casemark/fcpa-compliance-policy
skills/legal/fcpa-compliance-policy/SKILL.md
Drafts an implementable Foreign Corrupt Practices Act (FCPA) Compliance Policy for U.S.-jurisdictional corporations with international operations. Covers anti-bribery provisions (15 U.S.C. §§ 78dd-1 through -3), accounting provisions (15 U.S.C. §§ 78m(b)(2)(A)-(B)), gift thresholds, tiered third-party due diligence, internal controls, training, and whistleblower protections. Incorporates DOJ/SEC Resource Guide guidance. Use when drafting or updating an FCPA policy, anti-bribery compliance program, corporate ethics policy, or international corruption risk framework.
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SKILL.md
- name:
- fcpa-compliance-policy
- language:
- en
- description:
- Drafts an implementable Foreign Corrupt Practices Act (FCPA) Compliance Policy for U.S.-jurisdictional corporations with international operations. Covers anti-bribery provisions (15 U.S.C. §§ 78dd-1 through -3), accounting provisions (15 U.S.C. §§ 78m(b)(2)(A)-(B)), gift thresholds, tiered third-party due diligence, internal controls, training, and whistleblower protections. Incorporates DOJ/SEC Resource Guide guidance. Use when drafting or updating an FCPA policy, anti-bribery compliance program, corporate ethics policy, or international corruption risk framework.
FCPA Compliance Policy
Drafts a litigation-ready FCPA Compliance Policy anchored in DOJ/SEC enforcement guidance, with specific thresholds, approval workflows, and role-based obligations.
Prerequisites
- Company profile — jurisdiction, SEC issuer or domestic concern status, geographic markets, high-risk countries
- Existing materials — prior FCPA policies, audit findings, enforcement history, third-party agent inventory
- Org structure — approval hierarchies, Compliance Officer identity, board/audit committee structure
- Risk appetite — facilitation payment election (recommend total prohibition), gift/hospitality thresholds
- Third-party landscape — agents, distributors, JV partners interacting with foreign officials
Quick Start
- Gather prerequisites above
- Draft policy following the nine-section Output Structure below
- Customize thresholds to company risk profile
- Run Guidelines checklist before finalizing
- Attach appendices (approval forms, due diligence checklists, red flag cards)
Output Structure
Draft a policy with these nine sections:
1. Introduction & Scope
| Element | Content | |---|---| | Statutory basis | Anti-bribery: 15 U.S.C. §§ 78dd-1, -2, -3; Accounting: 15 U.S.C. §§ 78m(b)(2)(A)-(B) | | Penalties | Corporate criminal: up to $2M/violation; individual: up to 5 years imprisonment [VERIFY post-inflation adjustments] | | Enforcement | DOJ (criminal), SEC (civil, issuers only) | | Tone | Compliance = legal obligation + business integrity; employees who refuse corrupt practices are supported |
2. Applicability
- Covered persons: All employees, officers, directors, agents globally — including foreign subsidiaries where U.S. jurisdictional nexus exists
- Nexus triggers: U.S.-routed emails, wire transfers through U.S. correspondent banks, calls to/from U.S., SEC registration
- Third parties: Agents, consultants, distributors, JV partners, customs brokers acting on company's behalf; willful blindness = liability
- Conflict of laws: Apply the more restrictive standard; consult Legal/Compliance
3. Prohibited Conduct & Key Definitions
Prohibits offering, promising, giving, or authorizing anything of value to a foreign official, directly or through intermediaries, corruptly to influence official action, induce duty violations, secure improper advantage, or obtain/retain business.
| Term | Scope | |---|---| | Foreign official | Government employees at all levels; state-owned enterprise officials (even minority ownership); political party officials/candidates; public international organization employees | | Anything of value | Cash, gifts, meals, travel, lodging, employment offers, charitable contributions, political donations, business opportunities | | Issuer | Company with U.S.-registered securities or periodic SEC filing obligations | | Domestic concern | U.S. citizens, nationals, residents; U.S.-organized entities |
Facilitation payments: Recommend total prohibition — narrow exception, difficult to document, prohibited by U.K. Bribery Act and many local laws.
Common schemes: Consulting fees to officials' shell companies; luxury travel to influence procurement; hiring officials' relatives as quid pro quo; directed charity donations; cash to expedite customs.
4. Gifts, Hospitality & Business Courtesies
All criteria must be met: reasonable value; lawful under recipient's policies and local law; tied to legitimate business purpose; transparent and documented; not cash; no expectation of official action; infrequent.
