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Course Details

FCPA Voluntary Disclosure: Determining Whether and When to Self-Report

Webinar: ID# 1014508
Recorded CD
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About This Course:
This webinar will examine the approaches taken by the DOJ and SEC to voluntary disclosures of potential FCPA violations, the factors that companies and their counsel must consider when determining whether to voluntarily disclose a potential FCPA violation, and strategies that companies can take in this context to reduce or minimize penalties.

Description

Determining whether and when to make a voluntary disclosure of a potential FCPA violation to the U.S. Department of Justice (DOJ) and/or the Securities and Exchange Commission (SEC) is one of the most challenging decisions for companies and their counsel. They must carefully weigh the risks and benefits of such disclosure.

Cooperating with government investigations and voluntarily disclosing potentially illegal conduct can mitigate penalties. However, there is no certainty that the government would have discovered the potential violation absent a disclosure. The voluntary disclosure decision is often complicated because it must be made without a complete picture of the facts.

Companies and counsel must also consider that failure to voluntarily disclose potential FCPA violations may prompt shareholder litigation. Several multinational companies have been hit with shareholder derivative suits alleging breach of fiduciary duty by failing to make a voluntary disclosure.

Listen as our authoritative panel examines the approaches taken by the DOJ and SEC to voluntary disclosures of potential FCPA violations, the factors that companies and their counsel must consider when determining whether to voluntarily disclose a potential FCPA violation, and strategies that companies can take in this context to reduce or minimize penalties.

Outline
  • Understanding government guidelines for when to disclose
    • DOJ Guidance
    • SEC Guidance
    • Historical Record on Voluntary Disclosures

  • Factors relevant to whether to self-disclose
    • Nature and scope of violation
    • Prior Offenses
    • Likelihood of an involuntary disclosure
    • Risk of civil litigation
    • Statute of limitation issues

  • Voluntary disclosure pros and cons
    • Compare governmental agency approaches
    • Potential benefits of disclosure
    • Monetary penalties
    • Cost of a government investigation
    • Privilege waiver issues
    • What to do if not disclosing
Benefits

The panel will review these and other key issues:
  • Factors a company should consider in deciding whether to voluntarily disclose a potential FCPA violation

  • Company actions the SEC and DOJ consider to be sufficient cooperation to warrant mitigation of penalties

  • Best practices to minimize FCPA violations and penalties
The Presenters

Edward J. Fishman, Partner
K&L Gates, Washington, D.C.

Mr. Fishman advises clients with respect to government and internal corporate investigations, corporate transactions, and related regulatory matters. He focuses on FCPA compliance and auditor independence requirements. Mr. Fishman has extensive experience representing companies in connection with FCPA compliance, due diligence, training and other risk management procedures. He also regularly advises clients on matters before the DOJ and the SEC.

Kimberly A. Parker, Partner
WilmerHale, Washington, D.C.

Ms. Parker’s practice focuses on white-collar criminal matters, internal corporate investigations, and congressional investigations. She has significant experience in matters involving the Foreign Corrupt Practices Act. She conducts internal investigations in the U.S., Asia, Africa, Europe, and Latin America and represents companies and individuals in FCPA enforcement matters. She assists clients in developing and implementing FCPA compliance programs and conducting FCPA training.
James G. Tillen, Member
Miller & Chevalier, Washington, D.C.

Mr. Tillen has significant experience with every facet of an FCPA enforcement matter, including developing work plans for internal investigations, conducting internal investigations, developing remediation strategies, drafting voluntary disclosures, negotiating resolutions, developing strategies for collateral issues, selecting independent monitors, and interfacing with monitors.

CPE Credits Available!

This program has been approved for 1.5 CPE hours through Strafford Publications. CPE Credit is available only for the LIVE webcast. Recorded versions do not qualify for credit.

To obtain CPE credit, attendees must participate in the live event, return an Official Record of Attendance to Strafford affirming their participation (including the CPE code announced during the program), and pay a processing fee of $35 per person. Strafford then will mail a certificate of credit within approximately two weeks of receiving your completed Official Record of Attendance.
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FCPA Voluntary Disclosure: Determining Whether and When to Self-Report
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