15 U.S.C. § 78dd-3 : US Code - Section 78DD-3: Prohibited foreign trade practices by persons other than issuers or domestic concerns

Search 15 U.S.C. § 78dd-3 : US Code - Section 78DD-3: Prohibited foreign trade practices by persons other than issuers or domestic concerns

(a) Prohibition
It shall be unlawful for any person other than an issuer that is
subject to section 78dd-1 of this title or a domestic concern (as
defined in section 78dd-2 of this title), or for any officer,
director, employee, or agent of such person or any stockholder
thereof acting on behalf of such person, while in the territory of
the United States, corruptly to make use of the mails or any means
or instrumentality of interstate commerce or to do any other act in
furtherance of an offer, payment, promise to pay, or authorization
of the payment of any money, or offer, gift, promise to give, or
authorization of the giving of anything of value to -
(1) any foreign official for purposes of -
(A)(i) influencing any act or decision of such foreign
official in his official capacity, (ii) inducing such foreign
official to do or omit to do any act in violation of the lawful
duty of such official, or (iii) securing any improper
advantage; or
(B) inducing such foreign official to use his influence with
a foreign government or instrumentality thereof to affect or
influence any act or decision of such government or
instrumentality,
in order to assist such person in obtaining or retaining business
for or with, or directing business to, any person;
(2) any foreign political party or official thereof or any
candidate for foreign political office for purposes of -
(A)(i) influencing any act or decision of such party,
official, or candidate in its or his official capacity, (ii)
inducing such party, official, or candidate to do or omit to do
an act in violation of the lawful duty of such party, official,
or candidate, or (iii) securing any improper advantage; or
(B) inducing such party, official, or candidate to use its or
his influence with a foreign government or instrumentality
thereof to affect or influence any act or decision of such
government or instrumentality,
in order to assist such person in obtaining or retaining business
for or with, or directing business to, any person; or
(3) any person, while knowing that all or a portion of such
money or thing of value will be offered, given, or promised,
directly or indirectly, to any foreign official, to any foreign
political party or official thereof, or to any candidate for
foreign political office, for purposes of -
(A)(i) influencing any act or decision of such foreign
official, political party, party official, or candidate in his
or its official capacity, (ii) inducing such foreign official,
political party, party official, or candidate to do or omit to
do any act in violation of the lawful duty of such foreign
official, political party, party official, or candidate, or
(iii) securing any improper advantage; or
(B) inducing such foreign official, political party, party
official, or candidate to use his or its influence with a
foreign government or instrumentality thereof to affect or
influence any act or decision of such government or
instrumentality,
in order to assist such person in obtaining or retaining business
for or with, or directing business to, any person.
(b) Exception for routine governmental action
Subsection (a) of this section shall not apply to any
facilitating or expediting payment to a foreign official, political
party, or party official the purpose of which is to expedite or to
secure the performance of a routine governmental action by a
foreign official, political party, or party official.
(c) Affirmative defenses
It shall be an affirmative defense to actions under subsection
(a) of this section that -
(1) the payment, gift, offer, or promise of anything of value
that was made, was lawful under the written laws and regulations
of the foreign official's, political party's, party official's,
or candidate's country; or
(2) the payment, gift, offer, or promise of anything of value
that was made, was a reasonable and bona fide expenditure, such
as travel and lodging expenses, incurred by or on behalf of a
foreign official, party, party official, or candidate and was
directly related to -
(A) the promotion, demonstration, or explanation of products
or services; or
(B) the execution or performance of a contract with a foreign
government or agency thereof.
(d) Injunctive relief
(1) When it appears to the Attorney General that any person to
which this section applies, or officer, director, employee, agent,
or stockholder thereof, is engaged, or about to engage, in any act
or practice constituting a violation of subsection (a) of this
section, the Attorney General may, in his discretion, bring a civil
action in an appropriate district court of the United States to
enjoin such act or practice, and upon a proper showing, a permanent
injunction or a temporary restraining order shall be granted
without bond.
