U.S. Securities and Exchange Commission (SEC)

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By: Scott Maberry, Thad McBride, and Cheryl Palmeri

Much has been said about what is missing from the new FCPA Resource Guide (the Guide) published by the U.S. Department of Justice (DOJ) and the Securities and Exchange Commission (SEC), linked here.  Here, we consider instead the areas in which – true to its name – the Guide offers some helpful guidance.  Specifically, based on our experience of representing companies and individuals before the DOJ and SEC, this article describes four areas in which the Guide taught us something new or called into question what we thought we knew about the FCPA.
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Continue Reading What’s In the New FCPA Resource Guide: Some Welcome Clarity and Unexpected Muddling

By: Mark Jensen

Notwithstanding our overall approval of the FCPA Resource Guide (the Guide) issued by the Department of Justice (DOJ) and Securities & Exchange Commission (SEC) earlier this month, we are certainly not above a bit of criticism.

To that end, those who have investigated and settled FCPA cases after choosing to cooperate with the government will be familiar with the instruction to do “homework” following a meeting.  The direction generally requires a deeper dive into specific facts or issues identified by the DOJ and/or SEC.  While directed by the government, the homework instruction nonetheless allows the investigation target a lot of leeway about how to get the homework done.

The same approach infuses the Guide.…
Continue Reading What’s Not in the New FCPA Resource Guide, or Why Doing Your FCPA Homework is Still a Good Idea