You can always count on Howard Sklar to make things interesting.  His latest article, Who is It Okay to Bribe? (Here), is another in the line of provocative posts.  Howard always gets people to think.  But without taking Howard on too strongly (let’s face it, I am no FCPA Professor, or Tom Fox, who both enjoy taking Howard on), his last column was more of...

In Part II of Best Practices for Internal Investigations, I examine how to design an appropriate investigative plan.  While it is hard to predict at the outset the course that an internal investigation will take, a preliminary investigation plan is an important management tool.  There are several helpful steps to take: 1.  Define the objective of the investigation and the most efficient way to achieve...

I thought I would take two posts to examine best practices for initial stages of internal investigations: Part I examines the launch of an internal investigation.  Part II examines initial internal investigation plans.  The initial steps in handling an internal investigation are critical to the ultimate success of the inquiry.  Vast numbers of articles have been written on how to conduct internal investigations.  More attention...

Have the latest posts on Corruption Crime & Compliance delivered to your mailbox.  No need to travel on the Internet.  It will be delivered to you immediately when posted.  The email sign up is on the lower right hand side of the blog.  Just enter your email address and you will receive email notifications of new posts!! Thanks for all your support.

Government prosecutors have launched a new initiative aimed at protecting intellectual property.  The Economic Espionage Act criminalizes the theft of trade secrets.  Congress passed the Act in 1996 to protect United States corporate trade secrets.  Since it as enacted in 1996 and continuing until 2011, the government only prosecuted eight cases under the Act.  In the last year, the government has steadily increased the use...

The Justice Department’s recent enforcement action against Smith & Nephew underscored an important point – companies can be responsible for FCPA violations committed by distributors of the company’s products.  FCPA compliance professionals already knew that the FCPA can apply to distributors. Reams of paper have been used to explain due diligence procedures for third party agents.  These same procedures should be applied to distributors and...

Health care fraud enforcement continues to rack up successes.  Prosecutors are employing aggressive investigative techniques and using non-health care fraud related statutes to prosecute individuals.  At the core of the government’s enforcement strategy is effective interagency collaboration through the Medicare Strike Force and Health Care Fraud Prevention Enforcement and Action Team (HEAT), which consists of representatives from the Department of Justice (DOJ), the Federal Bureau...

Everyone in the compliance community likes to cite the required elements of an anti-corruption compliance program.  The Justice Department and the SEC have described the required elements over and over again in Schedule C of their settlement papers.  Forgive me for deviating a little bit from their script but I have a different take on the principles and the practical steps that are required to...

The term “due diligence” is bandied about among compliance professionals.  Let’s stop a moment and consider the different contexts.  Anti-money laundering “due diligence” is a lot different than FCPA “due diligence.”  FCPA due diligence relates to review of third-party agents for corruption risks or potential acquisitions or joint venture partners for corruption risks. AML due diligence relates to customers (“Know Your Customer” or “KYC”), and...

Everyone in the compliance industry acts like they understand the concept of “transaction testing.”  Next time you are in a meeting and the term comes up; ask one of the nodding heads to explain what it means.  I bet they start to choke up, or you might hear an explanation like “It is when you test your transactions.” In fact, transaction testing is an important...