FCPA 2014: Compliance Initiatives and Trends

Steve Spivack chairs the Firm's White Collar Practice Group. He specializes in white collar criminal investigation and defense matters, including the conduct of internal investigations. He is a highly experienced white collar attorney having served as a federal prosecutor for many years in the District of Columbia and as a defense lawyer for the last twenty-five years. He has handled a wide variety of complex white collar cases, including the representation of a Division President of W.R. Grace, in what the EPA had claimed was one of the most important environmental cases ever brought. That representation resulted in all the charges being dismissed after a ten week trial.  He has successfully represented a wide range of diverse clients from Fortune 200 Companies and small privately owned companies, to corporate officers, lawyers, accountants, journalists, federal officials and local government officials. He has assisted companies in establishing compliance programs and has conducted company in-house seminars on such topics as FCPA compliance and government contractor ethics. Steve handles cases across the country and globally for corporate and individual clients.

Charles E. Duross recently joined Morrison & Foerster LLP where he heads the firm's global anti-corruption practice and is a partner in the Securities Litigation, Enforcement & White-Collar Defense Practice Group. Prior to joining the firm, Mr. Duross most recently served as a Deputy Chief of the Fraud Section in the Criminal Division of the U.S. Department of Justice, where he was in charge of all of the DOJ's FCPA investigations, prosecutions and resolutions in the United States. Internationally recognized for his leading role in developing and implementing the government's FCPA enforcement strategy, he was widely credited with developing the current enforcement regime, which, under his leadership, resolved more than 40 corporate cases, including two-thirds of the top 25 biggest corporate resolutions ever, resulting in approximately $1.9 billion in monetary penalties. During this time, the FCPA Unit also secured convictions of more than two dozen business executives and money launderers. Mr. Duross' tenure was also marked by his efforts to make FCPA enforcement more transparent and compliance with the statute more understandable to the business community. Working closely, for example, with his counterparts at the U.S. Securities and Exchange Commission, Mr. Duross was a principal author of the DOJ and SEC joint publication, A Resource Guide to the U.S. Foreign Corrupt Practices Act, which followed a series of consultations with business and compliance leaders. The FCPA Resource Guide has been described as a "landmark document," an "FCPA hornbook," and a "must-read for compliance officers." 

Mr. Duross also served as DOJ's principal representative to the Organisation for Economic Co-operation and Development's Working Group on Bribery for many years and helped develop the OECD's acclaimed "Good Practice Guidance on Internal Controls, Ethics and Compliance." Once dubbed "Mr. FCPA," Mr. Duross is the recipient of the Attorney General's Distinguished Service Award for the prosecution and conviction of Congressman Jefferson, the first Member of Congress ever charged with violating the FCPA, and the Assistant Attorney General's Exceptional Service Award for leading the United States' response to the OECD's Phase 3 Review. Mr. Duross has been repeatedly awarded as a "Government Star" by Ethisphere magazine and identified by Law360 as one of "5 Prosecutors White Collar Attorneys Should Know" in the United States. Charles E. Duross recently joined Morrison & Foerster LLP where he heads the firm's global anti-corruption practice and is a partner in the Securities Litigation, Enforcement & White-Collar Defense Practice Group. Prior to joining the firm, Mr. Duross most recently served as a Deputy Chief of the Fraud Section in the Criminal Division of the U.S. Department of Justice, where he was in charge of all of the DOJ's FCPA investigations, prosecutions and resolutions in the United States. Internationally recognized for his leading role in developing and implementing the government's FCPA enforcement strategy, he was widely credited with developing the current enforcement regime, which, under his leadership, resolved more than 40 corporate cases, including two-thirds of the top 25 biggest corporate resolutions ever, resulting in approximately $1.9 billion in monetary penalties. 

During this time, the FCPA Unit also secured convictions of more than two dozen business executives and money launderers. Mr. Duross' tenure was also marked by his efforts to make FCPA enforcement more transparent and compliance with the statute more understandable to the business community. Working closely, for example, with his counterparts at the U.S. Securities and Exchange Commission, Mr. Duross was a principal author of the DOJ and SEC joint publication, A Resource Guide to the U.S. Foreign Corrupt Practices Act, which followed a series of consultations with business and compliance leaders. The FCPA Resource Guide has been described as a "landmark document," an "FCPA hornbook," and a "must-read for compliance officers." Mr. Duross also served as DOJ's principal representative to the Organisation for Economic Co-operation and Development's Working Group on Bribery for many years and helped develop the OECD's acclaimed "Good Practice Guidance on Internal Controls, Ethics and Compliance." Once dubbed "Mr. FCPA," Mr. Duross is the recipient of the Attorney General's Distinguished Service Award for the prosecution and conviction of Congressman Jefferson, the first Member of Congress ever charged with violating the FCPA, and the Assistant Attorney General's Exceptional Service Award for leading the United States' response to the OECD's Phase 3 Review. Mr. Duross has been repeatedly awarded as a "Government Star" by Ethisphere magazine and identified by Law360 as one of "5 Prosecutors White Collar Attorneys Should Know" in the United States.

