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
__________
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
Attachments: image001.png (50011 Bytes)
Loading...