104
41 Council of Europe, Criminal Law Convention on
Corruption, Jan. 27, 1999, 38 I.L.M. 505, available at http://
conventions.coe.int/Treaty/en/Treaties/html/173.html.
42 For additional information about GRECO, see
Council of Europe, Group of States Against Corruption, available
at http://www.coe.int/t/dghl/monitoring/greco/default_
EN.asp. The United States has not yet ratied the GRECO
convention.
43 The text of the FCPA statute is set forth in the
appendix. See also Jury Instructions at 52-64, United States
v. Mark Lambert, No. 18-cr-012 (D. Md. Nov. 14, 2019), ECF
No. 152 [hereinafter United States v. Lambert] (FCPA jury
instructions); Jury Instructions at 1259-66, United States v.
Lawrence Hoskins, No. 12-cr-238 (D. Conn. Nov. 6, 2019),
ECF No. 601 [hereinafter United States v. Hoskins] (same);
Jury Instructions at 33-37, United States v. Joseph Baptiste,
No. 17-cr-10305 (D. Mass. June 19, 2019), ECF
No. 195 [hereinafter United States v. Baptiste] (same);
Jury Instructions at 1081-89, United States v. Chi Ping
Patrick Ho, No. 17-cr-779 (S.D.N.Y. Dec. 4, 2018), ECF
No. 214 [hereinafter United States v. Ho] (same); Jury
Instructions at 4249-62, United States v. Ng Lap Seng,
No. 15-cr-706 (S.D.N.Y. July 26, 2017), ECF No. 609
[hereinafter United States v. Ng] (same); Jury Instructions
at 21-27, United States v. Esquenazi, No. 09-cr-21010
(S.D. Fla. Aug. 5, 2011), ECF No. 520 [hereinafter
United States v. Esquenazi] (same); Jury Instructions at
14-25, United States v. Kay, No. 01-cr-914 (S.D. Tex. Oct.
6, 2004), ECF No. 142 (same), a’d, 513 F.3d 432, 446-52
(5th Cir. 2007), reh’g denied, 513 F.3d 461 (5th Cir. 2008)
[hereinafter United States v. Kay]; Jury Instructions at
76-87, United States v. Jeerson, No. 07-cr-209 (E.D. Va. July
30, 2009), ECF No. 684 [hereinafter United States v. Jeerson]
(same); Jury Instructions at 8-10, United States v. Green,
No. 08-cr-59 (C.D. Cal. Sept. 11, 2009), ECF No. 288
[hereinafter United States v. Green] (same); Jury Instructions
at 23-29, United States v. Bourke, No. 05-cr-518 (S.D.N.Y.
July 2009) [hereinafter United States v. Bourke] (same, not
docketed); Jury Instructions at 2-8, United States v. Mead,
No. 98-cr-240 (D.N.J. Oct. 1998) [hereinafter United States
v. Mead] (same).
44 The provisions of the FCPA applying to issuers are
part of the Securities Exchange Act of 1934 [hereinafter
Exchange Act]. The anti-bribery provisions can be found at
Section 30A of the Exchange Act, 15 U.S.C. § 78dd-1.
45 15 U.S.C. § 78l.
46 15 U.S.C. § 78o(d).
47 SEC enforcement actions have involved a number
of foreign issuers. See, e.g., Complaint, SEC v. Magyar
Telekom Plc., et al., No. 11-cv-9646 (S.D.N.Y. Dec. 29, 2011),
ECF No. 1 (German and Hungarian companies), available at
http://www.sec.gov/litigation/complaints/2011/comp22213-
co.pdf; Complaint, SEC v. Alcatel-Lucent, S.A., No. 10-cv-
24620 (S.D. Fla. Dec. 27, 2010), ECF No.1 [hereinafter SEC
v. Alcatel-Lucent] (French company), available at http://
www.sec.gov/litigation/complaints/2010/comp21795.
pdf; Complaint, SEC v. ABB, Ltd., No. 10-cv-1648 (D.D.C.
