Miami University ProfessorKaren Dawisharecently published a scathingindictmentof the United States and Europe's complicity in the Russian ruling regime's wrongdoing,尤其是精英阶层的腐败。达维沙教授认为,普京和他的支持者将西方视为“点菜菜单”,在西方法治的庇护下,通过保护和增加他们在海外的财富,同时避免因其在俄罗斯境内的“劫掠”而被追究责任的后果。This is damaging not only for Russia,but for the West as well.据达维沙教授说,“俄罗斯寡头的存在加强了我们制度的最坏方面,削弱最好的。”

One of Dashiwa's central examples for this claim is Russian companies' presence in Western stock markets.她认为,俄罗斯公司进军外国股市未能“提高俄罗斯公司治理和透明度的质量”,应该感到遗憾。While I will not attempt here to evaluate Professor Dawisha's broader argument,我相信这个特殊的例子对支持她更广泛的观点没有任何作用,并且可能最终说明它的弱点,原因有两个:



In my最后一篇文章,I discussed one aspect of the (very useful)经合组织外国贿赂报告: the characteristics of the bribe-paying firms in the 427 enforcement actions between February 1999 and June 2014.今天,I want to turn to a different aspect of the report,关于外国贿赂案件的处罚。As the report notes,尽管这些案件往往会导致相当大的罚款(以及相关的罚款,like disgorgement),one available penalty in the public procurement context–debarment from future government contracts–has been used extremely rarely (in only two of the enforcement actions the OECD examined).The OECD Report concludes that this is a problem,emphasizing as one of the report's key conclusions that "the fact that only 2 out of 427 cases resulted in debarment demonstrates that countries need to do more to ensure that those who are sanctioned for having bribed foreign officials are suspended from participation in national public contracting." This conclusion echoes the thesis of a2011条由教授德鲁里史蒂文森andNicholas Wagoner,who developed the case for expanded use of debarment in FCPA enforcement actions at greater length and in greater depth.

但Stevenson&Wagoner文章的标题——“太大而不能去贬低”——暗示了贬低在《反海外腐败法》或其他外国贿赂案件中不常被用作制裁的主要原因:贬低,particularly for firms that do much or all of their business with governments,可能实际上是对公司的死刑,or at the very least inflict a level of economic loss that seems out of proportion to the wrongdoing.This concern is especially acute when much of the collateral consequences of debarment would fall on "innocent" parties (non-culpable employees and shareholders,as well as the firm's would-be government customers).Stevenson & Wagoner's response to this legitimate set of concerns is not all that satisfying: they emphasize the deterrent value of debarment (perhaps suggesting that debarment is a bit like a nuclear weapon,在这一点上,使用它的可信威胁意味着在实践中你不需要太多地使用它,and they suggest the government could make the threat of debarment more credible by diversifying its set of suppliers.

最近,Richard Bistrong(a convicted FCPA defendant turned insightful FCPA consultant and commentator) has advanced what I consider a more一套细微而合理的建议这可以让政府保留禁核令作为补救措施,不必判处“公司死刑”。Bistrong's proposals all entail some form of more limited debarment: debarment only until the firm demonstrates commitment to effective corrective measures;仅禁止某些类型的合同;仅禁止要求出口许可证的外国合同;或仅禁止与某些政府签订合同(例如,with the government that was the subject of the anti-bribery enforcement action).Putting the details temporarily to one side,先生。比斯特朗更重要的一点,正如他解释的那样,如下所示:“这是一个错误的理解,贬低等同于公司死刑。我希望通过提高在[取消]酒吧环境下可能提供的一些增量执行和政策选择,that perhaps the ‘all or nothing' perception might be reassessed."

