Previous posts this week (here and here) separately analyzed DOJ and SEC corporate Foreign Corrupt Practices Act enforcement in 2016.
Viewing FCPA enforcement statistics this way is useful and informative given that the DOJ and SEC are separate law enforcement agencies and different issues may arise in DOJ and SEC FCPA enforcement actions.
By way of review, below are the 2016 DOJ and SEC FCPA enforcement statistics compared to prior years.
Corporate DOJ FCPA Enforcement Actions (2010 – 2016)
| Year | Core Actions |
| 2016 | 13 |
| 2015 | 2 |
| 2014 | 7 |
| 2013 | 7 |
| 2012 | 9 |
| 2011 | 11 |
| 2010 | 17 |
Corporate SEC FCPA Enforcement Actions (2010 – 2016)
| Year | Core Actions |
| 2016 | 24 |
| 2015 | 9 |
| 2014 | 7 |
| 2013 | 8 |
| 2012 | 8 |
| 2011 | 13 |
| 2010 | 19 |
Corporate DOJ FCPA Enforcement Action Settlement Amounts (2010 – 2016)
| Year | Settlement Amounts |
| 2016 | $1.2 billion |
| 2015 | $24.2 million |
| 2014 | $1.25 billion |
| 2013 | $420 million |
| 2012 | $142 million |
| 2011 | $355 million |
| 2010 | $870 million |
Corporate SEC FCPA Enforcement Action Settlement Amounts (2010 – 2016)
| Year | Settlement Amounts |
| 2016 | $1.07 billion |
| 2015 | $114 million |
| 2014 | $327 million |
| 2013 | $300 million |
| 2012 | $118 million |
| 2011 | $148 million |
| 2010 | $530 million |
Viewing FCPA enforcement in the aggregate (DOJ and SEC combined) is of course also useful and informative and in 2016 the DOJ and SEC combined collected approximately $2.41 billion in 27 core corporate enforcement actions.
The below chart provides a summary of corporate FCPA enforcement data (DOJ and SEC combined) for the years 2007-2016, as well as notable circumstances that significantly skewed enforcement data statistics for particular years.
Corporate FCPA Enforcement Actions (2007 – 2016)
| Year | Core Actions | Settlement Amounts | Of Note |
| 2007 | 15 | $149 million | Six enforcement actions involved Iraq Oil for Food conduct and these enforcement actions comprised 40% of all enforcement actions and approximately 50% of the $149 million amount. |
| 2008 | 10 | $885 million | The $800 million Siemens enforcement action comprised approximately 90% of the $885 million amount. |
| 2009 | 11 | $645 million | The $579 million KBR / Halliburton Bonny Island, Nigeria enforcement action comprised approximately 90% of the $645 million amount. |
| 2010 | 21 | $1.4 billion | Six enforcement actions, all resolved on the same day, involved various oil and gas companies’ use of Panalpina in Nigeria. Panalpina also resolved an enforcement action on the same day.
Two enforcement actions (Technip and Eni / Snamprogetti) involved Bonny Island conduct. In other words, there were 14 unique corporate enforcement actions in 2010. Of further note, the two Bonny Island enforcement actions, Technip($338 million) and Eni/Snamprogetti ($365 million) comprised approximately 50% of the $1.4 billion amount. |
| 2011 | 16 | $503 million | The $219 million JGC Corp. enforcement action involved Bonny Island conduct and comprised approximately 44% of the $503 million amount. |
| 2012 | 12 | $260 million | No enforcement actions significantly skewed the statistics. |
| 2013 | 9 | $720 million | The $398 million Total enforcement action comprised approximately 55% of the $720 million amount. |
| 2014
|
10 | $1.6 billion | Two enforcement actions (Alstom – $772 million and Alcoa – $384 million) comprised approximately 72% of the $1.6 billion amount. |
| 2015
|
11 | $139 million | No enforcement actions significantly skewed the statistics. |
| 2016 | 27 | $2.27 billion
|
Three enforcement actions (Teva, Odebrecht/Braskem and VimpelCom) comprise approximately 52% of the $2.27 billion amount and five enforcement actions (the three mentioned above plus JP Morgan and Embraer) comprise approximately 69% of the amount |
| TOTALS | 142 | $8.78 billion |
