FCPA法案.docx

FCPA法案.docx

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FCPA法案

July22,2004]

Anti-BriberyandBooks&RecordsProvisionsof

TheForeignCorruptPracticesAct

CurrentthroughPub.L.105-366（November10,1998）

UNITEDSTATESCODE

TITLE15.COMMERCEANDTRADE

CHAPTER2B--SECURITIESEXCHANGES

§78m.Periodicalandotherreports

（a）Reportsbyissuerofsecurity;contents

Everyissuerofasecurityregisteredpursuanttosection78lofthistitleshallfilewiththeCommission,inaccordancewithsuchrulesandregulationsastheCommissionmayprescribeasnecessaryorappropriatefortheproperprotectionofinvestorsandtoinsurefairdealinginthesecurity--

（1）suchinformationanddocuments（andsuchcopiesthereof）astheCommissionshallrequiretokeepreasonablycurrenttheinformationanddocumentsrequiredtobeincludedinorfiledwithanapplicationorregistrationstatementfiledpursuanttosection78lofthistitle,exceptthattheCommissionmaynotrequirethefilingofanymaterialcontractwhollyexecutedbeforeJuly1,1962.

（2）suchannualreports（andsuchcopiesthereof）,certifiedifrequiredbytherulesandregulationsoftheCommissionbyindependentpublicaccountants,andsuchquarterlyreports（andsuchcopiesthereof）,astheCommissionmayprescribe.

Everyissuerofasecurityregisteredonanationalsecuritiesexchangeshallalsofileaduplicateoriginalofsuchinformation,documents,andreportswiththeexchange.

（b）Formofreport;books,records,andinternalaccounting;directives

***

（2）Everyissuerwhichhasaclassofsecuritiesregisteredpursuanttosection78lofthistitleandeveryissuerwhichisrequiredtofilereportspursuanttosection78o（d）ofthistitleshall--

（A）makeandkeepbooks,records,andaccounts,which,inreasonabledetail,accuratelyandfairlyreflectthetransactionsanddispositionsoftheassetsoftheissuer;and

（B）deviseandmaintainasystemofinternalaccountingcontrolssufficienttoprovidereasonableassurancesthat--

（i）transactionsareexecutedinaccordancewithmanagement'sgeneralorspecificauthorization;

（ii）transactionsarerecordedasnecessary（I）topermitpreparationoffinancialstatementsinconformitywithgenerallyacceptedaccountingprinciplesoranyothercriteriaapplicabletosuchstatements,and（II）tomaintainaccountabilityforassets;

（iii）accesstoassetsispermittedonlyinaccordancewithmanagement'sgeneralorspecificauthorization;and

（iv）therecordedaccountabilityforassetsiscomparedwiththeexistingassetsatreasonableintervalsandappropriateactionistakenwithrespecttoanydifferences.

（3）

（A）WithrespecttomattersconcerningthenationalsecurityoftheUnitedStates,nodutyorliabilityunderparagraph

（2）ofthissubsectionshallbeimposeduponanypersonactingincooperationwiththeheadofanyFederaldepartmentoragencyresponsibleforsuchmattersifsuchactincooperationwithsuchheadofadepartmentoragencywasdoneuponthespecific,writtendirectiveoftheheadofsuchdepartmentoragencypursuanttoPresidentialauthoritytoissuesuchdirectives.Eachdirectiveissuedunderthisparagraphshallsetforththespecificfactsandcircumstanceswithrespecttowhichtheprovisionsofthisparagrapharetobeinvoked.Eachsuchdirectiveshall,unlessrenewedinwriting,expireoneyearafterthedateofissuance.

（B）EachheadofaFederaldepartmentoragencyoftheUnitedStateswhoissuessuchadirectivepursuanttothisparagraphshallmaintainacompletefileofallsuchdirectivesandshall,onOctober1ofeachyear,transmitasummaryofmatterscoveredbysuchdirectivesinforceatanytimeduringthepreviousyeartothePermanentSelectCommitteeonIntelligenceoftheHouseofRepresentativesandtheSelectCommitteeonIntelligenceoftheSenate.

（4）Nocriminalliabilityshallbeimposedforfailingtocomplywiththerequirementsofparagraph

（2）ofthissubsectionexceptasprovidedinparagraph（5）ofthissubsection.

（5）Nopersonshallknowinglycircumventorknowinglyfailtoimplementasystemofinternalaccountingcontrolsorknowinglyfalsifyanybook,record,oraccountdescribedinparagraph

（2）.

（6）Whereanissuerwhichhasaclassofsecuritiesregisteredpursuanttosection78lofthistitleoranissuerwhichisrequiredtofilereportspursuanttosection78o（d）ofthistitleholds50percentumorlessofthevotingpowerwithrespecttoadomesticorforeignfirm,theprovisionsofparagraph

（2）requireonlythattheissuerproceedingoodfaithtouseitsinfluence,totheextentreasonableundertheissuer'scircumstances,tocausesuchdomesticorforeignfirmtodeviseandmaintainasystemofinternalaccountingcontrolsconsistentwithparagraph

（2）.Suchcircumstancesincludetherelativedegreeoftheissuer'sownershipofthedomesticorforeignfirmandthelawsandpracticesgoverningthebusinessoperationsofthecountryinwhichsuchfirmislocated.Anissuerwhichdemonstratesgoodfaitheffortstousesuchinfluenceshallbeconclusivelypresumedtohavecompliedwiththerequirementsofparagraph

（2）.

