TreatiseTreatise

Global Business Fraud and the Law: Preventing and Remedying Fraud and Corruption

 by Rebekah J Poston, Colin R Jennings, Thomas E Zeno
 
 Copyright: 2015-2016
 Last Updated: May 2016

 Product Details >> 

Product Details

  • ISBN Number: 9781402424304
  • Page Count: 864
  • Number of Volumes: 1
  •  

Global Business Fraud and the Law: Preventing and Remedying Fraud and Corruption is a nuts and bolts guide to preventing business fraud and corruption, and remedying unlawful behavior should it occur.

Whether running a company that operates across international borders or providing legal counsel to such a company, this book provides invaluable guidance from expert practitioners from around the globe. The authors are seasoned and experienced white collar criminal and civil defense practitioners who write from personal experience.

Part I of the book explores the practical aspects of global compliance issues and the potential for internal investigations that organizations and individuals engaged in international commerce may confront. It covers topics such as:

  • Design, Implementation, and Operation of Global Compliance Programs
  • The Audit Committee’s Evolving Role in Overseeing Corporate Investigations
  • Foreign Corrupt Practices Act
  • Global Antitrust Cartel Enforcement
  • The Economic Espionage Act
  • International Intellectual Property Protection
  • OFAC Enforcement of U.S. International Economic Sanctions
Part II provides country-specific practice guides to the law of business fraud and corruption for several countries key to global commerce, including Russia, China, and Brazil, among others.
  Table of Contents
  Introduction
Chapter 1: Design, Implementation, and Operation of Global Compliance Programs
  • § 1:1 : Introduction1-2
  • § 1:2 : Elements of an Effective Anticorruption Compliance Program1-5
    • § 1:2.1 : The Enforcement Environment and Risk Assessment1-6
      • [A] : Understanding the Enforcement Environment1-6
        • [A][1] : The Foreign Corrupt Practices Act1-6
        • [A][2] : Anticorruption Law Beyond the FCPA1-10
      • [B] : Assessing Particularized Risks1-12
        • [B][1] : Countries of Operation1-12
        • [B][2] : Industries1-13
        • [B][3] : Third Parties, Agents and Successors1-13
    • § 1:2.2 : Creating Effective Compliance Policies and Procedures1-15
      • [A] : Leadership, Education and Training1-17
        • [A][1] : Leadership1-18
        • [A][2] : Communications and Training1-20
      • [B] : Monitoring, Investigation and Discipline1-21
        • [B][1] : Monitoring1-21
        • [B][2] : Investigations1-22
        • [B][3] : Discipline and Sanctions1-24
  • § 1:3 : Conclusion1-24
    • § 1:3.1 : Key Takeaways1-25
Chapter 2: Considerations in Global Internal Investigations
  • § 2:1 : Introduction2-1
  • § 2:2 : Triggering Events and the Benefits of Investigations2-2
    • § 2:2.1 : Triggering Events2-2
    • § 2:2.2 : Benefits of Investigations2-3
  • § 2:3 : Laying the Foundation: Selecting the Investigator and Formulating a Plan2-4
    • § 2:3.1 : Deciding on an Investigator2-5
    • § 2:3.2 : Reporting Functions2-7
    • § 2:3.3 : Support from the Top Down2-8
    • § 2:3.4 : Defining the Scope of the Investigation2-9
  • § 2:4 : Let the Investigation Begin2-10
    • § 2:4.1 : Preserving the Evidence2-10
    • § 2:4.2 : When to Impose Preliminary Discipline2-11
    • § 2:4.3 : Data Collection and Review: What About Privacy?2-12
    • § 2:4.4 : Conducting Witness Interviews2-16
  • § 2:5 : Is This Communication Privileged?2-19
  • § 2:6 : The Investigation Is Completed: What Now?2-20
    • § 2:6.1 : Whether to Issue a Written Report2-20
    • § 2:6.2 : Imposing Discipline After the Investigation Is Completed2-22
    • § 2:6.3 : Whether to Self-Report2-22
    • § 2:6.4 : Subsequent Remedial Measures2-23
Chapter 3: The Audit Committee’s Evolving Role in Overseeing Corporate Investigations
  • § 3:1 : Introduction3-2
  • § Figure 3-1 : CFOs Justify Action to Help Business Survive Downturn3-3
  • § Figure 3-2 : FCPA Enforcement Actions3-4
  • Table 3-1 : FCPA Enforcement Actions by Fiscal Year3-4
  • § 3:2 : Establishing the Framework for the Investigation3-4
    • § 3:2:1 : Common Subjects and Triggers for an Audit Committee Investigation3-5
  • Table 3-2 : Internal Investigation Sources3-6
    • § 3:2:2 : Preservation of Documents and Records3-7
    • § 3:2:3 : Understanding and Protecting Legal Privileges3-8
    • § 3:2:4 : Deciding Who Should Conduct the Investigation3-9
    • § 3:2:5 : Retention of Forensic and Other Consultants3-11
    • § 3:2:6 : Special Considerations When Dealing with Whistleblowers3-11
