Investor Lawyers BlogBraskem，Teva Pharmaceutical和General Cable.Settle FCPA费用为9.57美元，5.19亿美元和7500万美元
A Brazilian-based petrochemical maker that trades its stock in US markets has arrived at a $95M global settlement with the US Securities and Exchange Commission, the US Justice Department, and authorities in Switzerland and Brazil. Braskem SA is accused of violating the Foreign Corrupt Practices Act and generating fake books and records to hide millions of dollars in bribes that it allegedly paid government officials in Brazil for the purposes of either keeping or winning business.
Braskem is accused of making about $325M in profits because of these purported bribes that were made via intermediaries and off-book accounts run by its biggest shareholder. The SEC believes that the petrochemical manufacturer lacked the internal controls to stop it from executing these bribes, which allegedly occurred over eight years.
As part of the settlement, Braskem will pay $325M in disgorgement—$65M of that will go to the SEC and $260 will go to authorities in Brazil. Another $632M will go toward criminal penalties and fines. Braskem will have to work with an independent corporate monitor for a minimum of three years.
在另一个FCPA解决方案中，这是5.19亿美元，Teva Pharmaceutical Industries Limited与SEC和DOJ达成了一项协议。该和解解决了指控，指控它向墨西哥，乌克兰和俄罗斯贿赂政府官员以提高其市场份额，获得毒品购买和处方决定，并获得其他批准。由于所谓的违法行为，据称Teva赚了2.14亿美元的非法利润。
The SEC said that the bribes were covered up as legitimate distributor payments. Of the $519M settlement, over $236M is disgorgement and interest to the SEC. $283M is a penalty and part of its deferred prosecution deal with the DOJ. Teva also must keep an independent corporate monitor in place for a minimum of three years.
总体有线电视公司还解决了由SEC和司法部提出的FCPA指控。总部位于肯塔基州的电缆和电线制造商同意向监管机构支付超过7500万美元的费用，除了650万美元的会计相关违规行为外，还要支付超过7500万美元。
General Cable’s subsidiaries outside the US are accused of making improper payments to officials abroad over a 12-year period in order to keep or win business in Bangladesh, Angola, Egypt, China, Thailand, and Indonesia. The SEC attributes these bribes to the company’s purportedly weak internal controls not being able to identify improper inventory accounting at its subsidiary in Brazil. The regulator also believes that the company materially misstated financial statements from ’08 through 2012’s second quarter.
作为该和解的一部分，通用有线将支付第55美元的撤销和利息，并将近2050万美元的罚款作为与司法部的非批准交易的一部分。该公司与SEC达成和解，没有否认或接受调查结果。需要自我报告三年的合规工作。
Former General Cable senior VP Karl J. Zimmer, in charge of Angola sales, also agreed to pay the SEC a $20K penalty. However, he is not denying or admitting to the findings accusing him of knowing that he was getting around internal accounting controls and causing violations of the FCPA act by approving certain payments that were improper.
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