Extra-Territorial FCPA and Fraud Enforcement: Clarifying “Agency,” and DOJ and SEC Compliance Programme and Internal Controls Expectations

September 15, 2020 3:30pm

Vanessa Sisti
Assistant Chief, FCPA Unit
Fraud Section, Criminal Division U.S. Department of Justice

Leslie R. Backschies
Chief, International Corruption Unit
Federal Bureau of Investigation

Moderator:

William J. Stuckwisch
Partner
Kirkland & Ellis LLP

  • Update on investigations and prosecutions amid Covid-19
  • “Agency” post-Hoskins: The scope of individual liability risks for non-US citizens or entities
  • How the agencies evaluate “cooperation”: Trends in what meets the threshold and what doesn’t
  • When a company’s actions are enough to trigger favourable treatment under the policy vs. "aggravating circumstances,": Is there a difference between SEC and DoJ analyses?
  • Evaluation of Corporate Compliance Programmes: DoJ insights on how to interpret and apply the Guidance
  • Monitorships: Expectations of the agencies and application of DoJ’s policy
  • Voluntary Disclosures: Is DoJ continuing to see an increase in self-disclosures post-Pilot Program?
  • Insights on privilege and disgorgement
  • How the SEC and DOJ coordinate with foreign governments