Default thresholds:
| Category | Limit | Approval | |---|---|---| | Single gift (foreign official) | ≤ $100 | None | | Aggregate per recipient/year | ≤ $250 | None | | Meals (with business discussion) | Reasonable | Manager | | Exceeding thresholds | Any | Legal/Compliance written | | Travel/lodging | Economy; standard hotel | Legal/Compliance written |
Always prohibited: Cash/equivalents; first-class travel (unless equal to internal policy); family member expenses; personal side trips; unattended event tickets.
5. Third-Party Due Diligence
Risk-tiered framework:
| Tier | Risk Factors | Diligence | |---|---|---| | Low | No government interaction; low-risk jurisdiction; fixed fee | Registration check; sanctions/media screening; FCPA representation | | Moderate | Occasional government contact; moderate jurisdiction; commission comp | + References; qualifications; comp reasonableness; anti-corruption policy review | | High | Regular government contact; high-risk jurisdiction (TI CPI < 50); success fee; government-recommended; official ownership | + Background investigation; ownership verification; site visit; compliance audit; ongoing monitoring |
Required contract terms: FCPA compliance reps/warranties; accurate books obligation; audit rights; training obligations; termination right for violations.
Compensation rules: Reasonable and documented; prohibit round-sum payments, cash, offshore routing, payments to unqualified parties.
Monitoring: Annual recertification; periodic transaction review; immediate red flag investigation.
6. Accounting Provisions & Internal Controls
All transactions recorded accurately in reasonable detail — not limited to foreign-official interactions.
Prohibited: Off-books accounts; false invoices/expense reports; generic payment descriptions.
Required controls:
| Control | Description | |---|---| | Segregation of duties | No single employee controls all aspects of high-risk transactions | | Approval hierarchy | Management review for foreign-official and high-risk third-party expenditures | | Expense flagging | Automated flags for unusual payments routed to Compliance pre-processing | | Periodic audits | High-risk accounts and third-party transactions | | Payment channels | Payments only to contracting party; only in country of service |
Finance red flags (escalate before payment): Round-sum invoices lacking detail; third-country/offshore payments; cash requests; shell companies; unusual urgency; unapproved vendors.
7. Training Requirements
| Population | Frequency | Content | |---|---|---| | All employees (intl ops, finance) | Hire + annual | FCPA overview, red flags, reporting channels | | High-risk (sales, BD, procurement) | Hire + annual + role change | Scenarios, approval workflows, due diligence | | Senior management | Annual | Compliance culture, resource adequacy, escalation | | Board/Audit Committee | Annual | Oversight, key risks, program effectiveness | | High-risk third parties | Per contract | FCPA fundamentals, policy obligations |
Require written certification of completion; maintain comprehension records (assessments).
8. Reporting & Non-Retaliation
Channels: 24/7 multilingual hotline (anonymous where permitted); web portal; direct Legal/Compliance access.
Investigation: Prompt review; independent investigators; document preservation; escalation to Audit Committee for significant matters.
Non-retaliation: Adverse actions prohibited for good-faith reporters or employees refusing to participate in violations. Retaliation = independent terminable offense.
Protections: Dodd-Frank (SEC reporter incentives/anti-retaliation) [VERIFY current bounty %]; SOX (public company fraud reporting).
9. Enforcement & Accountability
- Discipline: Violations subject to termination regardless of seniority; includes demotion, suspension, bonus/equity forfeiture
- Personal liability: Company cannot indemnify personal criminal fines; individual exposure includes imprisonment (up to 5 years), civil penalties, disgorgement, debarment
- Self-disclosure: Company reserves voluntary disclosure right; cooperation is significant in DOJ/SEC charging decisions
- Governance: Designated CCO with board reporting line; annual policy review; Compliance Officer escalation authority; adequate budget for training, diligence, monitoring, investigations
Appendices
Include: gift/travel approval form template; tiered due diligence checklist; red flag reference card; Compliance contact info and hotline; country risk tier list (current TI CPI).
Troubleshooting
- Facilitation payment ambiguity: Default to prohibition; document policy election and rationale explicitly
- SOE classification uncertainty: Always assess government ownership stake — even minority ownership qualifies employees as foreign officials
- U.K. Bribery Act overlap: Flag where U.K. nexus triggers stricter standards (no facilitation exception, adequate procedures defense)
- Threshold calibration: Adjust gift/hospitality limits to industry norms; document basis for chosen amounts
- "Paper program" risk: DOJ/SEC evaluate whether program is operationalized — policy without training, monitoring, and enforcement is insufficient
Guidelines
- Verify penalty amounts annually — subject to Federal Civil Penalties Inflation Adjustment Act
- Apply the more restrictive standard where local law conflicts; document analysis
- Do not speculate on whether specific historical company conduct violated the FCPA without attorney review
- Mark all jurisdiction-specific or time-sensitive figures with [VERIFY]
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