我觉得所有这些都是合理和有益的,但我认为有必要退后一步,考虑一下为什么我们一开始可能会想把禁止作为一种制裁。Thinking this through might be helpful in assessing Mr.Bistrong's intriguing proposals for incremental or partial debarment,以及更普遍的“太大而不能去辩论”问题。继续阅读渐次


“利益冲突”是一个看似简单的术语,非常难以应用。由于通用汽车(General Motors)前首席执行官查尔斯•威尔逊(Charles Wilson)在政治上的骚动,这一术语在20世纪50年代首次在美国出现。President Eisenhower's nominee to be the Secretary of Defense,sparked when he told the Senate committee considering his nomination that theinterests of the U.S.通用汽车公司也在调整.参议员们对这一前提提出了质疑。威尔逊拥有相当大的通用汽车股票,作为国防部长,他会做出影响通用汽车股票的决定。如果他有兴趣看到他持有的股票价值上升,他会他们断言,conflict with his duty to advance the national interest and so they demanded he sell the stock to avoid any conflict of interest.

随后发生的关于公职人员何时必须出售资产或采取其他188bet app措施防止利益冲突的争论促使国会更新并使联邦道德法现代化。1962规约禁止四种冲突,those arising from employees: i) awarding themselves government contracts,ii)协助任何人向政府提出索赔,iii)为履行政府雇员的职责而向某人收取金钱,或iv)建议,离开政府雇员后,an individual or firm on a matter they worked while an employee.

这四个因素中的每一个都涉及到员工可能会将自己的个人信息,financial interest ahead of the public interest when taking a decision.  These are clear,“明线”规则易于理解和执行。问题是随着“利益”一词的扩展而出现的。


Preventing the Next Sheldon Silver

萧华,纽约州议会议长,是arrested last weekon federal corruption charges,在纽约政界掀起冲击波。He is accused of accepting millions of dollars in disguised bribes for more than a decade.据称,西尔弗要求在州政府面前有生意的开发商把钱花在一家律师事务所上,in turn,为他从未做过的法律工作付了银钱。He was able to disguise the source of the income for so long because New York,像绝大多数其他国家一样,认为其立法机构是“兼职”,释放立法者以维持合法的外部工作,as well as their government work.

这种外部支付对于不道德的交易是成熟的(或,至少,不适当的表现);and have long been decried by anticorruption forces.Outside payments were a主焦点of Governor Cuomo's anticorruption Moreland Commission,州长在立法者的压力下解散了。Governor Cuomorecently proposed新的佣金研究如何增加对外收入的披露,并限制立法者可能获得的对外收入。While Cuomo's new proposals would be a good start,他们走得不够远。The time has come to ban outside legal work for state legislators and to compensate them fairly for the full time job the people elected them to do.


哪些公司和员工最有可能在国外行贿?Reflections on the OECD Foreign Bribery Report

I want to follow up on Melanie'spost last week,188bet app关于经合组织的第一次Foreign Bribery Report,and what its findings tell us 188bet appabout patterns and tendencies in firms' illegal bribe activities in foreign countries.本报告是一份重要的资料性文件,其中包括:正如其介绍所说,"an analysis of all foreign bribery enforcement actions that have been completed since the entry into force of the"经合组织反贿赂公约.里面有很多,and I may do another blog post at some point on some other aspect of the report.But for now I wanted to focus on one thing 188bet appabout the report that jumped out at me: the way in which the report's findings seem to be in some tension with my prior beliefs/stereotypes about the contexts in which foreign bribery is most frequent.

Let me start with my prior beliefs,which are not based on much firsthand information,但我已经从很多在这方面工作的人那里吸收了,and I think are fairly widely shared.These beliefs run as follows: Whatever the world was like a decade or two ago,如今,大多数大型跨国公司都认识到反腐败法的严重性,如《反腐败法》,and most such firms have fairly robust (though often imperfect) compliance programs.当这些公司违反了《反海外腐败法》或类似的法律时——他们仍然这样做,probably far too often–it is less likely these to be the deliberate policy of senior management,在高风险新兴市场增加业务的压力下,更可能是低或中层员工。这并不意味着高级管理人员是无可指责的——他们可能没有设定正确的“高层基调”,或者没有实施适当的合规计划,or looked the other way.But at major multinationals,许多人(包括我)认为贿赂通常不是公司的政策。By contrast,the thinking often goes,small and medium-sized enterprises (SMEs),可能是第一次向高风险外国市场扩张,更可能违反反海外腐败法。They are less likely to be familiar with the statute,less likely to have sophisticated (and expensive) compliance programs in place,and less accustomed to managing the pressures of doing business in environments where corruption is prevalent.

