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Top Ten International Anti-Corruption Developments for March 2015

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This installment of MoFo’s Top Ten International Anti-Corruption Developments highlights a number of significant domestic and global anti-corruption enforcement developments for busy in-house counsel and compliance professionals.

We are Morrison Foerster — a global firm of exceptional credentials. Our clients include some of the largest financial institutions, investment banks, and Fortune 100, technology, and life sciences companies. Our lawyers are committed to achieving innovative and business-minded results for our clients, while preserving the differences that make us stronger.Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations. Prior results do not guarantee a similar outcome.

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In order to provide an overview for busy in-house counsel and compliance professionals, we summarize below some of the most important international anti-corruption developments in the past month with links to primary resources. Here is our March 2015 Top Ten list.Read the <a href="https://media2.mofo.com/v3/assets/blt5775cc69c999c255/blt479095c3f6fbf192/150410-fcpa-top-ten.pdf" target="_blank">full client alert</a>.

Top Ten International Anti-Corruption Developments for March 2015

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Demme Doufekias is a trial attorney whose practice focuses on matters involving complex government and internal investigations. As a member of the firm’s Investigations + White-Collar Defense practice, individuals and corporations seek Demme’s counsel through all phases of investigations and litigation, from proactive compliance counseling and due diligence through the simultaneous defense of criminal investigations, administrative proceedings, and civil litigation. She successfully defends clients in civil and criminal matters in federal and state trials.Demme’s global investigations practice encompasses a number of substantive areas, including the Foreign Corrupt Practices Act and other anticorruption regimes, anti-money laundering, and criminal antitrust and securities violations. She has represented clients in cross-border investigations, including FCPA investigations and the U.S. Department of Justice’s (DOJ) investigations of price-fixing in the auto parts and generic drug industries. She also counsels clients in creating global anti-corruption compliance programs and in due diligence matters related to healthcare and anti-corruption laws.Demme regularly represents pharmaceutical, biotechnology, and medical device companies and has extensive experience with healthcare investigations and regulatory matters. She defends companies and executives in federal investigations conducted by DOJ, the Department of Health and Human Services, and the Food and Drug Administration. Her experience includes counseling and defending clients in matters related to the Food, Drug, and Cosmetic Act; other federal health care laws; and transparency laws such as the federal Physician Payments Sunshine Act. When required, Demme has successfully defended her healthcare clients at trial, including, obtaining a complete defense victory on behalf of a former pharmaceutical sales executive charged with violations of the federal Anti-Kickback statute in a two-week jury trial in U.S. District Court for the District of Massachusetts (U.S. v. Bruens, et al).Demme was most recently named to Global Investigations Review’s “Women in Investigations” 2018 survey, which recognizes the top 100 leading female investigations specialists from around the world.In addition to her investigations and healthcare practices, Demme maintains a robust civil litigation practice. Her experience includes conducting investigations and litigating on behalf of creditors’ committees and other constituents in federal bankruptcy matters and representing clients in state and federal civil trials.Prior to law school, Demme worked in the White House Counsel’s Office during the Clinton administration, where she worked on various investigations by the Office of Independent Counsel, including Whitewater, campaign finance, presidential impeachment, and the activities of various Cabinet members. She is admitted to practice in Virginia and the District of Columbia.<h4>Representative Experience</h4><h5>Criminal Investigations and Matters</h5><ul><li>Represents Fortune 500 multinational pharmaceutical company in DOJ and SEC investigations of potential FCPA violations.</li><li>Represented numerous executives of Japanese auto parts manufacturers in connection with DOJ investigation of price-fixing in the auto parts industry.</li><li>Represented Fortune 500 technology company on various FCPA matters in multiple emerging markets.</li><li>Represented software creator in connection with grand jury investigation of WikiLeaks.</li><li>Represented global power company in connection with FERC investigation of gas-trading practices.</li><li>Represented the former chairman and chief executive officer of Kansas public utility in DOJ and IRS investigations, related shareholder litigation and arbitration proceedings, resulting in two criminal trials, with the first ending in a hung jury and the second in a conviction later reversed on appeal and subsequently dismissed.</li></ul><h5>Health Care Fraud And False Claims Act Matters</h5><ul><li>Represents executive of generic drug manufacturer in connection with DOJ price-fixing investigation.</li><li>Represented former compliance director and marketing director of global pharmaceutical company in criminal investigation of marketing and promotion of arthritis pain medication.</li><li>Represented former president of a global medical device company indicted as “responsible corporate officer” in criminal investigation concerning off-label promotion of prosthetic bone cement.</li><li>Represented former senior executive of a Fortune 500 health care and pharmaceutical company during investigation of company’s good manufacturing practices (GMP) and related product recall.</li><li>Represented executive of large regional retina practice in qui tam litigation concerning Medicare and Medicaid reimbursement violations.</li></ul><h5>Bankruptcy And Other Litigation Matters</h5><ul><li>Conducted investigations on behalf of the official committee of unsecured creditors in various bankruptcy matters in the coal industry, including Murray Energy, Westmoreland Coal Company, Patriot Coal Corporation, Peabody Energy, Inc., and Armstrong Energy, Inc.</li><li>Conducted investigation on behalf of the official committee of unsecured creditors for international telecom company Avaya Inc. and its affiliated debtors.</li><li>Conducted investigation, on behalf of Chapter 11 Trustee, into collapse of global financial broker MF Global and brought suit against former officers and directors for breaches of various duties.</li><li>Represented government contractor specializing in technologies for national security and aerospace programs in trade secrets litigation, including at trial in state court litigation and winning a partial defense verdict.</li><li>Obtained defense judgment for a national law firm in a $226 million state legal malpractice suit.</li></ul>