    • § 3:2:7 : Required Public Disclosures and Their Impact upon the Company’s Legal Interests3-12
    • § 3:2:8 : Avoid the Desire to Minimize or Provide Comfort3-14
    • § 3:2:9 : Managing Communications with the Company’s Various Constituencies3-15
    • § 3:2:10 : Dealing with the Company’s External Auditors During the Investigation3-16
  • § 3:3 : Conducting the Investigation3-17
    • § 3:3:1 : Document Review3-18
    • § 3:3:2 : Data Analysis3-18
    • § 3:3:3 : Interviewing Witnesses3-19
    • § 3:3:4 : The Need for Separate Legal Counsel for Employees, Managers and Board Members3-19
    • § 3:3:5 : Analysis of Internal Controls3-20
  • § 3:4 : Concluding the Investigation and Dealing with Regulators3-22
    • § 3:4:1 : Reporting to the Audit Committee3-22
    • § 3:4:2 : Reporting to the Company’s Auditors3-22
    • § 3:4:3 : Dealing with Regulators3-23
  • § 3:5 : Conclusion3-25
Chapter 4: Foreign Corrupt Practices Act
  • § 4:1 : Introduction4-1
  • § 4:2 : Enforcement4-4
  • § 4:3 : DOJ Opinion Releases4-6
  • § 4:4 : Knowledge4-7
  • § 4:5 : Anything of Value4-7
  • § 4:6 : Charitable Contributions4-8
  • § 4:7 : Foreign Officials4-9
  • § 4:8 : Public International Organizations4-12
  • § 4:9 : Third Parties4-12
  • § 4:10 : Affirmative Defenses4-14
  • § 4:11 : Facilitation Payments4-16
  • § 4:12 : Extortion/Duress4-17
  • § 4:13 : Corporate Liability4-17
  • § 4:14 : Successor Liability4-18
  • § 4:15 : Liability—Criminal and Civil4-20
  • § 4:16 : Statute of Limitations4-21
  • § 4:17 : Domestic Bribery and Corruption4-21
    • § 4:17.1 : Bribery4-22
    • § 4:17.2 : Gratuities4-22
    • § 4:17.3 : Conflicts of Interest4-24
    • § 4:17.4 : Commercial Bribery4-25
  • § 4:18 : Other Countries’ Anti-Bribery Laws4-25
Chapter 5: Conducting an FCPA Internal Investigation
  • § 5:1 : Introduction5-1
  • § 5:2 : Initial Steps5-2
  • § 5:3 : Selection of Outside Counsel5-3
  • § 5:4 : The Initial Meeting with the Client5-5
  • § 5:5 : Putting Together the Investigative Team5-8
  • § 5:6 : Preparation Before Going Abroad5-10
  • § 5:7 : Put the Investigative Plan on Paper5-12
  • § 5:8 : Review the Books and Records of the Company5-13
  • § 5:9 : Improving the Company’s Compliance Program5-14
  • § 5:10 : The Interviews5-14
  • § 5:11 : Document Review5-16
  • § 5:12 : Books and Records5-17
  • § 5:13 : Internal Controls5-18
  • § 5:14 : The Final Report5-20
  • § 5:15 : Content of Final Report5-21
  • § 5:16 : Voluntary Disclosure5-22
  • § 5:17 : Impact of the Yates Memo5-29
Chapter 6: Global Antitrust Cartel Enforcement: Identifying Risks and Ensuring Compliance
  • § 6:1 : Overview6-1
    • § 6:1.1 : Leniency: The Cartel Enforcer’s Primary Weapon6-5
    • § 6:1.2 : Responding to a Global Cartel Investigation: Protecting Confidential Information6-6
    • § 6:1.3 : The Aftermath of Cartel Enforcement: Private Damages Litigation6-9
  • § 6:2 : The Importance of Global Cartel Compliance6-13
Chapter 7: The Economic Espionage Act
  • § 7:1 : Development of the Economic Espionage Act7-1
  • § 7:2 : Keeping Your Secrets Safe7-2
  • § 7:3 : Avoiding Accusations of Economic Espionage or Theft of Trade Secrets7-11
Chapter 8: International Intellectual Property Protection
  • § 8:1 : Intellectual Property Types8-2
  • § 8:2 : Patent Issues—Patentable Subject Matter Variance8-3
    • § 8:2.1 : Software and Business Methods8-4
    • § 8:2.2 : Pharmaceuticals, Medical Treatment Methods, and Gene Sequences8-5
    • § 8:2.3 : Strategy Considerations8-5
  • § 8:3 : Trade Secrets8-6
  • § 8:4 : Trademarks8-7
    • § 8:4.1 : Ambush Marketing Basics8-8
      • [A] : Best Practices8-9
        • [A][1] : Traditional Trademark Law8-9
        • [A][2] : Event-Specific Statutes8-11
        • [A][3] : Contract Law8-12
        • [A][4] : Non-Legal Action8-13
    • § 8:4.2 : Trademark Squatting Basics8-14
      • [A] : International Trademark Agreements8-16
      • [B] : Best Practices for Combatting Trademark Squatters8-17
        • [B][1] : Legal Responses to Squatting8-17
        • [B][2] : Strategies to Avoid Squatters8-20
    • § 8:4.3 : Counterfeiting Basics8-21
      • [A] : International Counterfeiting Agreements8-22
      • [B] : Best Practices8-24
  • § 8:5 : Scams8-25
Chapter 9: OFAC Enforcement of U.S. International Economic Sanctions
  • § 9:1 : Introduction9-1
  • § 9:2 : International Emergency Economic Powers Act9-2
    • § 9:2.1 : OFAC Regulation of Persons Both U.S. and Non-U.S.9-3
    • § 9:2.2 : Limitations on OFAC Regulation of Non-U.S. Persons9-5
      • [A] : The Conspiracy Statute Cannot Supply What the Sanctions Laws Lack9-6
      • [B] : Extraterritorial Application of Criminal Statutes Would Violate Due Process9-9
