fcpa-compliance-policy

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

1. Company profile — jurisdiction, SEC issuer or domestic concern status, geographic markets, high-risk countries
2. Existing materials — prior FCPA policies, audit findings, enforcement history, third-party agent inventory
3. Org structure — approval hierarchies, Compliance Officer identity, board/audit committee structure
4. Risk appetite — facilitation payment election (recommend total prohibition), gift/hospitality thresholds
5. Third-party landscape — agents, distributors, JV partners interacting with foreign officials

Quick Start

1. Gather prerequisites above
2. Draft policy following the nine-section Output Structure below
3. Customize thresholds to company risk profile
4. Run Guidelines checklist before finalizing
5. 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.