Demme Doufekias

Partner

<div class="videoWrapper" style="margin-bottom: 15px;" dir="ltr">Paul Friedman is a partner in Morrison Foerster’s London office.Businesses across a wide range of industries regularly seek Mr. Friedman’s advice for the strategic resolution of their most complex legal challenges and to mitigate business risk. He has over 40 years of experience with cross-border disputes, investigations and compliance. He has represented a wide range of companies, including many Japanese companies, some of the largest global companies, audit and special committees of boards of directors, individual directors and officers, and law firms.A partner at Morrison Foerster since 1986, Mr. Friedman is a past chair of the Firm’s Litigation Department. He served as a long-time member of the firm’s Executive Committee, Compensation Committee, and board of directors and was chair of The Morrison & Foerster Foundation from 1997-2014.Mr. Friedman was Morrison Foerster’s Managing Partner for Europe from 2014 through 2023. In this role, he developed a successful strategy for the region, resulting in significant growth--driven by market-leading investigations, deals and disputes.Mr. Friedman is a former chair of the Ninth Circuit Advisory Board, a group of senior lawyers appointed from throughout the Ninth Circuit by the chief judge. He was chair of the Ninth Circuit Judicial Conference and also chair of the Lawyer Representatives Coordinating Committee of the Ninth Circuit Judicial Conference. He served as program chair of the Ninth Circuit Judicial Conference and chair of the lawyer representatives of the Ninth Circuit Judicial Conference from the Northern District of California. The bench and bar of the Northern District of California honored him with the Public Service Award in recognition of his service to the court. Mr. Friedman is a past recipient of Morrison & Foerster’s Raven Award, an award presented to partners of the Firm who, among other qualities, maintain the highest level of ethics and integrity, exemplify a strong commitment to diversify the legal profession and to pro bono work, and demonstrate leadership and vision within the Firm.Mr. Friedman was a member of Phi Beta Kappa at the University of California, Berkeley, from which he received his A.B. He was also awarded the University Medal, the highest undergraduate honor at the university, presented to the most distinguished student in the graduating class. Mr. Friedman received his J.D. from Yale Law School.</div>

