Fraud Management: Risk and Compliance

Fraud Management: Risk and Compliance Part One: Cross Border Compliance Investigation Business Plan (DUE NOV 14, 2015 BY 11:55PM ET) Globalization and international business activities have wrought many cross border issues some of which involve bribery, corruption, conflict of interest, money laundering, insider trading, environmental crimes, data breaches, and industry specific regulatory problems to name a few. In this part of the two part assignment, the student will be assigned a specific country and be required to prepare a business plan to investigate a selected wrongdoing. The student will research a company in the assigned country and select from one of the above issues. It need not matter if the issue is new, ongoing, or has been adjudicated. (My assigned country is Poland) Assignment Requirements Assume the role of an independent contractor (e.g. company that specializes in cross border corporate investigations) Do not assign yourself a law enforcement role. The Business Plan is to be prepared with the mindset of presentation to the manager of the target company that hired you. The goal is present a plan that identifies risks to the company (list them all) and how you will go about the investigation with the following in mind: • Executive Summary • Company name and company summary o Headquarters o Type of business • Allegation based on your research • How was the allegation received? (Hotline, regulatory complaint, law enforcement, other?) • If any company policies/codes have been violated • List applicable U.S. or local substantive law(s). • Address the following challenges (there could be others) o Travel and logistics o Budget o Internal investigation resources o Internal groups to partner with o Cultural and language differences o Legal and regulatory environment o Privacy or information issues o Attorney client privilege • Who needs to know at this time? o What information can you share? o What information should not be shared? • What are the blocking statutes for electronic information/paper documents? o What rights do employees or employers have? • Who needs to be interviewed? If there were names in your research identify the person(s) by name, relevance, and position. The completed business plan should be between 6-10 PowerPoint slides not counting title slide, table of contents, or the reference slide. Remember this is a brief business plan, the detailed plan comes later in Part Two. Companies under FCPA investigation 2015 Companies Not Eligible for Case Study 1. 21st Century Fox Toyota Motor Company 2.    ABM Industries Incorporated ENI S.P.A Milan Italy 3.    Accenture PLC Snamprogtti Netherlands 4.    Akamai Technologies Inc. La Polar Chile 5.    Analogic Corporation Ralph Lauren Argentina 6.    Anheuser-Busch InBev SA/NV Satyam Computer Service, India 7.    AstraZeneca PLC Woori Bank South Korea 8.    Barclays PLC SNC-Lavalin, Canada 9.   Beam Inc Ferominera Orinoco, Venezuela 10.  BHP Billiton Ltd Petro Tiger, Colombia 11.  Bilfinger SE Petrobras, Brazil 12.  Biomet Inc (LBV Acquisition Inc) CommerzBank AG, Germany 13.  Blackstone Group LP Alstom S.A., France 14.  The Bank of New York Mellon Corporation Czech Republic Bank Ceska Sporitelna 15.  Bristol-Myers Squibb Company Hewlett-Packard, Russia 16.  Brookfield Asset Management Inc 17.  BSG Resources Ltd 18.  Central European Distribution Corporation 19.  Chestnut Consulting Inc 20.  Cisco Systems Inc 21.  Citigroup Inc 22.  Credit Suisse Group AG 23.  Cobalt International Energy Inc 24.  Comcast Corporation (NBCUniversal Media LLC) 25.  Cubist Pharmaceuticals Inc 26.  Delphi Automotive PLC 27.  Derwick Associates de Venezuela SA 28.  Deutsche Bank AG 29.  DreamWorks Animation SKG Inc 30.  The Dun & Bradstreet Corporation 31.  Embraer SA 32.  Eni SpA 33.  LM Ericsson Telephone Company 34.  Expro International Group PLC 35.  Fedex Corporation 36.  Flowserve Corporation 37.  Freeport-McMoRan Copper & Gold Inc 38.  Fresenius Medical Care AG & Co KGaA 39.  General Cable Corporation 40.  GlaxoSmithKline PLC 41.  Gold Fields Limited 42.  Goldman Sachs Group Inc 43.  Grifols SA 44.  Halliburton Company 45.  Harris Corporation 46.  Hyperdynamics Corporation 47.  Ingersoll-Rand PLC 48.  International Business Machines Corporation 49.  Johnson Controls Inc 50.  JPMorgan Chase & Co 51.  Juniper Networks 52.  Key Energy Services Inc 53.  Kimco Realty Corporation 54.  KKR & Company LP 55.  Las Vegas Sands Corp 56.  Mead Johnson Nutrition Company 57.  Merck & Co Inc 58.  Microsoft Corporation 59.  Mobile Telesystems OJSC 60.  Mondelez International Inc 61.  Morgan Stanley 62.  Motorola Solutions Inc 63.  MTS Systems Corporation 64.  National Geographic Society 65.  NCR Corporation 66.  Net 1 UEPS Technologies Inc 67.  NewMarket Corporation 68.  News Corporation 69.  Nordion Inc 70.  Nortek Inc 71.  Novartis AG 72.  Och-Ziff Capital Management Group LLC 73.  Olympus Corp 74.  Oracle Corporation 75.  Orthofix International NV 76.  Owens-Illinois Group Inc 77.  Panasonic Corporation 78.  Proenergy Services LLC 79.  PTC Inc 80.  Park-Ohio Industries Inc 81.  Petróleo Brasileiro Sa - Petrobras 82.  Qualcomm Incorporated 83.  Quanta Services Inc 84.  Rolls Royce PLC 85.  Sanofi SA 86.  Sciclone Pharmaceuticals Inc 87.  Sensata Technologies Holding NV 88.  SL Industries Inc 89.  Société Générale SA 90.  Sony Corporation 91.  STR Holdings Inc 92.  Sweett Group PLC 93.  Tata Communications Limited 94.  Tesco Corporation 95.  TeliaSonera AB 96.  Teva Pharmaceutical Industries Limited 97.  Time Warner Inc 98.  Tradition Financial Service Ltd 99.  UBS AG 100. Universal Entertainment Corp 101. Universal Music Group (Vivendi) 102. United Technologies Corporation 103. Viacom (Paramount Pictures) 104. VimpelCom Ltd 105. Wal-mart Stores Inc 106. The Walt Disney Company 107. Wynn Resorts Limited 108. X