    • § 9:2.3 : OFAC Regulation of “Services”9-10
    • § 9:2.4 : OFAC Regulation of Services Provided “to” a Target State9-12
  • § 9:3 : Criminal and Civil Enforcement9-14
  • § 9:4 : The Importance of Compliance9-15
Chapter 10: Business Fraud and the Law in Brazil: A Practical Guide to Advising and Defending Clients
  • § 10:1 : Introduction10-2
    • § 10:1.1 : Country Overview, Core Industries and General Business Environment10-2
      • [A] : Brazil Overview10-2
      • [B] : Introduction to the Brazilian Legal System10-3
    • § 10:1.2 : Overview of Enforcement Agencies10-4
    • § 10:1.3 : Overview of the Criminal Justice System10-5
  • § 10:2 : Overview of Business Fraud/Crimes10-5
    • § 10:2.1 : Corruption/Bribery by Private Citizens of Government Officials (Corrupção Ativa)10-6
    • § 10:2.2 : Solicitation of Bribe/Corruption by Government Officials (Corrupção Passiva)10-7
    • § 10:2.3 : Money Laundering10-7
    • § 10:2.4 : Fraud10-7
    • § 10:2.5 : Cartel10-7
    • § 10:2.6 : Illegal Transfer of Funds Abroad (Evasão de Divisas)10-7
    • § 10:2.7 : Environmental Crimes10-8
    • § 10:2.8 : Crimes against the Organization of Labor10-8
    • § 10:2.9 : Smuggling or Criminal Nonpayment of the Customs Duty10-8
    • § 10:2.10 : Crimes against the Tax System10-8
    • § 10:2.11 : Intellectual Property10-8
    • § 10:2.12 : Industrial Property10-9
    • § 10:2.13 : Bid Rigging10-9
  • § 10:3 : Defense Issues10-9
    • § 10:3.1 : Practices Used to Gather Evidence10-9
      • [A] : Civil Sphere10-9
      • [B] : Criminal Sphere10-10
    • § 10:3.2 : Recognition of Attorney-Client Privilege and/or Work Product Doctrine10-12
    • § 10:3.3 : Cross-Border Data Transfer10-13
    • § 10:3.4 : Ability to Settle Issues with Enforcement Agencies10-14
    • § 10:3.5 : Use of Leniency, Amnesty, Executive Pardon or General Pardon and Pardon by the Judge to Dismiss Punishability10-15
    • § 10:3.6 : Use of Parallel Proceedings10-15
    • § 10:3.7 : Gatekeeper Obligations on Counsel10-16
  • § 10:4 : Enforcement Issues10-17
    • § 10:4.1 : Extraterritorial Enforcement10-17
    • § 10:4.2 : International Cooperation10-17
    • § 10:4.3 : Typical Penalties10-19
      • [A] : Corporate10-19
        • [A][1] : Suspension of the Right to Participate in Public Biddings and Debarment from Government Contracts10-19
        • [A][2] : Corruption by Government Officials10-20
        • [A][3] : Anticorruption Law10-21
      • [B] : Prosecution of Individuals10-25
Chapter 11: Business Fraud and the Law in Russia: A Practical Guide to Advising and Defending Clients
  • § 11:1 : Introduction11-3
    • § 11:1.1 : Overview of Country, Core Industries and General Business Environment11-3
    • § 11:1.2 : Overview of Enforcement Agencies and Priorities of Those Agencies in Relation to Business Fraud/Crimes11-4
    • § 11:1.3 : Overview of Criminal Justice System and Related Process/Procedure for Business Fraud Matters11-5
  • § 11:2 : Overview of Business Fraud/Crimes11-6
    • § 11:2.1 : Corporate Fraud11-6
      • [A] : Civil Redress11-6
      • [B] : Administrative and Criminal Redress11-8
    • § 11:2.2 : Bribery and Corruption11-9
      • [A] : Introduction to Russian Anti-Corruption Law11-9
      • [B] : Corruption Defined11-9
      • [C] : Offering and Accepting a Bribe11-10
      • [D] : Administrative and Criminal Sanctions11-10
      • [E] : Introduction of Conflict of Interest Concept11-11
    • § 11:2.3 : Money Laundering11-12
    • § 11:2.4 : Competition Offenses11-13
      • [A] : Introduction to Russian Competition Law11-13
      • [B] : Monopolistic Agreements11-14
      • [C] : Investigatory Process11-15
      • [D] : Conflicts with Application of Anti-Corruption Law11-15
    • § 11:2.5 : Environmental and Employment Crimes11-17
      • [A] : Introduction to Russian Environmental Law11-17
      • [B] : Introduction to Russian Labor Law11-17
    • § 11:2.6 : Import/Export and Customs Offenses11-18
    • § 11:2.7 : Intellectual Property Theft and Other Infringement11-20
      • [A] : Patent Law11-20
      • [B] : Trademark Law11-20
      • [C] : Copyright Law11-22
      • [D] : Appellations of Origin11-22
      • [E] : Know-How11-23
      • [F] : The Intellectual Property Rights Court11-23
      • [G] : Protecting Intellectual Property from Theft/Infringement11-24
  • § 11:3 : Defense Issues11-24
    • § 11:3.1 : Recognition of Attorney-Client Privilege and Work Product Doctrine11-24
    • § 11:3.2 : Whistleblower Issues11-26
    • § 11:3.3 : Ability to Export Data/Information Across Borders; State Secrets11-27
    • § 11:3.4 : Amnesty and Leniency Offers/Practices11-29
  • § 11:4 : Enforcement Issues11-30