Paul Friedman

Charles (Chuck) Duross serves as co-head of Morrison Foerster’s FCPA + Global Anti-Corruption practice. With more than twenty-eight years of experience principally focused on white collar cases, Chuck’s practice has an emphasis on complex white collar criminal matters, including internal corporate investigations, representing special committees, compliance counseling, due diligence regarding third parties and business transactions, and defense of clients before government enforcement agencies and multilateral investment banks. Chuck has handled cases and overseen investigations in dozens of countries. As a veteran trial attorney, Chuck has a proven track record in the courtroom in high-profile, high-stakes trials. Dubbed “Mr. FCPA” in The Washington Post, Chuck is routinely recognized in various rankings and publications, including Chambers Global, Chambers USA, and Legal 500 as a leading attorney in white collar criminal defense, with a particular specialty in FCPA and foreign corruption cases.<h4>Representative Experience</h4><ul><li>Serving as the DOJ-appointed independent corporate compliance monitor for a large South American company in the wake of a multi-jurisdictional resolution of one of the largest bribery schemes in history</li><li>Representing a leading U.S. company in a high-profile multi-jurisdictional government-facing bribery investigation in Africa</li><li>Representing multinational European company in a high-profile bribery investigation involving multiple jurisdictions</li><li>Representing a major manufacturing company in an emissions-related investigation</li><li>Representing a technology company before DOJ and SEC regarding a whistleblower employee alleging FCPA violations</li><li>Representing a Japanese company before DOJ and SEC in an FCPA investigation</li><li>Representing a leading U.S. company before DOJ regarding allegations of improper hiring issues</li><li>Represented former telecom executive before DOJ and SEC regarding conduct in China</li><li>Representing a former executive regarding allegations of misconduct in Latin America</li><li>Secured declinations on behalf of multiple corporate clients and individuals before DOJ and SEC</li><li>Secured a victory for a Chinese company before the Sanctions Board of the World Bank</li><li>Lead an internal investigation for a leading South American company concerning bribery allegations in Asia</li><li>Conducted pre-investment and pre-acquisition enhanced FCPA/anti-corruption due diligence in numerous multi-billion dollar deals in Africa, Asia, and Latin America</li><li>Assisting numerous companies, from start-ups to Fortune 50 corporations, with drafting codes of conduct and compliance procedures, conducting risk assessments, gap analysis and compliance benchmarking, and enhancing existing compliance programs</li><li>Go-to outside FCPA and anti-corruption legal and compliance counsel to leading Global 500 multinational corporations across industries and regions</li></ul>Chuck previously served as Chief of the Foreign Corrupt Practices Act (FCPA) Unit in the Fraud Section of the Criminal Division of the U.S. Department of Justice (DOJ), where he was in charge of all of the DOJ’s FCPA investigations, prosecutions and resolutions in the United States. Chuck is internationally recognized for his leading role in developing and implementing the government’s FCPA enforcement strategy, and he is widely credited with developing the current enforcement regime. Under his leadership, the FCPA Unit resolved more than 40 corporate cases resulting in approximately $1.9 billion in monetary penalties and prosecuted dozens of business executives and money launderers. As the head of the FCPA Unit, Chuck oversaw countless voluntary disclosures, decided which matters would be declined, administered DOJ’s FCPA Opinion Release Procedure and was responsible for interviewing, selecting and reviewing the work of nearly 20 independent corporate monitors.In investigating and prosecuting transnational bribery cases, Chuck worked with every major U.S. Attorney’s Office and law enforcement agency in the United States, the Securities and Exchange Commission (SEC), law enforcement counterparts around the world and numerous multi-lateral development banks, including the World Bank. For example, Chuck worked with the Australian Federal Police, Royal Canadian Mounted Police, the Tribunal de Grande Instance de Paris, Indonesia’s Anti-Corruption Commission, the Tokyo Public Prosecutor’s Office, Mexico’s Procuraduría General de la República, Norway’s Økokrim, the Swiss Attorney General’s Office, Thailand’s National Anti-Corruption Commission, and the United Kingdom’s City of London Police, Crown Prosecution Service, Metropolitan Police and Serious Fraud Office.While in the Fraud Section, Chuck led the development of a deferred prosecution agreement (DPA) template for FCPA cases, which formed the basis for a DPA template later adopted for use by the entire Criminal Division, and he also led the effort to update and restructure the enhanced compliance components used in resolving FCPA cases. As a recognized expert, Chuck was consulted by UK officials prior to the adoption of legislation permitting deferred prosecution agreements.Chuck’s 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 with his counterparts at the SEC, Chuck was one of the principal authors of the DOJ and SEC’s 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 Guide has received wide praise from the business community, compliance and ethics professionals and private practitioners, and has been described as a “landmark document,” an “FCPA hornbook,” and a “must-read for compliance officers.”Chuck 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. Besides his involvement in the OECD Phase 1 of Russia and Phase 2 of South Africa, Chuck’s leadership during the OECD Phase 3 of the United States earned him the Assistant Attorney General’s Exceptional Service Award, the Criminal Division’s highest award for employee performance.Prior to being appointed Chief, Chuck served as Assistant Chief of the FCPA Unit from October 2008 to April 2010, and as a line prosecutor with the Fraud Section from December 2006 to October 2008. Beyond FCPA enforcement, Chuck has supervised and tried all manner of white collar cases, including healthcare fraud, mail and wire fraud, money laundering, public corruption, securities fraud and tax evasion. A veteran trial attorney, Chuck is a recipient of the prestigious Attorney General’s Distinguished Service Award, the second-highest department-wide award for employee performance, as one of the lead prosecutors who secured the conviction of Congressman William Jefferson following a nearly nine-week trial.Chuck has been recognized for his work on FCPA matters by Law360, the Legal 500 US, the Washington Post, Washington Business Journal, and also by Chambers USA where a market commentator praises him as “a sage counselor, who is calm under pressure and solutions-oriented.” Who’s Who Legal also recognizes Chuck for his investigations work. In recognition of his contributions to the firm’s “Top Ten International Anti-Corruption Developments” monthly newsletter, Chuck has also been repeatedly honored with JD Supra’s “Reader’s Choice Top Author” award.Chuck earned his J.D., cum laude, from the University of Michigan Law School in 1996 and his B.A., magna cum laude, from the University of Michigan in 1993. After beginning his career as a litigation associate at an international firm in 1996, he joined the U.S. Attorney’s Office for the Southern District of Florida in 2001, where he prosecuted a variety of white collar cases, including bank fraud, embezzlement, mail and wire fraud, money laundering, securities fraud and trademark violations. Chuck rose to the position of Deputy Chief in the Major Crimes Section in Miami before moving to Washington, D.C., in 2006 to join the Fraud Section. Chuck has been an adjunct professor for seven years at Georgetown University Law Center, where he has taught trial advocacy, has been a guest lecturer at Harvard Law School’s Program on the Legal Profession, University of Pennsylvania Law School, and the University of Michigan Law School and Ross School of Business. As an internationally recognized expert on transnational bribery, white collar crimes, and compliance issues, Chuck is a sought-after speaker, and he routinely speaks at conferences across the United States and around the world. He is admitted to practice in Michigan and the District of Columbia.

