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The Corporate Investigations List (July 2014)

Monday, July 7, 2014 at 7:28AMRichard L. Cassin

 The companies listed below are the subject of an ongoing and unresolved FCPA-related investigation. The names are current through June 30, 2014.

The entries are based on disclosures in SEC filings or credible news reports or both.

Some companies on the list have disclosed DOJ and SEC investigations, and declinations from only one of those agencies. We're assuming the agency for which a declination hasn't been disclosed is continuing its investigation.

The DOJ and SEC don't disclose the existence of FCPA investigations or comment on them. That means non-issuers (non-public companies) and issuers that have a pending investigation but haven't disclosed it, may not appear on our list.

This data is made available once again through the generous contribution of an anonymous volunteer researcher.

In addition to the companies on the list, the researcher identified at least 20 others suspected to be the target of an ongoing FCPA investigation. The researcher (and others) aren't able to confirm those investigations using reliable sources, so the companies have been omitted.

Here are the current 106 names:

1    ABM Industries Incorporated2    Accenture PLC3    Agilent Technologies Inc4    Airbus Group5    Alstom SA6    Analogic Corporation7    Anheuser-Busch InBev SA/NV8    AstraZeneca PLC9    Avon Products Inc10   Barclays PLC11   Beam Inc12   BHP Billiton Ltd13   Bio-Rad Laboratories Inc14   Blackstone Group LP15   Bristol-Myers Squibb Company16   Brookfield Asset Management Inc17   Bruker Corporation18   BSG Resources Ltd19   Central European Distribution Corporation20   Chestnut Consulting Inc21   Cisco Systems Inc22   Citigroup Inc23   Credit Suisse Group AG24   Cobalt International Energy Inc25   Comcast (NBCUniversal Inc)26   Cubist Pharmaceuticals Inc (Optimer Pharmaceuticals Inc)27   Dialogic Inc28   Delphi Automotive PLC29   Deutsche Bank AG30   Deutsche Post AG (DHL)31   DreamWorks Animation SKG Inc32   Dun & Bradstreet Corporation33   Eli Lilly and Company34   Embraer SA35   Ericsson AB36   Expro International Group PLC37   Fedex Corporation38   Freeport-McMoRan Copper & Gold Inc39   Fresenius Medical Care AG & Co KGaA40   General Cable Corporation41   GlaxoSmithKline PLC42   Gold Fields Limited43   Goldman Sachs Group Inc44   Goodyear Tire and Rubber Company45   Grifols SA (Talecris Biotherapeutics Holdings Corp)46   Halliburton Company47   Harris Corporation48   Hyperdynamics Corporation49   Image Sensing Systems Inc50   Ingersoll-Rand PLC51   International Business Machines Corporation52   Johnson Controls Inc53   JPMorgan Chase & Co54   Juniper Networks55   Key Engery Services Inc56   Kimco Realty Corporation57   KKR & Company LP58   Las Vegas Sands Corp59   Layne Christensen Company60   Mead Johnson Nutrition Company61   Merck & Co Inc62   Microsoft Corporation63   Mondelēz International Inc (formerly Kraft Foods Inc)64   Morgan Stanley65   Motorola Solutions Inc66   MTS Systems Corporation67   National Geographic68   NCR Corporation69   Net 1 UEPS Technologies Inc70   News Corporation71   Nordion Inc72   Novartis AG73   Och-Ziff Capital Management Group LLC74   Olympus Corp75   Oracle Corporation76   Orthofix International NV77   Owens-Illinois Group Inc78   Panasonic Corporation79   PTC Inc80   Park-Ohio Industries Inc81   Protective Products of America Inc82   Qualcomm Incorporated83   Quanta Services Inc84   Rolls Royce PLC85   Sanofi SA86   SBM Offshore NV87   Sciclone Pharmaceuticals Inc88   Sensata Technologies Holding NV89   Siemens AG90   SL Industries Inc91   Smith & Wesson Holding Corporation92   Société Générale SA93   Sony Corporation94   STR Holdings Inc95   Tata Communications Limited96   Tesco Corporation97   TeliaSonera AB98   Teva Pharmaceutical Industries Limited99   UBS AG100  Universal Entertainment Corp101  Universal Music Group (Vivendi)102  Viacom (Paramount Pictures)103  VimpelCom Ltd104  Wal-mart Stores Inc105  Walt Disney Company106  WS Atkins PLC (PBSJ Corp)

The list for end of 2013 is here and for the end of 2012 is here.

*     *     *

Countries involved in at least one on-going investigation include the following. Some companies don't disclose any countries where potential violations might have occurred, and many companies don't disclose all of the countries involved.

1    Angola2    Argentina3    Australia4    Bangladesh5    Belarus6    Brazil7    Canada8    China9    Croatia10   Dominican Republic11   DRC12   Egypt13   Equatorial Guinea14   Georgia15   Germany16   Greece17   Guinea18   Hong Kong19   India20   Indonesia21   Iran22   Iraq23   Italy24   Jordan25   Kazakhstan26   Kenya27   Kuwait28   Lebanon29   Libya30   Mexico31   Oman32   Pakistan33   Poland34   Qatar35   Romania36   Russia37   Saudi Arabia38   Serbia39   Slovakia40   South Africa41   Switzerland42   Turkey43   UAE44   UK45   Ukraine46   Uzbekistan

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Richard L. Cassin is the publisher and editor of the FCPA Blog. He can be contacted here.

 

 

_________________________________

      Cindy Salmen

      Senior Vice President, Compliance Counsel

      SONY PICTURES ENTERTAINMENT

      Direct Tel:  310 244 4162

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