Criminal and civil penalties can be imposed on individuals or companies that violate the FCPA and the Bribery Act.  The statutory maximum penalties set out below are per violation.  Maximum penalties can be aggregated where there is more than one violation (e.g., per charge or count).

Criminal Penalties

  • Corporations and other entities convicted of violating the FCPA anti-bribery violations face fines of up to $2 million per violation.1  Individuals can face up to five years in prison and a $250,000 fine per violation.2  Under the alternative fines provision, a person or entity can be fined an amount of up to twice the gross pecuniary gain or loss from a violation.3  
  • Corporations and other entities convicted of violating the FCPA accounting provisions face a maximum fine of $25 million per violation.  Individuals convicted of violating the accounting provisions face maximum penalties of 20 years in prison and a $5 million fine.4  As with an anti-bribery violation, under the alternative fines provision, a person or entity can be fined an amount of up to twice the gross pecuniary gain or loss from the violation.5
  • Corporations and other entities convicted of violating the UK Bribery Act can face unlimited fines and disgorgement.  Individuals can face up to 10 years in prison.
Civil Penalties

  • Individuals or entities charged with civil violations of the FCPA anti-bribery provisions face civil fines of up to $20,521 per violation, as of January 15, 2018.6  The DOJ and SEC also may seek injunctive relief to prevent any ongoing or future violations.  Finally, the SEC may seek disgorgement of ill-gotten gains.7
  • As of January 15, 2018, companies violating FCPA accounting provision face civil penalties of $92,383 to $923,831 per violation.  Individuals can be fined $9,239 to $184,767 per violation.8  The SEC may also seek injunctive relief, disgorgement of ill-gotten gains, and a bar prohibiting an individual from serving as an officer or director of a public company.9
  • The SFO and the Crown Prosecution Service may pursue civil recovery by way of a court order in circumstances where they can identify property that represents the proceeds of crime, including corruption, regardless of whether or not a criminal conviction has been secured (or will be pursued) in relation to the underlying conduct.  For more on actions to secure the proceeds of crime, see here.

1 15 USC §§ 78dd-2(g)(1)(A), 78dd-3(e)(1)(A), 78ff(c)(1)(A).

2 15 USC §§ 78dd-2(g)(2)(A), 78dd-3(e)(2)(A), 78ff(c)(2)(A); 18 USC § 3571(b).

3 18 USC § 3571(d).

4 15 USC § 78ff(a).

5 18 USC § 3571(d).

6 15 USC §§ 78ff(c)(1)(B), (c)(2)(B); 17 C.F.R. § 201.1005; SEC, Inflation Adjustments to the Civil Monetary Penalties Administered by the Securities & Exchange Commission (as of January 15, 2018), available here.

7 15 USC § 78u(d)(1)-(3); 15 USC § 78u-3(a), (e).

8 15 USC § 78u(d)(3); 15 USC § 78u-2; 17 C.F.R. § 201.1005; SEC, Inflation Adjustments to the Civil Monetary Penalties Administered by the Securities & Exchange Commission (as of January 15, 2018), available here.

9 15 USC § 78u(d)(1)-(3); 15 USC § 78u-3(a), (e).


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