    • § 11:4.1 : Extraterritorial Enforcement11-30
    • § 11:4.2 : Penalties11-31
      • [A] : General Overview11-31
        • [A][1] : Penalties for Fraud11-32
        • [A][2] : Criminal Penalties for Corruption11-32
        • [A][3] : Administrative Penalties for Acts of Corruption11-35
        • [A][4] : Employment of Former Government Officials11-35
        • [A][5] : Restitution of Contracts11-36
        • [A][6] : Administrative and Criminal Liability for Competition Offenses11-37
        • [A][7] : Administrative and Criminal Liability for Environmental Offenses11-37
        • [A][8] : Administrative and Criminal Liability for Employment Offenses11-39
        • [A][9] : Administrative and Criminal Liability for Customs Legislation Violations11-40
        • [A][10] : Civil and Criminal Liability for Infringement of Intellectual Property Rights11-41
Chapter 12: Business Fraud and the Law in India: A Practical Guide to Advising and Defending Clients
  • § 12:1 : Introduction12-2
    • § 12:1.1 : Overview of Country, Core Industries and General Business Environment12-2
    • § 12:1.2 : Overview of Enforcement Agencies and Priorities of Those Agencies in Relation to Business Frauds/Crimes12-3
    • § 12:1.3 : Overview of Criminal Justice System and Related Process/Procedure for Business Fraud Matters12-7
  • § 12:2 : Overview of Business Crimes12-9
    • § 12:2.1 : Bribery and Corruption12-9
    • § 12:2.2 : Money Laundering12-10
    • § 12:2.3 : Corporate Fraud12-11
    • § 12:2.4 : Cartels and Other Competition Offenses12-12
    • § 12:2.5 : Corporate Tax Evasion12-14
    • § 12:2.6 : Environmental and Employment Crimes12-15
    • § 12:2.7 : Import/Export and Customs Offenses12-17
    • § 12:2.8 : Intellectual Property Theft and Other Information Infringements12-19
  • § 12:3 : Frauds in Public Procurement12-20
  • § 12:4 : Defense Issues12-25
    • § 12:4.1 : Practices Used to Gather Evidence12-25
    • § 12:4.2 : Attorney-Client Privilege and/or Work Product Doctrine12-25
    • § 12:4.3 : Whistleblower Issues12-26
    • § 12:4.4 : Ability to Export Data/Information across Borders; State Secrets12-27
    • § 12:4.5 : Ability to Resolve Matter with Enforcement Agencies12-29
    • § 12:4.6 : Use of Parallel Proceedings—Civil, Criminal and Administrative; Multinational12-30
    • § 12:4.7 : Gatekeeper Obligations on Counsel12-31
    • § 12:4.8 : Available Defenses12-31
    • § 12:4.9 : Sentencing Credit12-33
  • § 12:5 : Enforcement Issues12-34
    • § 12:5.1 : Extraterritorial Enforcement12-34
    • § 12:5.2 : International Cooperation12-35
      • [A] : International Agreements or Conventions12-35
      • [B] : Memoranda of Understanding12-36
    • § 12:5.3 : Typical Penalties12-37
      • [A] : Corporate12-37
        • [A][1] : Fines12-37
        • [A][2] : Disgorgement12-37
        • [A][3] : Restitution12-38
        • [A][4] : Debarment12-38
        • [A][5] : Dissolution12-39
      • [B] : Prosecution of Individuals12-39
        • [B][1] : Fines12-39
        • [B][2] : Restitution12-39
        • [B][3] : Disgorgement12-39
        • [B][4] : Forfeiture of Assets12-40
        • [B][5] : Prison12-40
Chapter 13: Business Fraud and the Law in China: A Practical Guide to Advising and Defending Clients
  • § 13:1 : Introduction13-3
    • § 13:1.1 : Overview of Country, Core Industries and General Business Environment13-3
    • § 13:1.2 : Overview of Enforcement Agencies and Priorities of Those Agencies in Relation to Business Fraud/Crimes13-4
    • § 13:1.3 : Overview of Criminal Justice System and Related Process/Procedure for Business Fraud Matters13-5
  • § 13:2 : Overview of Business Fraud/Crimes13-6
    • § 13:2.1 : Commercial Bribery13-6
      • [A] : General Introduction to P.R.C. Anti-Bribery Laws13-6
      • [B] : Offering and Accepting a Bribe13-6
      • [C] : Administrative and Criminal Sanctions13-7
    • § 13:2.2 : Money Laundering13-8
      • [A] : General Introduction to P.R.C. Money Laundering Laws13-8
      • [B] : Obligations of Financial and Non-Financial Institutions13-9
    • § 13:2.3 : Corporate Fraud13-10
      • [A] : Contract Fraud13-10
      • [B] : Securities Fraud13-11
      • [C] : Fraud in Commercial Transactions13-12
    • § 13:2.4 : Cartels and Other Competition Offenses13-13
      • [A] : Brief Introduction to the Applicable P.R.C. Laws13-13
      • [B] : Prohibited Behavior13-13
        • [B][1] : Monopoly Agreements13-13
        • [B][2] : Abuse of Dominant Market Position13-14
        • [B][3] : Concentration of Undertakings13-15
        • [B][4] : Abuse of Administrative Power to Restrict Competition13-17
      • [C] : Enforcement Authorities: Anti-Monopoly Commission, Anti-Monopoly Enforcement Authorities, and Their Local Branches13-18
