White Collar Defense, Government Investigations & Enforcement

FCPA & UK Bribery Act

The financial consequences of your business having FCPA or UK Bribery Act compliance issues can be devastating. It’s more important than ever for your business to have counsel who know how to proactively address its compliance issues as well as to help you minimize the impact of a government investigation on its operations.

Mintz Levin has successfully guided individuals, companies, and financial institutions in resolving FCPA and UK Bribery Act compliance issues, assessing the adequacy of anti-bribery policies and procedures, drafting and implementing new anti-bribery policies, and handling internal and government investigations. Our team has significant international compliance, transactional, and enforcement experience advising in FCPA and UK Bribery Act related matters as well as the related areas of antitrust, securities and corporate fraud, money laundering, global sanctions, anti-boycott, and data security.

Based on the most recent investigations and prosecutions, US law enforcement is making every possible effort to expand the FCPA’s reach using novel investigative techniques, broadly interpreting key terms in the relevant statutes, and generally igniting increased enforcement efforts around the globe. Moreover, the recent enactment of the UK Bribery Act is prompting businesses with international operations to closely reevaluate their anti-bribery initiatives.

In the United States, many sectors are under the enforcement microscope, including health care, energy, and communications. Regulatory and prosecution authorities have also demonstrated a greater focus on individual liability, resulting in criminal charges being filed against more than 50 corporate executives in just the past three years. We can expect similar efforts by UK law enforcement and increased cooperation between US and UK authorities. These trends are prompting multinational businesses to more closely assess their potential exposure in these areas through a thorough examination of their compliance programs as well as their global risk assessment strategies.

Quick Facts

  • Multidisciplinary team comprised of white collar, securities, risk management, litigation, and corporate attorneys
  • Significant experience in government investigations and regulatory compliance
  • Team includes former supervisor who oversaw the FCPA Unit at the Department of Justice (DOJ)
  • Attorneys who have served in government agencies, including:
    • DOJ
    • Securities and Exchange Commission (SEC)
    • UK Financial Services Authority
    • US Attorneys’ Offices
    • State Attorneys’ General Offices

  • Demonstrated success representing individuals and companies across a wide variety of FCPA and UK Bribery matters

Areas of Focus

  • Compliance programs
  • Distribution agreements
  • Due diligence and analysis
  • Export controls
  • FCPA investigations and defense
  • FCPA and UK Bribery Act policies and procedures
  • Geographic risk analysis
  • Internal compliance audits
  • Mergers and acquisitions
  • Training programs

Rankings & Recognitions

  • Attorneys recognized by Chambers USA, Best Lawyers, and Super Lawyers and include the following:
    • Best Lawyers in America “Lawyer of the Year” for Criminal Defense / White Collar (2011)
    • “Top Gun” in Ethisphere Institute’s Attorneys Who Matter (2011)
    • ILO Client Choice Award winner for White Collar Crime (2011)
    • BTI Client Service All-Star (2011)

Representative Experience

  • Regularly provide training and legal advice to the executives and employees of numerous US and UK companies regarding the FCPA and the UK Bribery Act and other international anticorruption laws.
  • Conducted an audit of a Canada-based global mobile communications company’s FCPA compliance program.
  • Represented a technology company in conducting FCPA due diligence for a proposed merger, with a specific focus on issues relating to a distributorship in China.
  • Advised a number of Russian companies regarding the potential application of the UK Bribery Act.
  • Represented a high-level executive of a global security company manufacturing military weapons and electronics. The DOJ was investigating alleged bribes paid to Korean officials in exchange for the purchase of military F-16 fighter aircraft. The investigation concluded successfully for our client.
  • Conducted an investigation and advised a subsidiary of a public company regarding entertainment-related red flags in the marketing of national security technology to a North African government agency.
  • Represented the general counsel of a homeland security company being acquired in a multibillion-dollar transaction. During the due diligence phase of the acquisition, the acquiring company discovered bribes paid to officials in West Africa. This matter was resolved successfully for our client despite charges being made against additional individuals associated with the company.
  • Advised an international financial services complex on a Congressional investigation into transactions allegedly involving US banking of foreign corruption proceeds.
  • Advised a large, multinational corporation contemplating a cross-border acquisition on FCPA issues arising in the due diligence performed by a “Big 4” consulting firm. We analyzed the findings and assisted the client in fully evaluating the acquisition opportunity. Resulted in better offer for our client.
  • Represented a manager of a Dutch petroleum services company in connection with an FCPA investigation, led by the DOJ in Washington, DC, relating to construction contracts in Latin America. Although the international company ultimately paid a fine, our client was not charged.
  • Represented a large private equity firm and advised on FCPA challenges arising in the use of third-party representatives in the African operations of a portfolio company.
  • Represented a manufacturer in connection with FCPA issues related to its distributorship agreement in India.
  • Represented a health information technology company in connection with FCPA issues relating to a business finder arrangement and advised the company in evaluating potential FCPA red flags.
  • Represented a manufacturer on issues related to use of third-party consultants in China.
  • Wall Street Journal Global Anti-Corruption Push Means New Penalties is quoted discussing the rise in international anti-corruption efforts.
  • Compliance Week Corruption Risks Increasing in China, Russia, and Mexico discusses the industries that have historically been the most vulnerable to corruption.
  • Compliance Week Russia Inching toward Anti-Bribery Reforms is quoted discussing Russia’s anti-bribery campaign.
  • Compliance Week Inside FCPA Guidance: What to Expect Next discusses the FCPA resource guide issued by the Department of Justice and the Securities and Exchange Commission.
  • Compliance Week Justice Department Ends DPA Early, Citing Robust Compliance discusses the Department of Justice’s decision to end a deferred prosecution agreement related to alleged FCPA violations one year early.
  • CGMA Magazine Brush Up on Your Anti-Corruption Controls is quoted discussing the FCPA guidance issued by the DOJ and SEC.
  • Corporate Counsel DOJ and SEC’s New FCPA Guidance Provides a Desktop Compliance Reference for Companies is quoted discussing the FCPA guidance document issued by the Department of Justice and the Securities and Exchange Commission.
  • New York TImes Justice Dept. Issues Guidance on Overseas Bribes explains that the FCPA resource guide is important because provides insight into the government’s present view on certain issues.
  • Wall Street Journal The Guidance: The FCPA Bar Reacts explains that while the FCPA guidance document was not earthshattering, it will be a helpful tool for compliance officers and practitioners.
  • Wall Street Journal Low Hopes for FCPA Guidance is quoted discussing the expectations for upcoming guidance on the Foreign Corrupt Practices Act. Mr. Pelletier suggests that a single, unifying document will lead to a better-educated corporate bar and a better-educated corporate citizenry.
  • New York Times With Wal-Mart Claims, Greater Attention on a Law is quoted discussing the  report that claims Wal-Mart Stores, Inc. paid $24 million in bribes to facilitate the expansion of its Mexican operations and shut down internal investigations into the matter.
  • Bloomberg Wal-Mart Bribery Probe Seen as Examining Coverup Claims provides insight into what the government will be looking for in their investigation of these allegations against Wal-Mart.
  • BusinessWeek Allen Stanford Convicted in $7 Billion Investment Fraud is quoted discussing the importance of the forfeiture phase after the conviction of Allen Stanford, a Texas financier guilty of leading a $7 billion international fraud.
  • Financial Times Jury Rules Stanford Must Forfeit $330M is quoted discussing the investigation of other entities potentially involved in the Ponzi scheme orchestrated by former bank executive, Allen Stanford.