公司不知情,就可以不为员工的失当行为承担责任?

August 30, 2019

2019年8月29日,美国第二大网络设备制造商瞻博网络公司(Juniper Networks)因在向俄罗斯和中国销售中存在违反FCPA(海外反腐败法)行为,而向美国政府支付1170万美元罚款。

 

瞻博网络的海外子公司伪造了提供给客户的活动行程和会议议程。伪造的材料对活动和行程中所发生的大量娱乐性花费轻描淡写,并用账外款项来提高销售折扣,而公司的客户并未实际享受到这一折扣。

 

事件造成的后果:

 

瞻博网络的销售代表通过向公司的法务部门隐瞒实情,而获得批准。在此事件中,虽然瞻博网络对这些非法活动并不知情,公司也一向对公务差旅有明确的相关规定,并在事件发生后与证监会(SEC)及时积极配合,证监会依旧对其因内部财务及合规管控不到位而做出了民事罚款决定。瞻博网络同时同意更新其合规协议,重新开展员工培训,并尽快设立一个独立的专家调查机制,来预防今后违规行为的再次发生。

 

主要经验教训:

 

回顾瞻博网络事件,涉事的销售代表,在公司中属于中级甚至仅仅是初级员工,但是他们的行为依旧对瞻博网络造成了重大的负面影响。瞻博网络本身的运营和管理也存在如下问题:

  • 高级管理层没有为公司的跨境商业活动做好准备,缺乏相关法律知识;

  • 合规制度的存在但不完善,也会为公司带来严重的法律后果;

  • 在FCPA监管严格的国家或地区,没有设立明确的管理权;

  • 对员工和海外的相关交易方,没有进行适当的培训。

 

在公司的实际管理运作中,我们发现,一些公司的法律合规还是空白,一些公司虽然已经具有法律合规意识,但很多时候公司的合规机制、内部调查流程不尽完善,或对员工的培训并不到位,例如认为公司的初级员工不用接受培训,或认为公司只要不知情就可以不为员工的失当行为承担责任。为了避免类似瞻博网络当下面临的窘境,我们在这里要提醒公司管理层,一家公司的稳定发展离不开对自身法律合规状况的审视,及对公司全体员工法律合规意识的培养和培训。

 

如果您对公司的法律合规机制存有疑虑,或不知公司需要何种类型的培训,亦或认为公司可能需要通过内部调查来排除潜在合规风险,欢迎您点击此处与我所国际业务部专业律师预约咨询。

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