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20Novembre,2010AnticorruptionTraining反腐培训OfficeoftheGeneralCounsel法务总监办公室ShanghaiSeptember,2014上海2014年9月WhyAreWeHere?为何培训?Whatisabribe?什么是行贿?Howarebribesgiven?行贿的方式?Whatisthesocialcost?有哪些社会成本?AnticorruptiontrainingispartofourComplianceProgram反腐培训是我们合规计划的一部分Helpyoutakeaproactiveroleinavoidingcorruptionthatmayaffectthecompanyandyourself帮助采取积极行动,防止出现影响公司及个人的腐败行为AlertyoutoourAnticorruptionPolicy1-16对公司反腐政策1-16保持警觉2•SEC1976reporttotheU.S.Congresssaysthatover400Americancompanieswerepayinghundredsofmillionsofbribesabroadtosecurebusiness美国证监会(SEC)于1976年向美国国会报告,有400多家美国企业在海外行贿数亿美元获取业务•CongresspassedtheForeignCorruptPracticesActin1977国会于1977年通过《海外反腐败法》TheOrganizationforEconomicCooperationandDevelopment(OECD)membersadoptedtheConventionforCombatingBriberyofForeignPublicOfficialsin1997经济合作与发展组织(OECD)成员国于1997年通过《打击贿赂外国公职人员公约》Spreadofanticorruptionlawsandconventions.UnitedNations,Italy,UnitedKingdom,Russia,Mexico,China,andmanyothers联合国、意大利、英国、俄罗斯、墨西哥、中国及许多其他国家先后通过反腐法案及公约70’s70年代90’s90年代2000’s2000年以后AntibriberyMovement反贿赂运动3FINESANDPENALTIES罚款和罚金•Totalfinesandpenaltiesfor2013:$720M2013年总罚款和罚金数额:7.2亿美元•2013Averagepenalty:$80M2013年平均罚金数额:8千万美元ExamplesinAutoIndustry汽车行业案例:•Daimler2010:BribesthroughLatvianaccountstosecuregovernmentsalesinRussiaandothercountries.$93.6Mincriminalfines;$91.4Mincivilpenalties•2010年戴姆勒:通过设在拉脱维亚的账户行贿,获得俄罗斯及其他国家的政府采购订单。处以刑事罚款9360万美元;民事罚金9140万美元•Fiat2008:Bribes(kickbacks)inUNOil-for-FoodprogramreIraq.$7Mfine•2008年菲亚特:在参与联合国伊拉克石油换食品计划中行贿(回扣)。处以7百万美元罚款CompanyCost公司成本4INVESTIGATIONCOSTS调查成本•Mayreachorexceedthecostofpenalties可能超过罚金•WalmartInvestigationcosts2011-present:approx.$400M.沃尔玛从2011年至今的总调查成本:约4亿美元•Daimlercase戴姆勒案:oCriminalandCivilpenalties:$180M刑事及民事罚金总额:1.8亿美元oInvestigationcosts:$500M调查成本:5亿美元REPUTATIONALCOST声誉成本DEBARMENT禁令•Lossofabilitytobidforgovernmentcontracts禁止投标政府合同CompanyCost公司成本5Year年份IndividualFCPAProsecutions个人反腐起诉数量20103320112020124201312•Theanticorruptionlawsaretypicallycriminalstatutes反腐败法通常属刑事法•Enforcementactionsincreasinglyinvolveprivateindividualprosecutions执法越来越多地涉及个人起诉PetroTiger’stwoformerCEOsarrestedatNewarkAirportandinthePhillipinesforpayingbribesinColombiatogetgovernmentcontractsPetroTiger公司两名前CEO在纽约纽瓦克机场及菲律宾被捕,罪名是在哥伦比亚行贿获取政府合同Maxwell’sTechnologiesSwissexecutiveindictedforpayingbribestoChineseofficialstosecurecontractforthesaleofvoltagecapacitorproductsMaxwell’sTechnologies公司瑞士籍主管被指控向中国官员行贿获取高压电容器产品合同Nocorporateindemnityavailableforindividualswhopaybribes公司对个人行贿不承担赔偿义务PeopleCost人员成本6FCPAEnforcementinChinaFCPA法在中国的执行7China#1intermsofcasesunderinvestigation中国境内在查案件数量排名第一各地区《海外反腐败法》(FCPA)的执行情况美洲欧洲亚洲中东非洲8ChinaContext中国现状•PresidentXiJinping’santicorruptioninitiativeisfarreachingandhasproducedhundredsofconvictions,somecarryingthedeathpenalty习近平主席的反腐行动波及面广,已查处数百名官员,其中一些被执行死刑•NYTreportsthat800,000governmentemployeesworkintheanticorruptionsystem(includingparttimers,differentagencies,etc.)