美國FCPA執法官員講話的字裡行間
注：本文編譯自FCPA professor加上一些自己的思考。
在上週舉行的FCPA國際會議（ International conference of the FCPA）
美國反海外腐敗法的執法官員，以及實務屆律所的各大合夥人都有參加此次會議。
而按照美國執法界的慣例，在這些私房閉門會議中，經常會透露出一些執法的趨勢。
更神奇的是，這類外包給國際會議舉報機構的閉門會，會往往要收取幾千美元的參會費。而且往往還只能in person，在出現了疫情可能是透過線上會議進行的。
所以之前美國學術界也有人批評過這種操作，認為舉辦私房會議，透露執法趨勢和動向，然後收會費的行為涉嫌腐敗（至少涉及某種程度上的不妥行為）。
Anyway，今天講一下，執法官員講話中字裡行間透露的一些趨勢。
首先，總結了今年的反海外腐敗法執法情況：
（1）對個人的執法與往年持平，針對公司的執法無論是DOJ和SEC層面都是比往年要低。
Criminal prosecution of individuals are on pace with prior years, While the number of corporate enforcement actions by both the DOJ and SEC is done this year.
（2）各類執法線索來源充足。主要執法線索來源有吹哨人、證人合作、公司自我披露和外國執法機構等。
The pipeline is strong. FCPA Enforcement units are busy at work and new enforcement actions are expected to be announced over the coming months.
They noticed that Information continues to flow in from whistleblowers, corporate businesses, companies making warranty disclosures and foreign enforcement authority.
（3）疫情對執法有一定的延期影響，但隨著時間逐漸減弱。
執法部門調查部門逐漸適應使用線上工具進行執法，當執法部門系統性的熟悉了疫情下的新常態執法後，疫情對執法的延期作用將不會那麼明顯。
The pandemic has caused delays but less so over time as government companies and defense bar have become more adept at conducting investigations and reach resolutions using technology as zoom.
（4）國際執法合作並不是一個趨勢，而是一個現實。
International coordination is not just trained, it is an ongoing reality.
（5） 法部門偏愛資料。司法部門將善於使用大資料發現分析公司合規體系中的風險點，並且保證公司的政策和制度流程。恰當且在實踐中有效的。
DOJ like data.
In addition to data mining, last discussed how data analytics can assist corporate compliance programs in identifying red flags and ensuring that the policies and procedures that exist on paper are actually working in practice.
（6） 執法部門將追溯資金鍊。執法部門將使用2021年國防授權法案（NDAA2021）中的新的Subpoena權力，來促使獲得外國銀行記錄。
Doj will follow the money.
The fcpa prosecutor suggesting that money laundering and related charges are very much on the fcpa units' mind .
He also said that DOJ plans to use its new subpoena powers under the National Defence Authority Act of 2021 to obtain foreign bank records, though he did strike a note of caution, stating that the subpoenas would be used only in appropriate circumstances. We still regard for diplomatic sensitivities.
（7）將頒佈、恢復一系列的全新DOJ政策影響FCPA的執法。DOJ將持續追究個人責任為優先。
首先，老生常談的是執法部門將優先追究個人責任。
其次，執法部門只有在公司完全配合提供涉案所有人資訊的前提下，才會給予公司一定的罰款折扣。
再次，執法部門在與公司簽訂暫緩起訴協議時，會考慮之前該公司的“案底”及其在先犯過的刑事民事行政處罰。
最後，執法部門將會加大在和解協議中新增 monitor的比例。
之前monitor的新增是作為一個例外，而不是default。
New and revived doj policies will influence fcpa enforcement.
The head of FCPA unit spoke about a variety of DOJ initiatives under the Biden administration, including recent guidance from deputy attorney general Lisa Monaco, he observed that DOJ will be prioritizing individual prosecution.
（8） SEC對金融服務機構比較感興趣（執法）
The SEC is interested in the financial service sector, the prosecutor pointed out that some of the SEC's most significan FCPA enforcement actions have been against banks, big banks, SEC will remain focused on the financial services sector in general.