        • [C][1] : Anti-Monopoly Commission13-18
        • [C][2] : Anti-Monopoly Enforcement Authorities13-18
        • [C][3] : Local Branches of the AMEAs13-19
      • [D] : Consequences/Liabilities13-19
        • [D][1] : Administrative Liability13-19
          • [D][1][a] : Forms of Liability13-19
          • [D][1][b] : Leniency13-20
        • [D][2] : Civil Liability—Compensation in the Form of Damages to Other Business Operators If a Loss Has Been Caused13-20
    • § 13:2.5 : Corporate Tax Evasion13-20
      • [A] : Administrative Provisions13-20
        • [A][1] : Law on Administration of Tax Collection and Its Implementation Rules13-20
        • [A][2] : Enforcement of Tax Payment13-21
        • [A][3] : Statute of Limitations13-21
      • [B] : Criminal Provisions13-22
        • [B][1] : Criminal Law and Its Amendment13-22
        • [B][2] : Elements of the Crime of Tax Evasion13-23
        • [B][3] : Exemption from Criminal Liability13-23
    • § 13:2.6 : Environmental Liabilities and Crimes13-24
      • [A] : Provisions Under Civil Law on Environmental Violations13-24
        • [A][1] : Elements of Tort Liability and Burden of Proof13-24
        • [A][2] : Public Interest Suits13-25
      • [B] : Administrative Obligations and Liabilities13-25
        • [B][1] : Environmental Assessments and Approval13-25
        • [B][2] : Energy Consumption and Reservation13-27
        • [B][3] : Emission, Discharge, and Disposal13-27
      • [C] : Criminal Liability13-28
        • [C][1] : Elements for Environmental Crime13-28
        • [C][2] : Representative Environmental Cases13-29
    • § 13:2.7 : Import/Export and Customs Offenses13-29
      • [A] : Basic Introduction of P.R.C. Import/Export and Customs-Related Law13-29
      • [B] : Relevant Authorities13-30
      • [C] : Special Issues13-30
        • [C][1] : Customs Declaration Procedure13-30
        • [C][2] : Customs Duties13-31
        • [C][3] : Commodities Inspection13-32
    • § 13:2.8 : Intellectual Property Theft and Other Information Infringements13-33
      • [A] : General Introduction to Provisions on IP Protection Under the Criminal Law, Patent Law, Trademark Law, and Copyright Law13-33
        • [A][1] : Criminal Law13-33
        • [A][2] : Patent Law13-34
        • [A][3] : Trademark Law13-34
        • [A][4] : Copyright Law13-35
      • [B] : Protecting IP from Theft/Infringement13-35
      • [C] : Remedies for IP Theft/Infringement13-36
  • § 13:3 : Defense Issues13-37
    • § 13:3.1 : Practices Used to Gather Evidence13-37
      • [A] : Investigation by Agents and Approaches Used in Criminal Cases13-37
      • [B] : Investigation by Agents and Approaches Used in Administrative Cases13-38
    • § 13:3.2 : Attorney-Client Privilege in China13-38
    • § 13:3.3 : Leniency Offers13-39
  • § 13:4 : Enforcement Issues13-40
    • § 13:4.1 : Extraterritorial Enforcement13-40
    • § 13:4.2 : Typical Penalties13-41
      • [A] : Criminal Penalties13-41
      • [B] : Administrative Penalties13-42
Chapter 14: Business Fraud and the Law in the Australia: A Practical Guide to Advising and Defending Clients
  • § 14:1 : Introduction14-2
    • § 14:1.1 : Overview of Country, Core Industries and General Business Environment14-2
    • § 14:1.2 : Overview of Criminal Justice System and Related Process/Procedure for Business Fraud Matters14-3
    • § 14:1.3 : Overview of Enforcement Agencies and Priorities of Those Agencies in Relation to Business Fraud/Crimes14-4
      • [A] : Australian Securities and Investments Commission (ASIC)14-4
      • [B] : Australian Consumer and Competition Commission (ACCC)14-5
      • [C] : CDPP14-5
      • [D] : ASX Ltd.14-5
      • [E] : The Takeovers Panel14-5
      • [F] : Australian Crime Commission (ACC)14-6
  • § 14:2 : Overview of Business Fraud/Crimes14-6
    • § 14:2.1 : Australian Securities and Investment Offenses14-6
      • [A] : Corporate Fraud14-7
      • [B] : False Statements14-7
      • [C] : Falsification of Books14-9
      • [D] : Dishonest Use of Position14-9
      • [E] : Insider Trading14-9
      • [F] : Management Whilst Disqualified14-9
      • [G] : Provision of Services without a License14-10
    • § 14:2.2 : Bribery and Corruption14-10
    • § 14:2.3 : Money Laundering14-11
    • § 14:2.4 : Corporate Tax Evasion14-12
    • § 14:2.5 : Environmental Liability and Offenses14-13
    • § 14:2.6 : Industrial Relations and Employment Liability and Offenses14-15
      • [A] : Employment-Related Offenses14-15
      • [B] : Health and Safety14-16
      • [C] : Industrial Action14-16
    • § 14:2.7 : Import/Export and Customs Offenses14-17
    • § 14:2.8 : Anti-Dumping14-18