The OECD Report strongly implies (but does not quite say) that this is (mostly) wrong.As the report states at the outset,"[c]orporate leadership [was] involved,or at least aware,of the practice of foreign bribery in most cases,驳斥对贿赂是流氓雇员行为的看法。在经合组织审查的427起反海外贿赂执法行动中,in 12% the CEO was involved,and in another 41%,"management-level employees paid or authorized the bribe." As for the firms involved,the OECD found that "[o]nly 4% of the sanctioned companies were … SMEs," while in 60% of cases the company had over 250 employees,另外36%的公司规模无法从案件记录中确定。

So,does this mean my prior beliefs were all wrong?Are the most likely foreign bribery culprits senior executives at large multinationals,rather than lower-level employees and SMEs?Maybe.But not necessarily.而梅兰妮认为报告refuting the "rogue employee myth,"把驳斥的逻辑后果搞清楚,I want to take a different tack,by raising a few questions 188bet appabout how we should interpret the report's findings here for the types of foreign bribery problems that are most typical.Indeed,although the OECD Report's findings are important and ought to provoke all of us to re-examine some of our assumptions,I want to suggest a few reasons to be cautious 188bet appabout not drawing overly broad and unwarranted inferences on these particular points.继续阅读渐次


上个月初,经合组织发布了第一个Foreign Bribery Report.根据安吉尔·古里亚的说法,本组织秘书长,报告“努力衡量,and to describe,transnational corruption based on data from the 427 foreign bribery cases that have been concluded since the entry into force of the OECD Anti-Bribery Convention in 1999." The report as a whole is quite interesting,但我想继续研究经合组织关于从事贿赂,and how this should change how we approach arguments on whistleblower internal reporting requirements.

报告发现,contrary to popular belief,在大多数情况下,高级管理层意识到或认可支付任何贿赂(在41%的情况下,高级管理层受到牵连,in 12% even the highest level executives were aware of the bribe being paid).As the report notes,this "debunk[s] the "rogue employee" myth," and this,I would argue,作为打击外国贿赂的手段,对内部报告要求提出质疑。继续阅读渐次


前不久我做了一个short post对一些声称腐败是西非埃博拉疫情的重要原因的说188bet app法表示怀疑。我同意,只要腐败将资源从公共卫生和卫生领域转移,or leads to undersupply of necessary medicines and supplies, it is likely to worsen both the frequency and magnitude of public health problems.But I was more skeptical that there was any direct evidence that the admittedly rampant corruption in places like Liberia,塞拉利昂,尼日利亚是that particularpublic health crisis.

上个月,我有幸在世界银行主持了一个关于腐败和公共卫生的小组。国际反腐败者联盟meeting,and the presentations at that panel have altered my thinking 188bet appabout this issue somewhat.More generally,来自受埃博拉病毒重创国家的几位演讲者-包括Commissioner Joseph Kamaraof Sierra Leone's Anti-Corruption Commission andCommissioner Aba Hamilton-Dolo利比里亚反腐败委员会提出了一个令人信服的理由,即if not a primary cause,then at least a significant contributor to the extent and severity of the Ebola outbreak.Of course,there is still relatively little direct evidence,and it's reasonable to wonder whether commissioners on anti-corruption commissions may be likely to overestimate the significance of their particular issue area for the most pressing immediate crisis facing their nations.尽管如此,他们确实提出了一个合理的理由,即腐败,while perhaps not a direct contributor to the outbreak,严重阻碍了反应。

在这一点上,Commissioner Hamilton-Dolo emphasized an important argument that I hadn't really paid enough attention to,即使我引用了Professor Taryn Vianmaking essentially the same point in myearlier post:除了浪费公共卫生资源外,corruption may also impede the effective response to public health crises by undermining trust in government.争论,as I understand it,goes something like this:继续阅读渐次