纽约时报报道已有80万公职人员参与反腐工作(包括兼职人员,不同机构等)–(InterviewwithRenJianming,Sep2,2014)–2014年9月2日采访任建明•TheChinesegovernmentwillpursuepublicofficialsandforeignprivateparties中国政府将追捕政府官员和外籍个人–GSKcase(discussedbelow)–PeterHumphreyandYuYingzeng,MarkReilly–葛兰素史克案(详见后文)–PeterHumphrey和YuYingzeng,MarkReilly•AmChamsurveyof400multinationalsindicates:中美商会对400家跨国企业的调查显示:–40%arespendingmoreoncompliancesincenewAnticorruptioncampaign–新一轮反腐行动开展以来,40%的企业正在增加合规方面的支出–25%theychangedcommercialpracticesorincentivestoavoidcorruption–25%的企业改变了商业操作或激励措施,以避免产生腐败–Lessgeneralconcernabouteconomicslowdownandmoreconcernaboutanticorruption,pricingorcompetitionlaws–对经济增速放缓的关注减少,对反腐、定价及竞争法的关注增加8CommonGlobalAnticorruptionElements全球范围反腐常见要素123456Offering,promising,paying,authorizingorgivinganythingofvalue提供、承诺、支付、授权或给予任何有价值的事物Directlyorthroughanintermediary直接或通过中间人Toa(foreign)governmentofficial对象为(国外)政府官员Foracorruptpurpose-usuallytogainanyimproperadvantage以腐败为目的–通常获取不正当利益Toobtainorretainbusiness获取或保留业务Accountingissues会计问题9Offer,Promise,Pay,AuthorizeorGive提供、承诺、支付、授权或给予•Promise,authorization,orofferofanimproperpaymentisitselfpunishable•承诺、授权或提供不正当付款其本身就可获惩罚•Mereattempttoinfluenceanofficialtosecureimproperadvantageispunishable•仅尝试对官员施加影响以获取不正当利益即可获惩罚•Norequirementthatbribebepaidorsuccessfulinachievingdesiredoutcome•支付行贿金或成功获得所期结果不构成必要条件10AnythingofValue任何有价值的事物“Value”maybemonetaryorin-kind“价值”可以是货币或实物Whateverhasvaluetotherecipient.Nominimums任何对接受者来说有价值的事物。没有下限。Examples例如:•Cash,checks,giftcards,wiretransfers,orothercashormonetaryequivalents现金、支票、礼品卡、电汇或其他现金或货币等价物•Discountsforcars购车折扣•Paymentsformeals,travel,andentertainmentexpenses支付用餐、旅行及娱乐费用•Tangibleandintangiblegiftsandfavors有形及无形的礼物和帮助•Personalservices,theaterorsportstickets,jobs个人服务、演出或体育比赛门票、工作机会•Politicalcontributions政治捐款•Hiring“Princelings”雇佣“太子党”11DirectlyorIndirectly–Whoisresponsible?直接或间接–谁承担责任?•Acompanynormallyisliablefortheactsofitsemployees企业通常要为员工的行为承担负责•Difficulttodistancethecompanyfromtheactsofrogueemployees:MorganStanley很难让企业远离无赖员工的行为:摩根斯坦利•Acompanyisalsoliablefortheactsofagentsorrepresentativesthatactonitsbehalf企业同样要为代表其行为的各机构或代表的行为承担责任ContrarytocommonChinaperspective…与中国的一般理解相反Youc
本文标题:Bilingual-Anticorruption-Presentation-Sep-15-final
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