The companies listed below are the subject of an ongoing and unresolved FCPA-related investigation. The names are current through June 30, 2014.
The entries are based on disclosures in SEC filings or credible news reports or both.
Some companies on the list have disclosed DOJ and SEC investigations, and declinations from only one of those agencies. We’re assuming the agency for which a declination hasn’t been disclosed is continuing its investigation.
The DOJ and SEC don’t disclose the existence of FCPA investigations or comment on them. That means non-issuers (non-public companies) and issuers that have a pending investigation but haven’t disclosed it, may not appear on our list.
This data is made available once again through the generous contribution of an anonymous volunteer researcher.
In addition to the companies on the list, the researcher identified at least 20 others suspected to be the target of an ongoing FCPA investigation. The researcher (and others) aren’t able to confirm those investigations using reliable sources, so the companies have been omitted.
Here are the current 106 names:
1 ABM Industries Incorporated
2 Accenture PLC
3 Agilent Technologies Inc
4 Airbus Group
5 Alstom SA
6 Analogic Corporation
7 Anheuser-Busch InBev SA/NV
8 AstraZeneca PLC
9 Avon Products Inc
10 Barclays PLC
11 Beam Inc
12 BHP Billiton Ltd
13 Bio-Rad Laboratories Inc
14 Blackstone Group LP
15 Bristol-Myers Squibb Company
16 Brookfield Asset Management Inc
17 Bruker Corporation
18 BSG Resources Ltd
19 Central European Distribution Corporation
20 Chestnut Consulting Inc
21 Cisco Systems Inc
22 Citigroup Inc
23 Credit Suisse Group AG
24 Cobalt International Energy Inc
25 Comcast (NBCUniversal Inc)
26 Cubist Pharmaceuticals Inc (Optimer Pharmaceuticals Inc)
27 Dialogic Inc
28 Delphi Automotive PLC
29 Deutsche Bank AG
30 Deutsche Post AG (DHL)
31 DreamWorks Animation SKG Inc
32 Dun & Bradstreet Corporation
33 Eli Lilly and Company
34 Embraer SA
35 Ericsson AB
36 Expro International Group PLC
37 Fedex Corporation
38 Freeport-McMoRan Copper & Gold Inc
39 Fresenius Medical Care AG & Co KGaA
40 General Cable Corporation
41 GlaxoSmithKline PLC
42 Gold Fields Limited
43 Goldman Sachs Group Inc
44 Goodyear Tire and Rubber Company
45 Grifols SA (Talecris Biotherapeutics Holdings Corp)
46 Halliburton Company
47 Harris Corporation
48 Hyperdynamics Corporation
49 Image Sensing Systems Inc
50 Ingersoll-Rand PLC
51 International Business Machines Corporation
52 Johnson Controls Inc
53 JPMorgan Chase & Co
54 Juniper Networks
55 Key Engery Services Inc
56 Kimco Realty Corporation
57 KKR & Company LP
58 Las Vegas Sands Corp
59 Layne Christensen Company
60 Mead Johnson Nutrition Company
61 Merck & Co Inc
62 Microsoft Corporation
63 Mondelēz International Inc (formerly Kraft Foods Inc)
64 Morgan Stanley
65 Motorola Solutions Inc
66 MTS Systems Corporation
67 National Geographic
68 NCR Corporation
69 Net 1 UEPS Technologies Inc
70 News Corporation
71 Nordion Inc
72 Novartis AG
73 Och-Ziff Capital Management Group LLC
74 Olympus Corp
75 Oracle Corporation
76 Orthofix International NV
77 Owens-Illinois Group Inc
78 Panasonic Corporation
79 PTC Inc
80 Park-Ohio Industries Inc
81 Protective Products of America Inc
82 Qualcomm Incorporated
83 Quanta Services Inc
84 Rolls Royce PLC
85 Sanofi SA
86 SBM Offshore NV
87 Sciclone Pharmaceuticals Inc
88 Sensata Technologies Holding NV
89 Siemens AG
90 SL Industries Inc
91 Smith & Wesson Holding Corporation
92 Société Générale SA
93 Sony Corporation
94 STR Holdings Inc
95 Tata Communications Limited
96 Tesco Corporation
97 TeliaSonera AB
98 Teva Pharmaceutical Industries Limited
99 UBS AG
100 Universal Entertainment Corp
101 Universal Music Group (Vivendi)
102 Viacom (Paramount Pictures)
103 VimpelCom Ltd
104 Wal-mart Stores Inc
105 Walt Disney Company
106 WS Atkins PLC (PBSJ Corp)
The list for end of 2013 is here and for the end of 2012 is here.
* * *
Countries involved in at least one on-going investigation include the following. Some companies don’t disclose any countries where potential violations might have occurred, and many companies don’t disclose all of the countries involved.
1 Angola
2 Argentina
3 Australia
4 Bangladesh
5 Belarus
6 Brazil
7 Canada
8 China
9 Croatia
10 Dominican Republic
11 DRC
12 Egypt
13 Equatorial Guinea
14 Georgia
15 Germany
16 Greece
17 Guinea
18 Hong Kong
19 India
20 Indonesia
21 Iran
22 Iraq
23 Italy
24 Jordan
25 Kazakhstan
26 Kenya
27 Kuwait
28 Lebanon
29 Libya
30 Mexico
31 Oman
32 Pakistan
33 Poland
34 Qatar
35 Romania
36 Russia
37 Saudi Arabia
38 Serbia
39 Slovakia
40 South Africa
41 Switzerland
42 Turkey
43 UAE
44 UK
45 Ukraine
46 Uzbekistan
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Richard L. Cassin is the publisher and editor of the FCPA Blog. He can be contacted here.
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