    • § 14:2.9 : Intellectual Property Theft14-19
    • § 14:2.10 : Data Privacy Issues14-19
  • § 14:3 : Enforcement Issues14-20
    • § 14:3.1 : Typical Penalties14-20
      • [A] : Proceeds of Crime Act 2002 (Cth)14-21
      • [B] : Other Relevant Legislation14-22
    • § 14:3.2 : Extraterritorial Enforcement14-22
    • § 14:3.3 : International Cooperation14-23
Chapter 15: Business Fraud and the Law in the United States: A Practical Guide to Advising and Defending Clients
  • § 15:1 : Introduction15-4
    • § 15:1.1 : Enforcement Agencies15-4
      • [A] : Department of Justice15-4
      • [B] : Securities and Exchange Commission15-5
      • [C] : Agency Inspectors General15-5
    • § 15:1.2 : Overview of Federal and State Systems15-6
    • § 15:1.3 : The Stages of Criminal Process15-7
    • § 15:1.4 : Sentencing Guidelines15-9
    • § 15:1.5 : Parallel Proceedings15-12
  • § 15:2 : Other Practices Used to Gather Evidence15-13
    • § 15:2.1 : Interviews by Government Agents15-13
    • § 15:2.2 : Interviews of Current Employees15-14
    • § 15:2.3 : Interviews of Former Employees15-14
    • § 15:2.4 : Informants15-15
    • § 15:2.5 : Undercover or Sting Operations15-15
      • [A] : Not Only Permitted, but Encouraged15-15
      • [B] : One-Party Consent Is Sufficient for the Government to Tape Phone Calls and Personal Conversations15-16
    • § 15:2.6 : Search Warrants15-17
      • [A] : Bedrock Constitutional Principle15-17
      • [B] : Probable Cause Standard15-18
      • [C] : Getting Return or Copies of Computer Data and Documents by Rule 41(g) Is Sometimes Necessary, but Difficult15-19
    • § 15:2.7 : Wiretaps15-20
      • [A] : Allowed Beyond Organized Crime15-20
    • § 15:2.8 : The Client’s Status Matters: Target-Subject-Witness15-21
  • § 15:3 : Investigative Subpoenas15-22
  • § 15:4 : False Claims Act15-25
    • § 15:4.1 : Impact15-25
    • § 15:4.2 : Qui Tam Provisions15-26
    • § 15:4.3 : Whistleblower Issues15-28
      • [A] : Limitations on Actions15-28
      • [B] : Importance of Exit Agreements15-29
    • § 15:4.4 : Impact of Recent Amendments15-30
      • [A] : Broad Knowledge Standard15-30
      • [B] : Expanded Definition of “Claims”15-30
      • [C] : Factual and Legal Falsity: False Certification Liability15-31
      • [D] : Explicit Materiality Requirement and Importance of Intent15-32
      • [E] : Pleading Standards15-33
      • [F] : Statute of Limitations15-33
      • [G] : Civil Investigative Demands15-33
      • [H] : Self-Disclosure15-34
    • § 15:4.5 : Key Takeaways15-34
  • § 15:5 : Money Laundering15-35
    • § 15:5.1 : Overview of Money Laundering15-35
    • § 15:5.2 : U.S. Criminal Statutes15-36
      • [A] : Domestic Money Laundering Transactions15-36
      • [B] : International Money Laundering Transactions15-37
      • [C] : Undercover “Sting” Money Laundering Transactions15-38
      • [D] : Engaging in Monetary Transactions in Property Derived from Specified Unlawful Activity15-39
    • § 15:5.3 : The Economic Impact of Money Laundering15-40
    • § 15:5.4 : Anti-Money Laundering Requirements15-40
  • § 15:6 : Import/Export15-40
  • § 15:7 : Securities Fraud and Insider Trading15-41
    • § 15:7.1 : Insider Trading15-41
    • § 15:7.2 : Misstatements and Omissions15-43
    • § 15:7.3 : Civil Suits and SEC Enforcement Actions15-44
  • § 15:8 : Obstruction and False Statements (§ 1001 and §§ 1501–1518)15-45
    • § 15:8.1 : General False Statements on Matters within the Federal Government’s Jurisdiction15-45
    • § 15:8.2 : Specific Obstruction Statutes15-47
      • [A] : Obstruction of Criminal Investigations15-48
      • [B] : Disclosure of Subpoena Information15-49
      • [C] : Obstruction of Federal Audits and Investigations15-50
      • [D] : Obstruction of Investigations of Health Care Crime15-50
    • § 15:8.3 : Retaliation against Whistleblowers15-51
  • § 15:9 : Bribery and Conflict of Interest15-51
  • § 15:10 : General Fraud Statutes15-51
    • § 15:10.1 : Mail Fraud (§ 1341) and Wire Fraud (§ 1343)15-52
    • § 15:10.2 : Financial Institutions Fraud (§ 1344)15-53
    • § 15:10.3 : False Claims Act (§ 287)15-54
    • § 15:10.4 : Conspiracy (§ 371)15-54
  • § 15:11 : Criminal RICO15-55
  • § 15:12 : Corporate Tax Evasion15-58
  • § 15:13 : Employment Crimes15-61
    • § 15:13.1 : Criminal Sanctions for Employment Violations15-61
      • [A] : Employee Retirement Income Security Act of 197415-61
      • [B] : Fair Labor Standards Act15-63
  • § 15:14 : Intellectual Property Theft and Other Information Infringements15-65
    • § 15:14.1 : Applicable Criminal Code and Elements of Violations15-65
      • [A] : Patents15-66
      • [B] : Copyright15-66