Jonathan P. Scott is an Assistant Regional Director in the Securities & Exchange Commission’s Division of Enforcement, Fort Worth Regional Office and is a member of the Division’s Foreign Corrupt Practices Act (FCPA) Unit.  In that role, he supervises a staff of attorneys and accountants who investigate cases involving the FCPA, as well as other  potential violations of the federal securities law, including financial fraud, offering fraud and insider trading. 

Prior to joining the SEC’s Fort Worth office in 2007, Jonathan worked for three years in the SEC’s Home Office in Washington, D.C.  He joined the SEC after seven years in private practice with Fried Frank in Washington, D.C.  He also spent two years as a judicial law clerk, first to D.C. Superior Court Judge Harriett Taylor and then to U.S. District Court Judge Stanley Sporkin.  Jonathan graduated from Boston University in 1991 with a degree in journalism and obtained his law degree summa cum laude from the American University, Washington College of Law in 1995.  He is a member of the District Columbia and Maryland bars.

John D. Buretta is a partner in Cravath's Litigation Department, where his practice focuses on internal investigations, white collar defense and regulatory compliance. Mr. Buretta returned to Cravath in November 2013 following 11 years of service in the Department of Justice, where he most recently held the position of Principal Deputy Assistant Attorney General and Chief of Staff, the number–two ranking official in DOJ's Criminal Division. Mr. Buretta oversaw nearly 600 prosecutors on complex matters involving corporate fraud, FCPA, insider trading, health care fraud, money laundering, IEEPA, asset forfeiture, cybercrime, intellectual property, public corruption and other criminal investigations. Mr. Buretta supervised the preparation of the DOJ and SEC's Resource Guide to the U.S. Foreign Corrupt Practices Act, Issued in November 2012. Mr. Buretta received his B.A. from the University of California at Berkeley and his J.D. cum laude from Georgetown. 

• Ms. Trombly is a partner in King & Spalding’s Special Matters and Government Investigations group in Washington, D.C.  Her practice focuses on white collar criminal and civil litigation and internal corporate investigations in a variety of areas, with specific expertise and experience in handling complex Foreign Corrupt Practices Act and False Claims Act matters.  She has represented clients in the life sciences, energy, and transportation industries in FCPA matters in a variety of jurisdictions, including China, Angola, West Africa, Iraq, and Latin American and Eastern European countries.
• Ms. Trombly started her legal career as a JAG officer in the United States Marine Corps, where she attained the rank of Captain and served as defense counsel for hundreds of Marines and sailors in criminal courts-martials and administrative proceedings.  She served as lead counsel in multiple bench and jury trials, and obtained numerous outright acquittals for her clients.  In 2005, she received the United States Marine Corps Defense Counsel of the Year Award (Eastern Region).
• After the USMC, Ms. Trombly served as an Assistant United States Attorney in the Middle District of Tennessee, , where she was a member of the Criminal Division’s White Collar and Corporate Fraud Unit.  She served as lead counsel on dozens of investigations into white collar crime, including public corruption, money laundering, and securities, bank, ERISA, mail, wire, health care and bankruptcy frauds.  Ms. Trombly was lead counsel for the United States on several high-profile federal jury trials, presented dozens of cases to the grand jury, and appeared in federal court for numerous legal and evidentiary hearings, including appellate proceedings in the Sixth and Second Circuits. 

Dr. Graeme Hunter is Co-Chair of NERA's White Collar Criminal Litigation, Investigations, and Compliance Practice a member of NERA's Antitrust Practice. He is a leader of NERA's work on Foreign Corrupt Practices Act (FCPA) and other bribery-related cases. He has assessed the proper calculation of fines and penalties for clients being investigated by the US Department of Justice and Securities and Exchange Commission and has worked on mediation of disputes between competitors related to bribery charges. He also works extensively on antitrust issues, particularly on analysis of the competitive effects of mergers and the effects of alleged anticompetitive behavior, assessing liability and damages. Dr. Hunter earned his BA in economics and philosophy from the University of Michigan in Ann Arbor, and an MA and a PhD in economics from New York University.