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WHITEPAPER | 5 Critical Considerations for FCPA Violation Allegations

What do you do when an allegation of a FCPA violation is raised within your company?

With the SEC and DOJ zeroing in on the role of the compliance officer, and the paradigm shift of the BHP Billiton case, an allegation of an FCPA violation can seem doubly terrifying.

While most agree that companies must now take all allegations of corruption or faulty compliance seriously, when an allegation is raised, the immediate course of action isn’t always clear. “To disclose or not to disclose” is a question that haunts many.

In this whitepaper, Robert Appleton of Day Pitney LLP examines the five most important considerations for corporate leaders when a potential FCPA violation has been raised within their company.

In this whitepaper, you’ll learn:

  • The impact and liability ignoring allegations can have on your organization
  • The 5 questions to consider as you investigate the allegation
  • The 3 corrective measures a company can undertake to mitigate possible penalties
  • SEC and DOJ expectations and corporate responsibility for investigating and remediating claims


Robert Appleton Top 5 Things FCPA Violation Allegation

Robert Appleton, Partner at Day Pitney LLP


Robert Appleton is a Partner in the law office of Day Pitney LLP, where he concentrates on white Collar matters, government investigations, compliance, broker/dealer securities issues, and asset recovery. Robert provides strategic counsel to broker/dealers, companies and individuals facing state, federal, DOJ or SEC investigations and prosecutions or financial losses; advice and defense on FCPA matters, export control-sanctions and enforcement advice; and compliance-including compliance assessments and preparation of individual tailored anti bribery compliance training programs. Mr. Appleton has served in many senior positions, both in the US and abroad, and led and managed hundreds of international cross border financial fraud, securities and financial misuse investigations over his career as a US federal prosecutor, high profile international investigator and senior global compliance attorney.

In 2006, Robert Appleton was appointed by the UN Secretary General as the first ever Chairman of the UN Anti-Corruption Task Force (PTF), where he led corruption investigations throughout the world body between 2006-2009; in 2005 Mr. Appleton was appointed by Former US Federal Reserve Chairman Paul Volcker as his Special Counsel and then Chief Investigative Counsel to the Independent Inquiry Committee investigation into the Iraqi Oil for Food Scandal; in 2010 he was selected to serve as Senior Legal and Compliance Counsel and Director of Investigations at the Geneva based Global Fund to Fight AIDS, Tuberculosis and Malaria, where he supervised more than 300 forensic financial investigations throughout the world, and handled many Patriot Act, FCPA and AML matters throughout the world. Mr. Appleton served as a federal prosecutor and then a Supervisory AUSA for more than 13 years in the US Attorneys Office in the District of Connecticut and at the DOJ.

Awards & Certifications 2013 GRC 20/20 Technology Innovation Award 2013 TAG Top 40 Innovative Company 2012 IABC Gold Quill Award 2012 MarCom Award We self-certify compliance Safe Harbor Safe Harbor Certification SOC 2 Certification