      • [C] : Trade Secret15-66
      • [D] : Trademark15-67
    • § 15:14.2 : Defenses15-67
  • § 15:15 : Health Care15-67
    • § 15:15.1 : Defenses to General Health Care Statutes15-69
    • § 15:15.2 : The Anti-Kickback Statute15-70
      • [A] : Lines of Defense to the AKS15-72
    • § 15:15.3 : Civil15-75
  • § 15:16 : Defense Issues15-75
    • § 15:16.1 : Settlement15-75
    • § 15:16.2 : Considerations for an Entity15-76
    • § 15:16.3 : Considerations for an Individual15-78
    • § 15:16.4 : Exclusion Under the Responsible Corporate Officer Doctrine15-79
    • § 15:16.5 : Attorney-Client Privilege and Work Product Doctrine15-81
  • § 15:17 : Extraterritorial Enforcement15-82
    • § 15:17.1 : Treble Damages Viewed Unfavorably Outside the United States15-82
    • § 15:17.2 : International Cooperation15-82
Chapter 16: Business Fraud and the Law in the United Kingdom: A Practical Guide to Advising and Defending Clients
  • § 16:1 : Introduction16-4
    • § 16:1.1 : Country Overview, Core Industries and General Business Environment16-4
      • [A] : Overview of the United Kingdom16-4
      • [B] : Core Industries16-6
      • [C] : General Business Environment16-8
    • § 16:1.2 : Overview of Enforcement Agencies and Priorities of Those Agencies in Relation to Business Fraud/Crimes16-9
      • [A] : The Police16-10
      • [B] : The Crown Prosecution Service16-10
      • [C] : The Serious Fraud Office16-10
      • [D] : The National Crime Agency16-11
      • [E] : The International Corruption Unit16-12
      • [F] : HM Revenue & Customs16-12
      • [G] : The Competition and Markets Authority16-12
      • [H] : The Health and Safety Executive16-13
      • [I] : The Environment Agency16-13
      • [J] : Natural Resources Wales16-14
      • [K] : Scottish Environment Protection Agency16-14
      • [L] : Department of the Environment (Northern Ireland)16-14
      • [M] : The Information Commissioner’s Office16-15
      • [N] : Other Enforcement Agencies16-15
    • § 16:1.3 : Overview of Criminal Justice System and Related Process/Procedure for Business Crime Matters—England and Wales16-16
      • [A] : Criminal Enforcement16-16
      • [B] : Civil Enforcement16-19
  • § 16:2 : Overview of Business Crimes16-20
    • § 16:2.1 : Bribery and Corruption16-20
      • [A] : Offenses Under the Bribery Act 201016-20
        • [A][1] : The General Bribery Offenses16-20
        • [A][2] : Bribery of Foreign Public Officials16-22
        • [A][3] : Failure of Commercial Organizations to Prevent Bribery16-23
      • [B] : Enforcement16-24
        • [B][1] : Jurisdiction16-24
        • [B][2] : Instituting Proceedings16-25
        • [B][3] : Offenses by Bodies Corporate and Partnerships16-25
      • [C] : Defenses16-25
        • [C][1] : Special Statutory Defense16-25
        • [C][2] : Failure of Commercial Organizations to Prevent Bribery16-26
      • [D] : Sanctions16-26
        • [D][1] : Deferred Prosecution Agreements16-26
        • [D][2] : Confiscation16-26
      • [E] : Sentencing16-26
        • [E][1] : Individuals16-26
  • Table 16-1 : Sentencing Guidelines16-27
    • [E][2] : Commercial Organizations16-29
    • § 16:2:2 : Money Laundering16-30
      • [A] : Offenses16-30
        • [A][1] : The Three Main Offenses16-30
          • [A][1][a] : Mental Elements16-30
          • [A][1][b] : Conduct Elements16-30
            • [A][1][b][i] : Section 327—Concealing, Etc.16-30
            • [A][1][b][ii] : Section 328—Arrangements16-31
            • [A][1][b][iii] : Section 329—Acquisition, Use and Possession16-32
            • [A][1][b][iv] : Section 330—Failure to Disclose in the Regulated Sector16-32
            • [A][1][b][v] : Section 331 and Section 336—Liability for Nominated Officers16-32
            • [A][1][b][vi] : Section 333A and Section 342—Tipping Off16-32
      • [B] : Enforcement16-33
      • [C] : Defenses16-33
        • [C][1] : Defenses to the Main Offenses16-33
          • [C][1][a] : Disclosure16-33
          • [C][1][b] : Overseas Criminal Conduct16-34
          • [C][1][c] : Deposit-Taking Bodies16-34
          • [C][1][d] : Adequate Consideration Under Section 32916-34
      • [D] : Sentencing16-34
    • § 16:2:3 : Corporate Fraud16-36
      • [A] : Offenses16-37
        • [A][1] : Asset Stripping16-37
        • [A][2] : Fraudulent Trading16-38
        • [A][3] : Share Ramping16-40
      • [B] : Sanctions16-41
        • [B][1] : Financial Reporting Orders16-41
        • [B][2] : Serious Crime Prevention Orders16-42
        • [B][3] : Compensation Orders16-42
        • [B][4] : Confiscation Orders16-43
        • [B][5] : Disqualification Orders16-43
      • [C] : Sentencing16-43
        • [C][1] : Bodies Corporate16-43
