| name | fcpa-compliance-policy |
| title | FCPA Compliance Policy |
| 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. |
| author | CaseMark |
| author_url | https://github.com/CaseMark/skills/tree/main/skills/legal/fcpa-compliance-policy |
| license | Apache-2.0 |
| version | 0.1.0 |
| execution_mode | open |
| jurisdiction | us |
| practice | white-collar |
| language | en |
| tags | ["drafting","policy","research"] |
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.
