The FCPA and Individual Liability - A Trend or Is It Here to Stay?

The US Department of Justice (DOJ) and the Securities and Exchange Commission (SEC) have increased FCPA enforcement actions against individuals. These regulatory agencies have the authority to enforce the FCPA against a broad range of individuals including officers and employees within a company and outside individuals acting on behalf of a company. In April alone, the DOJ indicted six individuals and secured guilty pleas from two others. This level of activity will continue as enforcement authorities pursue both companies and the executives involved in improper payments.

A clear understanding of the landscape and risks is essential. During this program Mayer Brown lawyers, along with in-house counsel from Aon Corporation, discussed:

  • The range of conduct that led to recent enforcement actions against individuals
  • The concept of "knowledge" and liability for the conduct of agents under the FCPA
  • Jurisdictional aspects: Non-US citizens are in the mix
  • How to avoid personal liability
James Parkinson - Washington DC
Z. Scott - Chicago

Related Materials
Presentation Slides (PDF)
Presentation Audio (MP3)