FCPA Penalties for individuals and entities
The Department of Justice is primarily responsible for enforcing the anti-bribery provisions of the FCPA, while the Securities and Exchange Commission is charged with enforcing violations of the accounting provisions. Although both agencies can institute civil actions, only the Department of Justice is authorized to file criminal charges.
Penalties for individuals: Anti-bribery provisions
- Civil penalty up to $10,000
- Criminal fine up to $250,000.
- If imposed on an individual, fines cannot be paid directly or indirectly by the company on whose behalf the person acted.
- The fine may be increased to twice the gross financial loss or gain resulting from the corrupt payment under the Alternative Fines Act.
- Imprisonment for up to 5 years
Penalties for entities: Anti-bribery provisions
- Civil penalty up to $10,000
- Criminal fine up to $2 million; under the Alternative Fines Act, may be increased to twice the gain or loss resulting from the corrupt payment.
Penalties for individuals: Accounting provisions
- Civil penalty up to $100,000
- Criminal fine up to $5 million or twice the gain or loss caused by the accounting violation
- Imprisonment up to 20 years
- Fines cannot be paid directly or indirectly by the company on whose behalf the person acted.
Penalties for entities: Accounting provisions
- Criminal fine up to $25 million or twice the gain or loss caused by the violation
- Civil penalty up to $500,000