美资与在美上市企业的紧箍咒——《反海外腐败法》
Inhibiting magic phrase of U.S. businesses in China or listed companies in the United States-------《Foreign Corrupt Practices Act》
由于近几年相关部门的执法力度的加强，并且对于外资企业的“关注度”越来越高，跨国企业在中国的商业腐败行为被揭露的情况也逐渐增多，“FCPA”日益进入我们的视线，这不得不让我们思考这样一个问题——国内的美资企业或在美上市企业中的管理人员，对FCPA到底有多少了解？
FCPA（中文名《反海外腐败法》）作为一部美国法律，，旨在限制美国公司与个人贿赂国外政府官员的行为，并对美国上市公司的财会制度做出了相关规定。同时，作为一部维护市场经济秩序、保护公平竞争的法律，由于其目标对象的特殊性，以及日益扩大的国际影响该法对中国反腐败、反不正当竞争也具有相当的借鉴意义。
然而，即使企业对FCPA进行了很好的培训，或者制定了详细的内部指引，但是否真的明确“某些灰色地带的行为存在风险”？或者在实际操作过程中，存在 “无法执行“ 的落地问题呢？
本次我们将通过一系列的讨论，去和大家沟通、了解企业的真正难处，让会员们能够更好的保护自身的利益。
In recent years, due to the growing enforcement efforts of relevant departments, and the “attention ”for the companies is higher and higher, Multinational companies in Chinese commercial corruption more and more to be uncovered, “FCPA” comes into our sight, which let us had to thinking about such a question-----How much do the manager employed by U.S. businesses in China or listed companies in the United States know about FCPA？
As an American Law，FCPA designed to limit U.S. companies and individuals bribe foreign government officials and make the rules for the public company accounting system. Due to the particularity of its target and the growing international influence, at the same time, as a maintenance market economic order, protect fair competition law, the law has considerable significance on Chinese anti-corruption and against unfair competition.
However, even the enterprise have a good training on the FCPA, or developed detailed internal guidance, can they figure out which behavior may have risks distinctly? Or is that possible they may have some “cannot” circumstance?
Through a series of discussion and communicate with members, we will find the real difficulties of enterprises, and let members to protect their own interest better.
本次活动，我们将主要讨论以下三点
一、关于合同约束：About Contract Constraint
根据FCPA的要求，美国经营者有责任确认被禁止直接进行的行为不会通过代理人间接地进行。而为达到这个目的，可以有很多合同上的表现形式。很多美国企业为确认中国代理人是否从事不适当的活动，或在产生疑问的情况下为其进行证明，会希望能够检查该从业者的会计账簿和会计记录。然而，中方当事人，特别是政府性机构因为这构成美国法的治外法权，而在所有的合同中拒绝插入FCPA的适用条款。那么，如何在合同中插入既能让美国企业充分安心，又能让中方当事人满意的条款？
According to the requirements of the FCPA, the American operators have the responsibility to confirm the banned direct behavior will not be done through agents. To achieve this goal, there can be many forms of contract. Many U.S. companies to confirm whether Chinese agent engaged in inappropriate activities, or to prove under the condition of the question, they may ask to check the practitioners of accounting books and records. However, the Chinese party, especially the government agencies, because of the extraterritoriality, they will refuse to use FCPA in the contract. So, how to insert clause in the contract can reassure U.S. Company fully and can satisfied Chinese party?
二、腐败性支付和加速费 Corrupt Payments and Expediting Payment
几乎所有的公司都认为，为了介绍产品和技术，将潜在的客户带到自己公司进行招待是很有效的（尤其是在中国）。为了避免这样的行为被误认为腐败、行贿，FCPA规定，如果是“为外国公务员或者外国公务员的代表所消费的，比如差旅费、住宿费等合理且真实的费用，包括产品、服务的销售促进、展示会以及说明会，或者与履行与外国政府和政府机关签订的合同和演示直接相关的费用”可以排除在禁止向公务员支付的条款之外。虽然理论上比较简单，但是如何判断是否“合理且真实”或者和“销售促进”活动“直接相关”？腐败性支付和加速费我们又要如何来区分？
Almost all of company agree that entertainment expenses to bring potential customers should be paid, especially in China. In order to avoid such behavior be mistaken for corruption and bribery, The FCPA ruled: “if the fees is for the foreign civil servants or foreign consumption by civil servant in the house of representatives, such as travel expense, accommodation expense those kind of reasonable and real cost, include product, service, sales promotion, exhibition and presentation, or perform the contracts signed with foreign government and government agencies and presentation of the directly relevant expense” can be rules out in the clause which forbidden to the terms of the civil service pay. But, how to judge whether “reasonable and real “or “directly related” to the “sales promotion? “ How to distinguish the corrupt payments and expending payment?
三、抗辩 Defense
如果的确因为各方面原因，发生了违反FCPA的事实，企业如何自救？如何通过正确地途径，寻找具有实质内容的抗辩依据？
If violated the FCPA because of various reason indeed, how the enterprise defense themselves? How to prepare materials and prove in the right way?
本期分享嘉宾：SPEAKER
刘海涛 金杜律师事务所 合伙人律师
刘海涛律师的主要执业领域为商事诉讼和国际仲裁，具有20多年的诉讼仲裁经验。他曾经代表众多中、外企业进行商事诉讼和仲裁，涉及银行、投资、税务、公司、国际贸易、知识产权、房地产以及海商海事等诸多领域。刘海涛律师处理复杂案件的技巧及专业精神受到当事人的好评。刘律师代理的多起案件曾被收录于上海高院主编的案例选集中。
自2006年以来，刘海涛律师处理过众多合规案件，涉及反海外腐败法事宜的咨询以及为客户进行合规案件的调查等。刘海涛律师也为具有中国背景的美国上市公司提供咨询意见，并曾参与一系列此类公司的独立调查。刘海涛律师曾办理过的合规案件的客户涉及医药、医疗器械、顶尖运动品牌、奢侈品牌、广告、信息技术、石化及生化柴油等诸多行业。
Hai Tao Liu KING&WOOD MALLESONS Partner Lawyer
The main practice areas of lawyer liu are commercial litigation and international arbitration, with 20 years of experience in litigation. He has represented numerous enterprises commercial litigation and arbitration, involved in banking, investment, tax, companies, international trade, intellectual property, real estate and maritime affairs and many other fields. His skills and professional spirit of dealing with complex cases is well received by the parties. He agent many cases had been included in the shanghai high court case.
Since 2006, he has dealt with many cases of compliance, involved FCPA consulting and for the customer compliance case investigation. He also advised with Chinese background of listed companies in the United States, and involved in this kind of companies independent investigation. He had to deal with the compliance of cases involving customers leading medicine, medical equipment, sports brand, luxury brands, advertising, information technology, petrochemical and chemical and biological diesel oil, and many other industries.
流程安排：Agenda
15:00 会议开始主持人致辞 / Opening
15:05 嘉宾分享 / Topic Sharing
16:00 互动问答 / Q&A
16:30 活动结束 / End