    • § 16:2:4 : Environmental Crimes16-44
      • [A] : Offenses16-44
      • [B] : Enforcement16-46
  • Table 16-2 : Regulation of Environmental Offenses16-47
    • [C] : Defenses16-49
    • [D] : Sanctions16-50
  • Table 16-3 : Civil Sanctions for Environmental Offenses16-51
    • [E] : Sentencing16-52
  • Table 16-4 : Sentencing Guidelines for Environmental Offenses16-53
    • § 16:2:5 : Health and Safety16-55
      • [A] : Offenses16-55
        • [A][1] : Health and Safety16-55
  • Table 16-5 : Duties Imposed by HSWA16-56
    • [A][2] : Manslaughter16-59
    • [B] : Enforcement16-60
    • [C] : Defenses16-61
    • [D] : Sanctions16-61
    • [E] : Sentencing16-63
    • § 16:2:6 : Data Protection16-64
  • § 16:3 : Investigation Issues16-65
    • § 16:3:1 : Practices Used to Gather Evidence16-65
      • [A] : Wiretaps16-65
      • [B] : Agents16-66
      • [C] : Investigatory Powers Commonly Used by the SFO16-67
      • [D] : Investigatory Powers Under POCA 200216-68
        • [D][1] : Production Orders16-68
        • [D][2] : Search and Seizure Warrants16-68
      • [E] : Informers16-68
  • § 16:4 : Other Regulators16-69
    • § 16:4:1 : Powers of Regulatory Authorities16-69
  • Table 16-6 : Statutory Powers of HSE and EA16-69
  • [A] : Interviews16-70
  • [B] : Use of Other Tactics16-71
  • § 16:5 : Recognition of Attorney-Client Privilege and/or Work Product Doctrine16-71
    • § 16:5:1 : Legal Advice Privilege16-72
    • § 16:5:2 : Litigation Privilege16-73
  • § 16:6 : Whistleblower Issues16-75
  • § 16:7 : Cross-Border Export of Data/Information; State Secrets16-75
  • § 16:8 : Ability to Resolve Matter with Enforcement Agencies16-78
    • § 16:8:1 : Deferred Prosecution Agreements16-78
      • [A] : Definition16-78
      • [B] : Conditions and Offenses16-79
      • [C] : When Prosecutors Are Likely to Use DPAs16-80
    • § 16:8:2 : Amnesty or Leniency Offers/Practices16-81
      • [A] : Reductions in Sentence for Assistance16-81
      • [B] : Extent of Reductions16-81
      • [C] : Plea Bargaining and Indications of Sentence16-82
  • § 16:9 : Enforcement Issues16-82
    • § 16:9:1 : Extraterritorial Enforcement16-82
      • [A] : The Concept of Extraterritorial Jurisdiction16-82
      • [B] : The Criminal Justice Act 199316-84
      • [C] : The Bribery Act 201016-86
    • § 16:9:2 : International Cooperation16-87
      • [A] : Mutual Legal Assistance16-87
        • [A][1] : International Agreements16-87
        • [A][2] : Domestic Legislation16-88
      • [B] : Memoranda of Understanding16-89
        • [B][1] : Domestic Memoranda16-89
        • [B][2] : International Memoranda16-90
  Appendices
Appendix A: Comparison of the Foreign Corrupt Practices Act Anti-Bribery Provisions with the UK Bribery Act and Russian Anti-Bribery Provisions
Appendix B: Comparison of the U.S. Foreign Corrupt Practices Act Anti-Bribery Provisions with the Brazil Anti-Corruption Law
Appendix C: Survey of Anti-Corruption Laws in Latin America
Appendix D: DOJ Principles of Federal Prosecution of Business Organizations
Appendix E: DOJ Antitrust Corporate Leniency Policy
Appendix F: DOJ Antitrust Leniency Policy for Individuals
Appendix G: HHS-OIG Provider Self-Disclosure Protocol
Appendix H: HHS-OIG Contractor Self-Disclosure Guidance
Appendix I: CMS Voluntary Self-Referral Disclosure Protocol
Appendix J: OFAC Economic Sanctions Enforcement Guidelines
Appendix K: SEC Corporate Cooperation Report
Appendix L: SEC Individual Cooperation
Appendix M: CFPB Responsible Business Conduct Bulletin
Appendix N: Civil Settlement Agreement—Off Label (GlaxoSmithKline)
Appendix O: Guilty Plea—Avon Products (China) (FCPA)
  Table of Authorities
  Index

  Please click here to view the latest update information for this title: Last Update Information  
 


  Please click here to view the Table of Authorities: Table of Authorities  
 

Share
Email
UPKEEP SERVICE
Your purchase will also sign you up for “Upkeep Service,” whereby you will receive future automatic shipments of updates, new editions and supplements to this edition, as they become available, for a 30-day preview. Updates, new editions and supplements published within 90 days of your purchase will be issued free of charge; all other updates will be subject to an additional charge if kept beyond the preview period, invoiced at the time of delivery. This service will continue until canceled by you at any time. See here.

  • FOLLOW PLI:
  • twitter
  • LinkedIn
  • GooglePlus
  • RSS

All Contents Copyright © 1996-2017 Practising Law Institute. Continuing Legal Education since 1933.

© 2017 PLI PRACTISING LAW INSTITUTE. All rights reserved. The PLI logo is a service mark of PLI.