in connection with a potential seed investment in Uganda. Day-to-day compliance advice, anti-corruption training, anti-corruption policy review and due diligence for a U.S. renewable energy company. Advising on the design and implementation of a global anti-corruption compliance program for various Japanese trading companies. Advising on improvements to an anti-corruption compliance program for a U.S. business outsourcing company. Richard S. Elliott (202) relliott@paulweiss.com Rachel Fiorill (202) rfiorill@paulweiss.com Christopher D. Frey 011 (81-3) cfrey@paulweiss.com Daniel J. Juceam (212) djuceam@paulweiss.com Adam B. Schwartz (202) aschwartz@paulweiss.com 2017 Paul, Weiss, Rifkind, Wharton & Garrison LLP This brochure may contain attorney advertising. Prior results do not guarantee a similar outcome.

5 PAUL, WEISS, RIFKIND, WHARTON & GARRISON LLP