美国的“中国行动计划”对跨境企业的存亡发展有多大影响?

August 28, 2019

近日,特朗普在G7峰会称中美贸易谈判或将重启,尽管双边贸易政策还无最终定论,但美国司法部(Department of Justice)对于跨境企业的监管已经有了实质性的加强。跨境企业的税务、货币政策违规等都可能成为美国司法部(DOJ)进一步调查的缘由。在如此跨境合规监管力度不断加强的政策背景下,中美企业主都开始权衡其从跨境业务中所获得的经济利益,是否足以抵消其承担的风险价值。

 

其中,考量《美国反海外腐败法》(Foreign Corrupt Practices Act)的合规成本,对众多企业来说可谓重中之重。相较从企业或个体本身出发考虑风险应对措施,企业主更应该关注相关法律法规和政策动向,并及时做出全局战略规划。

 

“中国行动计划”

 

2018年11月1日,美国司法部宣布启动“中国行动计划(China Initiative)”,旨在要求美国司法部和主要调查机构大幅增加对所有中美跨境交易的审查,反制任何中国对美国国家安全造成的潜在威胁。

 

该计划其中一项强调:“甄别可能涉及违反FCPA法案,与美国企业存在竞争关系的中国公司”。虽然,该条例单独看来似乎合情合理,但该计划同时明确指出“需要解决中国经济恶性侵略的威胁”,并断言“除中国外,没有哪个国家对我们的想法、创新和经济安全,构成如此广泛而严重的威胁”。前美国司法部长(DOJ)塞申斯甚至直指“中国的威胁”,称“够了,我们不会再忍受它了”。

 

由此可见,“中国行动计划(China Initiative)”必将使中美跨境公司面临更加严峻的国际执法环境,风险管控也必将面临巨大挑战。

 

如何“全局”规避FCPA合规风险

 

  1. 及时更新公司合规政策,可参看定期更新的“执法指导原则”;

  2. 对所有员工开展有效的培训计划,强调合规细则及重要性(尤其针对将“直接参与”海外业务的人员,例如海外办事处、销售人员和非美国籍高管等);

  3. 在实际成为美国司法部门调查目标之前,及时进行内部调查将有力预防或中止潜在的违规行为;企业也应制定有效的相关风险管理计划和其他积极应对措施;

  4. 相关协议方(包括第三方)的沟通是至关重要的。实际业务中,有些企业可能因间接的业务关系被牵涉进违法案件中。例如,有些涉嫌违法的公司,可能委托第三方合法机构与企业达成合作关系;

  5. 永远不要忽视文化差异的重要性。特别是进行跨境交易谈判时,合作双方需达成共识,平衡中美双边法律的合规问题;谨慎对待细节才能确保双方长期可信赖关系。

 

如果您的企业正面临或可能面临来自相关部门的合规调查,或对于法律合规无从下手,亦或想了解更多前文中提到的企业应查看的相关材料,可点击此处与我们预约您的专属咨询时段。由博格大律师带领的国际业务部专业律师团队,可为您的企业制定FCPA合规计划,开展相关培训,为您的企业跨境业务保驾护航。

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