（7）Forthepurposeofparagraph

（2）ofthissubsection,theterms"reasonableassurances"and"reasonabledetail"meansuchlevelofdetailanddegreeofassuranceaswouldsatisfyprudentofficialsintheconductoftheirownaffairs.

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***

§78dd-1[Section30AoftheSecurities&ExchangeActof1934].

Prohibitedforeigntradepracticesbyissuers

（a）Prohibition

Itshallbeunlawfulforanyissuerwhichhasaclassofsecuritiesregisteredpursuanttosection78lofthistitleorwhichisrequiredtofilereportsundersection78o（d）ofthistitle,orforanyofficer,director,employee,oragentofsuchissueroranystockholderthereofactingonbehalfofsuchissuer,tomakeuseofthemailsoranymeansorinstrumentalityofinterstatecommercecorruptlyinfurtheranceofanoffer,payment,promisetopay,orauthorizationofthepaymentofanymoney,oroffer,gift,promisetogive,orauthorizationofthegivingofanythingofvalueto--

（1）anyforeignofficialforpurposesof--

（A）（i）influencinganyactordecisionofsuchforeignofficialinhisofficialcapacity,（ii）inducingsuchforeignofficialtodooromittodoanyactinviolationofthelawfuldutyofsuchofficial,or（iii）securinganyimproperadvantage;or

（B）inducingsuchforeignofficialtousehisinfluencewithaforeigngovernmentorinstrumentalitythereoftoaffectorinfluenceanyactordecisionofsuchgovernmentorinstrumentality,

inordertoassistsuchissuerinobtainingorretainingbusinessfororwith,ordirectingbusinessto,anyperson;

（2）anyforeignpoliticalpartyorofficialthereoforanycandidateforforeignpoliticalofficeforpurposesof--

（A）（i）influencinganyactordecisionofsuchparty,official,orcandidateinitsorhisofficialcapacity,（ii）inducingsuchparty,official,orcandidatetodooromittodoanactinviolationofthelawfuldutyofsuchparty,official,orcandidate,or（iii）securinganyimproperadvantage;or

（B）inducingsuchparty,official,orcandidatetouseitsorhisinfluencewithaforeigngovernmentorinstrumentalitythereoftoaffectorinfluenceanyactordecisionofsuchgovernmentorinstrumentality.

inordertoassistsuchissuerinobtainingorretainingbusinessfororwith,ordirectingbusinessto,anyperson;or

（3）anyperson,whileknowingthatalloraportionofsuchmoneyorthingofvaluewillbeoffered,given,orpromised,directlyorindirectly,toanyforeignofficial,toanyforeignpoliticalpartyorofficialthereof,ortoanycandidateforforeignpoliticaloffice,forpurposesof--

（A）（i）influencinganyactordecisionofsuchforeignofficial,politicalparty,partyofficial,orcandidateinhisoritsofficialcapacity,（ii）inducingsuchforeignofficial,politicalparty,partyofficial,orcandidatetodooromittodoanyactinviolationofthelawfuldutyofsuchforeignofficial,politicalparty,partyofficial,orcandidate,or（iii）securinganyimproperadvantage;or

（B）inducingsuchforeignofficial,politicalparty,partyofficial,orcandidatetousehisoritsinfluencewithaforeigngovernmentorinstrumentalitythereoftoaffectorinfluenceanyactordecisionofsuchgovernmentorinstrumentality,

inordertoassistsuchissuerinobtainingorretainingbusinessfororwith,ordirectingbusinessto,anyperson.

（b）Exceptionforroutinegovernmentalaction

Subsections（a）and（g）ofthissectionshallnotapplytoanyfacilitatingorexpeditingpaymenttoaforeignofficial,politicalparty,orpartyofficialthepurposeofwhichistoexpediteortosecuretheperformanceofaroutinegovernmentalactionbyaforeignofficial,politicalparty,orpartyofficial.

（c）Affirmativedefenses

Itshallbeanaffirmativedefensetoactionsundersubsection（a）or（g）ofthissectionthat--

（1）thepayment,gift,offer,orpromiseofanythingofvaluethatwasmade,waslawfulunderthewrittenlawsandregulationsoftheforeignofficial’s,politicalparty’s,partyofficial’s,orcandidate’scountry;or

（2）thepayment,gift,offer,orpromiseofanythingofvaluethatwasmade,wasareasonableandbonafideexpenditure,suchastravelandlodgingexpenses,incurredbyoronbehalfofaforeignofficial,party,partyofficial,orcandidateandwasdirectlyrelatedto--

（A）thepromotion,demonstration,orexplanationofproductsorservices;or

（B）theexecutionorperformanceofacontractwithaforeigngovernmentoragencythereof.

（d）GuidelinesbyAttorneyGeneral

NotlaterthanoneyearafterAugust23,1988,theAttorneyGeneral,afterconsultationwiththeCommission,theSecretaryofCommerce,theUnitedStatesTradeRepresentative,theSecretaryofState,andtheSe