FCPA Books and Records Compliance
Meeting FCPA Accounting Requirements and Minimizing Liability Risks
Recording of a 90-minute CLE webinar with Q&A
This CLE webinar will prepare counsel for companies doing business internationally to comply with the books and records provisions of the Foreign Corrupt Practices Act (FCPA) and minimize the risks of FCPA violations.
FCPA accounting provisions
- Statutory requirements
- SEC enforcement authority
SEC Guidance on the accounting provisions
- DOJ/SEC guidance
- Representative enforcement actions
- Particular challenges
Complying with books and records requirements
- Key elements of FCPA compliance program
- Internal audit and forensic reviews
- Review and remediation of internal controls
The panel will review these and other key questions:
- What records are companies mandated to maintain under the FCPA books and records requirement?
- What strategies can counsel utilize to ensure compliance with the FCPA books and records provisions?
- What does the recently issued DOJ and SEC resource guide offer businesses to assist with compliance?
Following the speaker presentations, you'll have an opportunity to get answers to your specific questions during the interactive Q&A.
Edward J. Fishman
Mr. Fishman advises clients with respect to government and internal corporate investigations, corporate transactions,... | Read More
Mr. Fishman advises clients with respect to government and internal corporate investigations, corporate transactions, and related regulatory matters. He focuses on FCPA compliance and auditor independence requirements. Mr. Fishman has extensive experience representing companies in connection with FCPA compliance, due diligence, training and other risk management procedures. He also regularly advises clients on matters before the DOJ and the SEC.Close
Luke T. Cadigan
He concentrates his practice on securities enforcement matters, internal investigations, regulatory compliance, and... | Read More
He concentrates his practice on securities enforcement matters, internal investigations, regulatory compliance, and related litigation. Prior to joining K&L Gates, he was an Assistant Director in the Enforcement Division of the SEC, serving that role in both the Boston Regional Office and in the SEC’s Foreign Corrupt Practices Act Unit.Close
Manny A. Alas
Advisory Forensic Services Partner
He leads the New York Forensic Services Practice group and is the co-leader of the firm's FCPA practice. His FCPA... | Read More
He leads the New York Forensic Services Practice group and is the co-leader of the firm's FCPA practice. His FCPA expertise includes investigations, compliance programs, controls implementation, pre and post merger compliance due diligence as well as training programs. He provides specialized advisory services to boards of directors, audit committees, senior company management, and attorneys.Close