FCPA法案.docx
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FCPA法案.docx
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FCPA法案
July22,2004]
Anti-BriberyandBooks&RecordsProvisionsof
TheForeignCorruptPracticesAct
CurrentthroughPub.L.105-366(November10,1998)
UNITEDSTATESCODE
TITLE15.COMMERCEANDTRADE
CHAPTER2B--SECURITIESEXCHANGES
§78m.Periodicalandotherreports
(a)Reportsbyissuerofsecurity;contents
Everyissuerofasecurityregisteredpursuanttosection78lofthistitleshallfilewiththeCommission,inaccordancewithsuchrulesandregulationsastheCommissionmayprescribeasnecessaryorappropriatefortheproperprotectionofinvestorsandtoinsurefairdealinginthesecurity--
(1)suchinformationanddocuments(andsuchcopiesthereof)astheCommissionshallrequiretokeepreasonablycurrenttheinformationanddocumentsrequiredtobeincludedinorfiledwithanapplicationorregistrationstatementfiledpursuanttosection78lofthistitle,exceptthattheCommissionmaynotrequirethefilingofanymaterialcontractwhollyexecutedbeforeJuly1,1962.
(2)suchannualreports(andsuchcopiesthereof),certifiedifrequiredbytherulesandregulationsoftheCommissionbyindependentpublicaccountants,andsuchquarterlyreports(andsuchcopiesthereof),astheCommissionmayprescribe.
Everyissuerofasecurityregisteredonanationalsecuritiesexchangeshallalsofileaduplicateoriginalofsuchinformation,documents,andreportswiththeexchange.
(b)Formofreport;books,records,andinternalaccounting;directives
***
(2)Everyissuerwhichhasaclassofsecuritiesregisteredpursuanttosection78lofthistitleandeveryissuerwhichisrequiredtofilereportspursuanttosection78o(d)ofthistitleshall--
(A)makeandkeepbooks,records,andaccounts,which,inreasonabledetail,accuratelyandfairlyreflectthetransactionsanddispositionsoftheassetsoftheissuer;and
(B)deviseandmaintainasystemofinternalaccountingcontrolssufficienttoprovidereasonableassurancesthat--
(i)transactionsareexecutedinaccordancewithmanagement'sgeneralorspecificauthorization;
(ii)transactionsarerecordedasnecessary(I)topermitpreparationoffinancialstatementsinconformitywithgenerallyacceptedaccountingprinciplesoranyothercriteriaapplicabletosuchstatements,and(II)tomaintainaccountabilityforassets;
(iii)accesstoassetsispermittedonlyinaccordancewithmanagement'sgeneralorspecificauthorization;and
(iv)therecordedaccountabilityforassetsiscomparedwiththeexistingassetsatreasonableintervalsandappropriateactionistakenwithrespecttoanydifferences.
(3)
(A)WithrespecttomattersconcerningthenationalsecurityoftheUnitedStates,nodutyorliabilityunderparagraph
(2)ofthissubsectionshallbeimposeduponanypersonactingincooperationwiththeheadofanyFederaldepartmentoragencyresponsibleforsuchmattersifsuchactincooperationwithsuchheadofadepartmentoragencywasdoneuponthespecific,writtendirectiveoftheheadofsuchdepartmentoragencypursuanttoPresidentialauthoritytoissuesuchdirectives.Eachdirectiveissuedunderthisparagraphshallsetforththespecificfactsandcircumstanceswithrespecttowhichtheprovisionsofthisparagrapharetobeinvoked.Eachsuchdirectiveshall,unlessrenewedinwriting,expireoneyearafterthedateofissuance.
(B)EachheadofaFederaldepartmentoragencyoftheUnitedStateswhoissuessuchadirectivepursuanttothisparagraphshallmaintainacompletefileofallsuchdirectivesandshall,onOctober1ofeachyear,transmitasummaryofmatterscoveredbysuchdirectivesinforceatanytimeduringthepreviousyeartothePermanentSelectCommitteeonIntelligenceoftheHouseofRepresentativesandtheSelectCommitteeonIntelligenceoftheSenate.
(4)Nocriminalliabilityshallbeimposedforfailingtocomplywiththerequirementsofparagraph
(2)ofthissubsectionexceptasprovidedinparagraph(5)ofthissubsection.
(5)Nopersonshallknowinglycircumventorknowinglyfailtoimplementasystemofinternalaccountingcontrolsorknowinglyfalsifyanybook,record,oraccountdescribedinparagraph
(2).
(6)Whereanissuerwhichhasaclassofsecuritiesregisteredpursuanttosection78lofthistitleoranissuerwhichisrequiredtofilereportspursuanttosection78o(d)ofthistitleholds50percentumorlessofthevotingpowerwithrespecttoadomesticorforeignfirm,theprovisionsofparagraph
(2)requireonlythattheissuerproceedingoodfaithtouseitsinfluence,totheextentreasonableundertheissuer'scircumstances,tocausesuchdomesticorforeignfirmtodeviseandmaintainasystemofinternalaccountingcontrolsconsistentwithparagraph
(2).Suchcircumstancesincludetherelativedegreeoftheissuer'sownershipofthedomesticorforeignfirmandthelawsandpracticesgoverningthebusinessoperationsofthecountryinwhichsuchfirmislocated.Anissuerwhichdemonstratesgoodfaitheffortstousesuchinfluenceshallbeconclusivelypresumedtohavecompliedwiththerequirementsofparagraph
(2).