Charles E. Duross

Ruti Smithline serves as co-chair of the firm’s Latin America Desk, in addition to being a member of Morrison Foerster’s FCPA + Global Anti-Corruption group and a former co-chair of the Investigations + White Collar Defense group. Her practice focuses on complex litigation, with an emphasis on white collar criminal defense, SEC enforcement, and corporate internal investigations.Ruti regularly advises clients on cross-border investigations, global compliance programs and anti-corruption due diligence for acquisitions, joint ventures, and private equity transactions. Ruti has represented individual and corporate defendants in cross-border criminal investigations, SEC enforcement matters, and other regulatory proceedings, including matters related to trade sanctions and anti-money laundering. She has experience conducting corporate internal investigations both domestically and internationally, often advising clients on remedial measures responsive to the issues investigated.Ruti was born and raised in Colombia and is fluent in Spanish. She has conducted investigations, seminars and anti-corruption training in Spanish throughout Central and South America.Ruti has been recognized by industry leading publications including Chambers & Partners, where she is ranked in the USA guide for Litigation: White Collar Crime & Government Investigations in New York and nationally for their FCPA category, in addition to being ranked in the Latin America guide for Corporate Crime & Investigations across the LatAm region. She has also been recommended by Legal 500 US in their Corporate Investigations and White Collar Criminal Defense category, was recently selected by LatinVex as one of "Latin America's Top 100 Lawyers: FCPA & Fraud" for 2022, and has also been named to Global Investigations Review's "Women in Investigations" 2018 survey, which recognizes the top 100 leading female investigations specialists from around the world.Ruti received her J.D. from The George Washington University School of Law, where she graduated with honors and as a member of the Order of the Coif. She received her B.A. degree cum laude from Cornell University. She is admitted to practice law in New York and New Jersey.