Sept. 29, 2010), ECF No. 1 [hereinafter SEC v. ABB] (Swiss
company), available at http://www.sec.gov/litigation/
complaints/2010/comp-pr2010-175.pdf; Complaint,
SEC v. Daimler AG, No. 10-cv-473 (D.D.C. Apr. 1, 2010),
ECF No. 1 [hereinafter SEC v. Daimler AG] (German company),
available at http://sec.gov/litigation/complaints/2010/comp-
pr2010-51.pdf; Complaint, SEC v. Siemens Aktiengesellschaft,
No. 08- cv-2167 (D.D.C. Dec. 12, 2008), ECF No. 1 [hereinafter
SEC v. Siemens AG] (German company), available at http://
www.sec.gov/litigation/complaints/2008/comp20829.pdf.
Certain DOJ enforcement actions have likewise involved
foreign issuers. See, e.g., Criminal Information, United States
v. Telefonaktiebolaget LM Ericsson, No. 19-cr-884 (S.D.N.Y.
Dec. 6, 2019), ECF No. 3 [hereinafter United States v. Ericsson],
available at https://justice.gov/criminal-fraud/le/1226526/
download; Non-Pros. Agreement, In re Petróleo Brasileiro S.A.
(Sept. 26, 2018), available at https://www.justice.gov/criminal-
fraud/le/1097256/download; Criminal Information, United
States v. Teva LLC, No. 16-cr-20967 (S.D. Fla. Dec. 22, 2016),
ECF No. 1, available at https://www.justice.gov/criminal-
fraud/le/920421/download; Criminal Information, United
States v. Braskem S.A., No. 16-cr-709 (E.D.N.Y. Dec. 21, 2016),
ECF No. 6, available at https://www.justice.gov/criminal-
fraud/le/920086/download.
48 See http://www.sec.gov/divisions/corpn/internatl/
companies.html.
49 See, e.g., Criminal Information, United States v.
Ericsson, supra note 47 (charging issuer company with
violating FCPA for paying bribes to foreign ocials in Djibouti,
China, Vietnam, Indonesia, and Kuwait); Criminal Information,
United States v. Tim Leissner, No. 18-cr-439 (E.D.N.Y. Aug. 28,
2018), ECF No. 16 (charging an employee and agent of U.S.
publicly traded company with violating FCPA for bribery of
ocial in Malaysia), available at https://www.justice.gov/
criminal-fraud/le/1231346/download; United States v. Steven,
supra note 9 (charging a UK employee of U.S. publicly traded
company with violating FCPA for bribery of ocials in Saudi
Arabia).
50 15 U.S.C. § 78dd-2.
51 15 U.S.C. § 78dd-2(h)(1).
52 See, e.g., Indictment, United States v. Lambert, supra
note 43, ECF No. 1 (employee of domestic concern charged
with violating FCPA for bribes paid to a Russian government
ocial), available at https://www.justice.gov/criminal-fraud/
le/1044676/download; Criminal Information, United States
v. James Finley, No. 17-cr-160 (S.D. Ohio July 21, 2017),
ECF No. 3 (executive of foreign parent company charged as
an agent of a domestic concern in directing bribes to Kazakh
ocial on behalf of U.S.-based subsidiary), available at https://
www.justice.gov/criminal-fraud/file/1009596/download;
Superseding Indictment, United States v. Dmitrij Harder,
No. 15-cr-001 (E.D. Pa. Dec. 15, 2015), ECF No. 62 [hereinafter
United States v. Harder] (owner of U.S. corporation charged
for bribes paid to an ocial at the European Bank for
Reconstruction and Development), available at https://www.
justice.gov/criminal-fraud/le/843621/download.
53 15 U.S.C. § 78dd-3(a). As discussed above,
foreign companies that have securities registered in
the United States or that are required to le periodic
reports with SEC, including certain foreign companies
with American Depository Receipts, are covered by the
FCPA’s anti-bribery provisions governing “issuers” under
15 U.S.C. § 78dd-1.
54 See International Anti-Bribery and Fair Competition
Act of 1998, Pub. L. 105-366, 112 Stat. 3302 (1998); 15 U.S.C.
§ 78dd-3(a); see also U.S. Dept. of Justice, Criminal Resource
A Resource Guide to the U.S. Foreign Corrupt Practices Act. Second Edition.