(7)Forthepurposeofparagraph
(2)ofthissubsection,theterms"reasonableassurances"and"reasonabledetail"meansuchlevelofdetailanddegreeofassuranceaswouldsatisfyprudentofficialsintheconductoftheirownaffairs.
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***
§78dd-1[Section30AoftheSecurities&ExchangeActof1934].
Prohibitedforeigntradepracticesbyissuers
(a)Prohibition
Itshallbeunlawfulforanyissuerwhichhasaclassofsecuritiesregisteredpursuanttosection78lofthistitleorwhichisrequiredtofilereportsundersection78o(d)ofthistitle,orforanyofficer,director,employee,oragentofsuchissueroranystockholderthereofactingonbehalfofsuchissuer,tomakeuseofthemailsoranymeansorinstrumentalityofinterstatecommercecorruptlyinfurtheranceofanoffer,payment,promisetopay,orauthorizationofthepaymentofanymoney,oroffer,gift,promisetogive,orauthorizationofthegivingofanythingofvalueto--
(1)anyforeignofficialforpurposesof--
(A)(i)influencinganyactordecisionofsuchforeignofficialinhisofficialcapacity,(ii)inducingsuchforeignofficialtodooromittodoanyactinviolationofthelawfuldutyofsuchofficial,or(iii)securinganyimproperadvantage;or
(B)inducingsuchforeignofficialtousehisinfluencewithaforeigngovernmentorinstrumentalitythereoftoaffectorinfluenceanyactordecisionofsuchgovernmentorinstrumentality,
inordertoassistsuchissuerinobtainingorretainingbusinessfororwith,ordirectingbusinessto,anyperson;
(2)anyforeignpoliticalpartyorofficialthereoforanycandidateforforeignpoliticalofficeforpurposesof--
(A)(i)influencinganyactordecisionofsuchparty,official,orcandidateinitsorhisofficialcapacity,(ii)inducingsuchparty,official,orcandidatetodooromittodoanactinviolationofthelawfuldutyofsuchparty,official,orcandidate,or(iii)securinganyimproperadvantage;or
(B)inducingsuchparty,official,orcandidatetouseitsorhisinfluencewithaforeigngovernmentorinstrumentalitythereoftoaffectorinfluenceanyactordecisionofsuchgovernmentorinstrumentality.
inordertoassistsuchissuerinobtainingorretainingbusinessfororwith,ordirectingbusinessto,anyperson;or
(3)anyperson,whileknowingthatalloraportionofsuchmoneyorthingofvaluewillbeoffered,given,orpromised,directlyorindirectly,toanyforeignofficial,toanyforeignpoliticalpartyorofficialthereof,ortoanycandidateforforeignpoliticaloffice,forpurposesof--
(A)(i)influencinganyactordecisionofsuchforeignofficial,politicalparty,partyofficial,orcandidateinhisoritsofficialcapacity,(ii)inducingsuchforeignofficial,politicalparty,partyofficial,orcandidatetodooromittodoanyactinviolationofthelawfuldutyofsuchforeignofficial,politicalparty,partyofficial,orcandidate,or(iii)securinganyimproperadvantage;or
(B)inducingsuchforeignofficial,politicalparty,partyofficial,orcandidatetousehisoritsinfluencewithaforeigngovernmentorinstrumentalitythereoftoaffectorinfluenceanyactordecisionofsuchgovernmentorinstrumentality,
inordertoassistsuchissuerinobtainingorretainingbusinessfororwith,ordirectingbusinessto,anyperson.
(b)Exceptionforroutinegovernmentalaction
Subsections(a)and(g)ofthissectionshallnotapplytoanyfacilitatingorexpeditingpaymenttoaforeignofficial,politicalparty,orpartyofficialthepurposeofwhichistoexpediteortosecuretheperformanceofaroutinegovernmentalactionbyaforeignofficial,politicalparty,orpartyofficial.
(c)Affirmativedefenses
Itshallbeanaffirmativedefensetoactionsundersubsection(a)or(g)ofthissectionthat--
(1)thepayment,gift,offer,orpromiseofanythingofvaluethatwasmade,waslawfulunderthewrittenlawsandregulationsoftheforeignofficial’s,politicalparty’s,partyofficial’s,orcandidate’scountry;or
(2)thepayment,gift,offer,orpromiseofanythingofvaluethatwasmade,wasareasonableandbonafideexpenditure,suchastravelandlodgingexpenses,incurredbyoronbehalfofaforeignofficial,party,partyofficial,orcandidateandwasdirectlyrelatedto--
(A)thepromotion,demonstration,orexplanationofproductsorservices;or
(B)theexecutionorperformanceofacontractwithaforeigngovernmentoragencythereof.
(d)GuidelinesbyAttorneyGeneral
NotlaterthanoneyearafterAugust23,1988,theAttorneyGeneral,afterconsultationwiththeCommission,theSecretaryofCommerce,theUnitedStatesTradeRepresentative,theSecretaryofState,andtheSe
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