Ruti Smithline é co-líder do grupo de investigação criminal e defesa de colarinho branco e co-líder do Latin America Desk. Sua prática se concentra em litígios complexos, com ênfase em defesa criminal de colarinho branco, conformidade com a Securities and Exchange Commission dos Estados Unidos (SEC), litígios sobre valores mobiliários e investigações corporativas internas.Smithline é membro da equipe e do grupo de trabalho FCPA (Foreign Corrupt Practices Act) + Anticorrupção escritório. Ela representa regularmente clientes em investigações internacionais, programas de conformidade global e due diligence anticorrupção para aquisições, joint ventures e transações de private equity. Ruti representou indivíduos e empresas acusadas em investigações criminais cross-border, questões de conformidade com a SEC e outros procedimentos regulatórios, incluindo questões relacionadas a sanções comerciais e lavagem de dinheiro. Ruti tem experiência na condução de investigações corporativas internas, nacionais e internacionais, assessorando frequentemente clientes em ações corretivas que respondem aos problemas investigados.Smithline nasceu e foi criada na Colômbia e fala espanhol fluentemente. Ela conduziu pesquisas anticorrupção, seminários e treinamento em espanhol nas Américas Central e do Sul.Smithline foi nomeada recentemente na pesquisa "Mulheres em Investigações” da Global Investigations Review em 2018, que reconhece as 100 principais especialistas em investigações no mundo todo. Ela também foi recentemente selecionada pela LatinVex como uma das "100 melhores advogadas da América Latina: FCPA e fraude" em 2018. Ela também foi anteriormente reconhecida pelo Ethisphere Institute como uma das "Advogadas que importam" em 2016 e pela Global Investigations Review como uma dentre 40 dos principais advogados de investigação do mundo com menos de 40 anos. Além disso, Ruti foi selecionada para a Lista de Estrelas em Ascensão do Metrô de Nova York em 2014 e 2015 pela Super Lawyers, com base no reconhecimento de colegas e em conquistas profissionais.Smithline recebeu se formou em direito na Faculdade de Direito da Universidade George Washington, onde se formou com honras e como membro da Order of the Coif. Ela recebeu seu diploma de bacharel cum laude da Universidade de Cornell. Ela é admitida para exercer advocacia em Nova York e Nova Jersey.<h4>Casos Representativos de FCPA</h4><ul><li>Comércio varejista global. Representou um executivo sênior de um comerciante de varejo global em uma investigação do Departamento de Justiça, da SEC e de outras agências sobre possíveis violações do FCPA no México, Brasil e outros países.</li><li>Empresa Fortune 500. Conduziu uma investigação interna sobre possíveis violações do FCPA em uma subsidiária estrangeira de uma corporação multinacional Fortune 500. Conduziu mais de 60 entrevistas com funcionários, revisou linhas de negócios e relacionamentos com os principais clientes e canais de distribuição, e realizou análise forense de registros contábeis e controles internos. A pesquisa incluiu uma análise de unidades de negócios em mais de 15 países para avaliar os riscos de FCPA.</li><li>Empresa Fortune 50. Representou uma empresa multinacional Fortune 50 com sede nos EUA em uma investigação interna sobre supostas violações de FCPA e compliance na região Ásia-Pacífico. Após a conclusão da investigação e compliance, nem a SEC nem o Departamento de Justiça tomaram medidas contra nosso cliente.</li><li>Comitê de Auditoria de Empresa Internacional. Representou o comitê de auditoria de um fornecedor internacional de produtos agrícolas em sua investigação interna, oriunda de uma denúncia de irregularidades alegando violações de FCPA no Oriente Médio. Esse assunto foi um dos primeiros casos a serem relatados à SEC sob suas regras de denúncia decretadas em maio de 2011. Após concluir a investigação e relatar o resultado à SEC, a SEC desistiu de conduzir sua própria investigação e arquivou o caso.</li><li>Empresa de investimento global. Representou uma empresa de investimento global com a due diligence anticorrupção com operações no Japão, China, Tailândia e México. Com base nos resultados da devida diligência, aconselhamos a empresa sobre a implementação de um programa de conformidade pós-aquisição.</li><li>Empresa Fortune 500. Representou uma empresa Fortune 500 em due diligence anticorrupção relacionada à aquisição de uma empresa estrangeira de telecomunicações com operações substanciais na África, América Latina, Sudeste Asiático e Oriente Médio.</li><h4>Outros casos representativos</h4><li>OFAC e BSA/AML. Conduziu a investigação interna de um grande banco estrangeiro sobre possíveis violações de sanções da OFAC e de práticas de combate à lavagem de dinheiro.</li><li>BSA/AML. Representou várias pessoas na América do Sul que trabalham para um Banco com sede na União Europeia em uma investigação do Departamento de Justiça dos Estados Unidos sobre possíveis violações da Lei de Sigilo Bancário e leis sobre lavagem de dinheiro.</li><li>Ex-executivo de hipoteca. Representou o Diretor Financeiro de um dos maiores emissores nacionais de hipotecas, agora falido, em uma investigação da SEC e em litígios relacionados aos seus acionistas decorrentes da crise de crédito.</li><li>Investigação multifacetada de bolsas universitárias. Assessorou uma importante universidade de pesquisa nos EUA em uma investigação criminal e civil sobre alegações falsas relacionadas a subsídios e contratos federais de pesquisa.</li></ul>

