Jurisdiction(s):
United Kingdom

FCPA investigations: UK practitioners’ checklist on compliance programmes, privilege, DOJ/SEC co-operation, remediation and cross-border risks

Published by a LexisNexis Corporate Crime expert

Checklists

Investigations into suspected breaches of the Foreign Corrupt Practices Act 1977 (FCPA 1977) are frequently lengthy and complex. Questions around privilege, voluntary self-reporting and cross-border dynamics must be thoroughly assessed and managed with care. This Checklist should be read alongside the Practice Note: Practical steps in a bribery investigation—UK and US perspectives. For further detail on the FCPA, see Practice Notes: US Foreign Corrupt Practices Act (FCPA), The US Foreign Corrupt Practices Act 1977 (FCPA 1977) and Bribery Act 2010 (BA 2010) comparison table, and FCPA internal investigations and enforcement proceedings (US).

Prior to investigation

Lawyers should consider the following steps:

Ensure the company has a robust compliance programme, backed by sufficient resources and incorporating anonymous reporting channels and whistleblowing policies. Under the US Department of Justice’s (DOJ) Principles of Federal Prosecution of Business Organisations, when deciding whether to bring charges, negotiate plea or other agreements, and determine fines, the DOJ assesses the adequacy and effectiveness of the corporation’s compliance programme at the time of the offence and at any charging decision...

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Amanda Raad , Esq

Ropes & Gray

Co-leader of Ropes & Gray’s global anti-corruption and international risk practice and co-founder of R&G Insights Lab, Amanda Raad serves as a trusted advisor to clients seeking wide-ranging counsel on global and cross-border risk. Qualified in the United States and as a Solicitor in England and Wales, she leverages her extensive knowledge and experience of these active enforcement regimes to help clients navigate risk across jurisdictions. Amanda represents clients across every business sector in criminal enforcement and regulatory matters, internal investigations, and compliance matters involving a range of misconduct, including financial fraud, corruption, sanctions and export control violations, money laundering, cybersecurity and data privacy issues, antitrust issues, and sexual misconduct. Amanda also works with clients in creating compliant cultures. Amanda publishes and speaks frequently on cross-border challenges in the areas of corporate crime and investigations, including those associated with sexual...

Web page updated on 20/05/2026

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