Appendix 7 FCPA Acquisition Due Diligence Checklist

AuthorRobert W. Tarun
ProfessionFormer Executive Assistant U.S. Attorney in Chicago
Pages917-919
APPENDIX 7
FCPA Acquisition Due
Diligence Checklist
Corporate Information
Names and Addresses of Target’s Officers, Directors, Management Level
Employees, Owners and Principal Shareholders (private company)
Names and Addresses of Target’s Officers, Directors, Management Level
Employees, Owners and Shareholders with Interests of 10% or More (public
company)
Identification of any Officers, Directors, Management Level Employees,
Owners or Principal Shareholders Who are:
Current or Former Government Officials or Employees
Close Family Members of Government Officials or Employees
FCPA or Anti-Bribery Compliance Policies and Procedures
Statement of Corporate Compliance Policy
Internal FCPA or Anti-Bribery Compliance Procedures
FCPA or Anti-Bribery Compliance Training Materials
PowerPoint Presentations
• Handouts
Attendance Lists
Acknowledgment Forms
Internal Accounting Control Procedures
Appropriate Translation of Compliance Policies and Procedures
International Business Activities
Countries in which Target has Business Operations
Countries in which Target makes sales to Government Entities (including
State-Owned Commercial Enterprises)
Evaluation of Countries against Transparency International Corruption
Perception Index (CPI)
List of all Registrations, Licenses, Permits and other Government Approvals
held by Target to do business in each Country
Identification of each Government Agency responsible for administering
Registration, Licensing, Permits and Approvals
Copies of all Correspondence with Government Agencies relating to
Registration, Licensing, Permits and Approvals
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