Ruti Smithline es copresidenta del grupo de Investigaciones + Defensa Criminal de Cuello Blanco de la firma y copresidenta del Latin America Desk de la firma. Su práctica se centra en litigios complejos, con énfasis en defensa criminal de cuello blanco, cumplimiento de la Comisión de Bolsa y Valores de EE. UU. (SEC), litigios de valores e investigaciones internas corporativas. Ruti es miembro del equipo de trabajo FCPA (Foreign Corrupt Practices Act) + Anticorrupción de la firma. Regularmente asesora a clientes en investigaciones transfronterizas, programas de cumplimiento global y diligencia debida anticorrupción para adquisiciones, empresas conjuntas (joint ventures) y transacciones de capital privado (private equity). Ruti ha representado a individuos ​​y corporaciones acusadas en investigaciones penales transfronterizas, asuntos de cumplimiento de la SEC y otros procedimientos regulatorios, incluyendo asuntos relacionados con sanciones comerciales y contra el lavado de dinero. Tiene experiencia llevando a cabo investigaciones corporativas internas tanto a nivel nacional como internacional, con frecuencia asesorando a clientes sobre medidas correctivas que responden a los problemas investigados.Ruti nació y se crió en Colombia y habla español con fluidez. Ha llevado a cabo investigaciones, seminarios y capacitación anticorrupción en español en América Central y del Sur.Ruti fue nombrada recientemente en la encuesta "Investigaciones de mujeres" de Global Investigations Review en 2018, que reconoce a las 100 mujeres principales especialistas en investigaciones de todo el mundo. También fue seleccionada recientemente por LatinVex como una de las "100 mejores abogadas de América Latina: FCPA y fraude" para 2018. También fue reconocida anteriormente por Ethisphere Institute como una de las "Abogados que importan" en 2016 y por Global Investigations Review como una de 40 de los principales abogados de investigaciones del mundo con menos de 40 años. Además, Ruti fue seleccionada para la lista de estrellas en ascenso del metro de Nueva York en 2014 y 2015 por Super Lawyers con base en el reconocimiento de pares y el logro profesional.Ruti recibió su J.D. de la Facultad de Derecho de la Universidad George Washington, donde se graduó con honores y como miembro de la Orden de la Cofia. Ella recibió su título de B.A. cum laude, de la Universidad de Cornell. Está admitida para practicar leyes en Nueva York y Nueva Jersey.<h4>Asuntos Representativos de la FCPA</h4><ul><li>Comerciante al por menor global. Representó a un alto ejecutivo de un comerciante al por menor global en relación con una investigación realizada por el Departamento de Justicia, la SEC y otras agencias sobre posibles violaciones de la FCPA en México, Brasil y otros países.</li><li>Compañía Fortune 500. Llevó a cabo una investigación interna sobre posibles violaciones de la FCPA en una subsidiaria extranjera de una corporación multinacional Fortune 500. Realizó más de 60 entrevistas a empleados, revisó líneas de negocios y relaciones con clientes clave y canales de distribución, y realizó análisis forenses de registros contables y controles internos. La investigación incluyó una revisión de las unidades de negocio en más de 15 países para evaluar los riesgos de la FCPA.</li><li>Compañía Fortune 50. Representó a una compañía multinacional Fortune 50 con sede en E.E.U.U. En una investigación interna de presuntas violaciones de la FCPA y el auto-trato en la región de Asia y el Pacífico. Tras la conclusión de nuestra investigación y autoinforme, ni la SEC ni el Departamento de Justicia tomaron ninguna medida contra nuestro cliente.</li><li>Comité de Auditoría de Empresa Internacional. Representó al comité de auditoría de un proveedor internacional de productos agrícolas en su investigación interna resultante de una denuncia de irregularidades alegando violaciones de la FCPA en el Medio Oriente. Este asunto fue uno de los primeros casos en ser reportados a la SEC bajo sus reglas de denuncia de irregularidades promulgadas en mayo de 2011. Después de completar la investigación e informar el resultado a la SEC, la misma se negó a realizar una investigación propia y cerró el archivo.</li><li>Empresa de inversión global. Representó a una empresa de inversión global con la debida diligencia anticorrupción de un objetivo estadounidense con operaciones en Japón, China, Tailandia y México. En base a los resultados de la diligencia debida, asesoramos a la compañía con respecto a la implementación de un programa de cumplimiento posterior a la adquisición.</li><li>Compañía Fortune 500. Representó a una compañía Fortune 500 con la debida diligencia anticorrupción en relación con la adquisición de una compañía de telecomunicaciones extranjera con operaciones sustanciales en África, América Latina, Sudeste de Asia y Medio Oriente.</li></ul><h4>Otros Asuntos Representativos</h4><ul><li>OFAC y BSA / AML. Llevó a cabo una investigación interna de un gran banco extranjero con respecto a posibles violaciones de las sanciones de la OFAC y las prácticas contra el lavado de dinero.</li><li>BSA / AML. Representó a varias personas en Sudamérica que trabajan para el Banco con sede en E.E.U.U. en una investigación del Departamento de Justicia sobre posibles violaciones de la Ley de Secreto Bancario (Bank Secrecy Act) y las leyes contra el lavado de dinero.</li><li>Ex ejecutivo hipotecario. Representó al Director Financiero de uno de los mayores emisores de hipotecas nacionales, ahora en bancarrota, en una investigación de la SEC y litigios relacionados con los accionistas que surgieron de la crisis crediticia.</li><li>Investigación multifacética de subvenciones universitarias. Asesoró a una importante universidad de investigación de E.E.U.U. en una investigación penal y civil de presuntas afirmaciones falsas relacionadas con subvenciones y contratos federales de investigación.</li></ul>

