Compliance Programmes

AuthorStuart H Deming; Truman K Butler; Vivian Robinson
A common theme in the legal regimes associated with the FCPA and UK
Bribery Act is the need for an entity to develop, implement and actively
enforce an effective compliance programme. Under the UK Bribery Act, an
effective compliance programme can serve as a complete defence for an
entity subject to its terms. Though the FCPA does not explicitly provide for
a similar defence, in practice the existence and effectiveness of a compli-
ance programme are critical factors in making enforcement decisions. For
entities subject to the FCPA’s accounting and record-keeping provisions, an
effective compliance programme is also required as part of an entity’s legal
obligation to implement adequate internal controls.
With the implementation and increasing enforcement of domestic leg-
islation associated with a series of international anti-bribery conventions,
the scope of individuals and entities subject to legal regimes similar to the
FCPA and UK Bribery Act is constantly expanding. Aside from the legal
mandates, prudence and good business practice dictate that entities engaged
in international business put in place effective compliance programmes.
Otherwise, an entity’s ability to engage in international business can be
seriously compromised.
A. Harmonising FCPA and UK Bribery
Act Compliance Programmes
Given the breadth of their scope and the extent of their extraterritorial reach,
few individuals and entities engaged in international business are beyond
the reach of the FCPA and UK Bribery Act. For individuals and entities not
Chapter 4
Compliance Programmes
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