Ruti Smithline

﻿Dan Levison is a partner at Morrison Foerster and co-Managing Partner of the Singapore office. He also heads its Litigation Department and leads the firm’s Ethics and Compliance regional practice in Asia. Dan counsels clients regarding compliance matters and conducts internal investigations and compliance reviews across the Asia-Pacific region, where he has over 24 years of experience. His practice has included work in many countries in Southeast Asia and beyond, including Malaysia, Thailand, Indonesia, Vietnam, the Philippines, and Singapore.Clients say that Dan is “a highly skilled lawyer who specializes in managing large, complex internal investigations” and “very thoughtful and thorough, and extremely focused on giving high-quality advice across a broad range of issues.” Clients rely on his experience with highly sensitive and complex cross‑border matters, which have included fraud and corruption, cartel, and other competition matters, anti-money laundering, economic sanctions and export control, privacy and data security, and regulatory and product safety investigations. In addition, he assists clients with pre‑acquisition and third-party compliance due diligence and developing, reviewing, and implementing compliance policies, procedures, and training programs.Dan also focuses on complex commercial litigation and arbitration matters, with particular emphasis on the resolution of multi-jurisdictional disputes and has developed particular expertise regarding cross‑border electronic discovery matters. He has counselled clients in a range of matters involving contract disputes, business torts, antitrust, product liability, intellectual property, and other issues. Dan has represented clients in a variety of industries, including electronics and manufacturing, software, consulting and professional services, consumer goods, electronic commerce, chemicals, pharmaceuticals and healthcare, sports and entertainment, transportation, construction and real estate, hospitality, insurance, and banking and financial services, among others. Dan is also a member of the firm’s COVID‑19 Task Force.Before moving to Singapore, Dan spent more than 12 years in MoFo’s Tokyo office, and clients continue to rely on him for his Japan-related expertise, for which he has been recognized by Chambers Global 2020, 2021, and 2022.Dan has been listed by Chambers Asia-Pacific every year for the last six years as a top practitioner (Band 1) in his field for Corporate Investigations/Anti-corruption. He is recognized as a leading individual for white-collar crime by Legal 500 Asia-Pacific from 2021 - 2024, and is listed as a litigation star by Benchmark Litigation Asia-Pacific. Dan has also been recommended as a global leader in Investigations in Singapore by Who’s Who Legal/Global Investigations Review every year since 2019.Dan is also a sought–after speaker and thought leader on anti–corruption, investigations, and compliance‑related topics.In addition to his practice, Dan serves on the firm’s Board of Directors and on its Diversity Strategy Committee, and plays a leadership role in some of the firm’s global diversity initiatives, notably, as a member of the Board of Directors of the firm’s pro bono client, Lawyers for LGBT & Allies Network, and he has been highly commended by Chambers for an Asia-Pacific Diversity & Inclusion Award 2020.<h4>Representative Experience</h4><ul><li>A multinational company in connection with an internal investigation into allegations of bribery in Indonesia.</li><li>A real estate investment trust in relation to a compliance risk assessment concerning a joint venture in India. </li><li>A U.S.-based company in an investigation into corruption and procurement–related irregularities in India. </li><li>A global technology company in relation to an investigation into allegations of conflicts of interest and accounting irregularities by local management in Southeast Asia.</li><li>Several Asia-based employees of financial institutions in internal and government corruption and money laundering investigations. </li><li>U.S.-based medical device manufacturer in investigation into allegations of bribery and fraud in Japan.</li><li>A multinational pharmaceutical company in investigations into allegations of irregularities in the conduct of clinical trials in Japan.</li><li>A U.S.-based company with respect to several Japan Fair Trade Commission investigations.</li><li>Providing a global financial institution with anti-corruption counselling with respect to its global private equity and venture capital investments.</li><li>Conducted pre-investment and pre-acquisition anti-corruption and compliance due diligence for U.S., Europe, and Asia-based multinational companies in numerous transactions across the Asia‑Pacific region and beyond. </li></ul>

Daniel Levison

Managing Partner, Singapore

Tim is managing partner of Morrison & Foerster’s Hong Kong office. He is also head of the firm’s Hong Kong Litigation Department. Tim’s practice focuses on government and internal investigations and complex commercial litigation and international arbitration matters.Tim represents companies and individuals in, among other matters:<ul><li>Government investigations</li><li>Regulatory enforcement proceedings</li><li>Internal investigations</li><li>International arbitrations</li><li>Securities class action lawsuits</li><li>Complex dispute-related matters</li><li>Regulatory compliance issues</li></ul>Tim has represented multinational and Chinese clients in various industries, including telecommunications, biotechnology, publishing, pharmaceuticals, and financial services.Tim also is a member of both the firm’s FCPA + Global Anti-Corruption and Global Ethics + Compliance teams. He conducts internal investigations throughout Asia of potential violations of anti-corruption laws, leads pre-acquisition anti-corruption-related due diligence and post-closing remediation, and regularly provides advice, counseling, and training to clients about FCPA and anti-corruption related issues.Tim has deep experience representing companies and individuals in high-stakes contentious matters involving U.S. and Hong Kong law. Before relocating to Hong Kong in 2011, he spent 10 years practicing in New York and California, handling fraud, misrepresentation, breach of contract, securities litigation, investment disputes, commercial arbitration, and enforcement-related matters, from inception through trial. His practice continues to have a strong U.S. nexus, and he regularly advises clients facing disputes and enforcement actions originating in the U.S. and involving U.S. law.As a Hong Kong solicitor, Tim has been instructed by clients in key contentious proceedings and arbitration-related matters before Hong Kong courts, as well in proceedings with Hong Kong regulators and statutory tribunals. He has advised clients in investigations by, inter alia, the Securities & Futures Commission, and in proceedings before the Telecommunications (Competition Provisions) Appeal Board. He regularly acts for clients in Hong Kong-seated, international arbitration proceedings.Chambers Asia-Pacific quotes clients saying that Tim “is incredibly intelligent and always well prepared. He is an excellent interviewer and his depth of knowledge of the subject matter is outstanding” and that he “knows Western practices but also appreciates and understands the peculiarity of Chinese laws and practice.”

Timothy Blakely律师是美富律师事务所香港办事处的管理合伙人，同时也是本所香港诉讼部门的主管。Blakely律师的主要业务为政府和内部调查，以及复杂的商业诉讼和国际仲裁事宜。Blakely律师经常代表公司和个人处理的事宜包括：<ul><li>政府调查</li><li>监管程序</li><li>内部调查</li><li>国际仲裁</li><li>证券集体诉讼</li><li>复杂的争议相关事宜</li></ul>他也就监管合规问题向客户提供法律服务。Blakely律师曾代表电信、生物技术、出版、医药及金融服务等多个行业的跨国及中国客户处理有关事宜。Blakely律师也是本所全球反腐败及合规工作组的成员。他在全亚洲就可能违反各国反腐败法的行为开展内部调查，领导进行收购前关于反腐败的尽职调查工作和交割后的纠正事宜，并经常向客户提供关于美国《反海外腐败法》及反腐败问题的法律服务及培训。Blakely律师在代表公司和个人处理涉及美国和香港法律的高案值争讼事宜方面拥有丰富经验。在2011年移居香港之前，Blakely律师曾在纽约和加州执业十年，处理欺诈、不实陈述、合同违约、证券诉讼、投资争议、商业仲裁及执行的相关事宜，其工作贯穿从初始到案件审判的全过程。目前，Blakely律师的业务仍与美国密切相关，他经常协助客户处理源于美国或涉及美国法律的争议和执法行动。作为一名拥有香港事务资格的律师，Blakely律师曾受客户委托在香港法院处理重要的争讼程序和仲裁相关事宜，以及在香港监管机构和法定特别法庭处理各种程序。他曾就由香港证券及期货事务监察委员会等进行的调查以及在香港电讯（竞争条文）上诉委员会进行的程序向客户提供咨询。他还经常代表客户处理在香港进行的国际仲裁程序。

Timothy Blakely

Managing Partner, Hong Kong

Nicole Serfoss is a partner in Morrison Foerster’s Securities Litigation, Securities Enforcement, and Investigations + White Collar Defense groups.Nicole has more than 15 years of experience representing clients in SEC enforcement matters, corporate internal investigations, securities class actions, and shareholder derivative suits. She represents companies, officers, and directors in a wide range of matters involving alleged accounting and disclosure issues. She also frequently assists audit and special committees with investigations following allegations of corporate misconduct.Nicole was named a Colorado Rising Star by Super Lawyers in 2012. She has tried over a dozen cases as a special prosecutor in the Denver City Attorney’s Municipal Court Trial Advocacy Program. She is also committed to pro bono service, and has received the Wiley W. Manuel award for pro bono legal services.Nicole received her B.A. in history from UCLA, magna cum laude, and graduated Order of the Coif from the University of Colorado School of Law. After law school, she clerked for the Honorable Jose D.L. Marquez of the Colorado Court of Appeals.Nicole is an active member of the Colorado legal community, including membership in the the Women’s White Collar Defense Association and the Colorado Women’s Bar Association.<h4>Representative Experience</h4><ul><li>Represented Farmland Partners—a real estate investment trust (REIT) traded on the New York Stock Exchange—and its CEO and CFO in a federal securities fraud class action in the District of Colorado and in a related derivative matter in Maryland state court. Won summary judgment dismissing all claims against our clients in the federal securities class action. No appeal was filed. Won motion to dismiss derivative action with prejudice.  </li><li>Represented more than a dozen audit and special committees in internal investigations resulting from whistleblower complaints alleging accounting and disclosure issues.</li><li>Represented a Fortune 500 company in an SEC investigation after a high-profile data security incident. Following document production and witness testimony, the matter was closed without any enforcement action.</li><li>Represented Boulder Brands in three lawsuits: a shareholder securities class action in which the district court granted the defendants’ motion to dismiss with prejudice, a related derivative action that was voluntarily dismissed, and a separate shareholder merger challenge settled based upon disclosure updates.</li><li>Defended Crocs, Inc., and certain of its officers and directors, in a securities class action and derivative litigation matter. Won dismissal of federal securities class action against Crocs and individual defendants with prejudice.</li><li>Represented a former CFO in a settlement of securities litigation, derivative litigation, and related SEC investigation.</li><li>Represented a Fortune 500 company in a Regulation FD inquiry by the SEC. The matter was closed without enforcement action.</li><li>Represented a company operating a national person-to-person lending platform in investigations conducted by the SEC and dozens of states. Successfully negotiated a settlement of all actions on favorable terms for company.</li></ul>