(2) For the purpose of any civil investigation which, in the
opinion of the Attorney General, is necessary and proper to enforce
this section, the Attorney General or his designee are empowered to
administer oaths and affirmations, subpoena witnesses, take
evidence, and require the production of any books, papers, or other
documents which the Attorney General deems relevant or material to
such investigation. The attendance of witnesses and the production
of documentary evidence may be required from any place in the
United States, or any territory, possession, or commonwealth of the
United States, at any designated place of hearing.
(3) In case of contumacy by, or refusal to obey a subpoena issued
to, any person, the Attorney General may invoke the aid of any
court of the United States within the jurisdiction of which such
investigation or proceeding is carried on, or where such person
resides or carries on business, in requiring the attendance and
testimony of witnesses and the production of books, papers, or
other documents. Any such court may issue an order requiring such
person to appear before the Attorney General or his designee, there
to produce records, if so ordered, or to give testimony touching
the matter under investigation. Any failure to obey such order of
the court may be punished by such court as a contempt thereof.
(4) All process in any such case may be served in the judicial
district in which such person resides or may be found. The Attorney
General may make such rules relating to civil investigations as may
be necessary or appropriate to implement the provisions of this
subsection.
(e) Penalties
(1)(A) Any juridical person that violates subsection (a) of this
section shall be fined not more than $2,000,000.
(B) Any juridical person that violates subsection (a) of this
section shall be subject to a civil penalty of not more than
$10,000 imposed in an action brought by the Attorney General.
(2)(A) Any natural person who willfully violates subsection (a)
of this section shall be fined not more than $100,000 or imprisoned
not more than 5 years, or both.
(B) Any natural person who violates subsection (a) of this
section shall be subject to a civil penalty of not more than
$10,000 imposed in an action brought by the Attorney General.
(3) Whenever a fine is imposed under paragraph (2) upon any
officer, director, employee, agent, or stockholder of a person,
such fine may not be paid, directly or indirectly, by such person.
(f) Definitions
For purposes of this section:
(1) The term "person", when referring to an offender, means any
natural person other than a national of the United States (as
defined in section 1101 of title 8 (!1) or any corporation,
partnership, association, joint-stock company, business trust,
unincorporated organization, or sole proprietorship organized
under the law of a foreign nation or a political subdivision
thereof.
(2)(A) The term "foreign official" means any officer or
employee of a foreign government or any department, agency, or
instrumentality thereof, or of a public international
organization, or any person acting in an official capacity for or
on behalf of any such government or department, agency, or
instrumentality, or for or on behalf of any such public
international organization.
(B) For purposes of subparagraph (A), the term "public
international organization" means -
(i) an organization that is designated by Executive order
pursuant to section 288 of title 22; or
(ii) any other international organization that is designated
by the President by Executive order for the purposes of this
section, effective as of the date of publication of such order
in the Federal Register.
(3)(A) A person's state of mind is knowing, with respect to
conduct, a circumstance or a result if -
(i) such person is aware that such person is engaging in such
conduct, that such circumstance exists, or that such result is
substantially certain to occur; or
(ii) such person has a firm belief that such circumstance
exists or that such result is substantially certain to occur.
(B) When knowledge of the existence of a particular
circumstance is required for an offense, such knowledge is
established if a person is aware of a high probability of the
existence of such circumstance, unless the person actually
believes that such circumstance does not exist.
(4)(A) The term "routine governmental action" means only an
action which is ordinarily and commonly performed by a foreign
official in -
(i) obtaining permits, licenses, or other official documents
to qualify a person to do business in a foreign country;
(ii) processing governmental papers, such as visas and work
orders;
(iii) providing police protection, mail pick-up and delivery,
or scheduling inspections associated with contract performance
or inspections related to transit of goods across country;
(iv) providing phone service, power and water supply, loading
and unloading cargo, or protecting perishable products or
commodities from deterioration; or
(v) actions of a similar nature.
(B) The term "routine governmental action" does not include any
decision by a foreign official whether, or on what terms, to
award new business to or to continue business with a particular
party, or any action taken by a foreign official involved in the
decision-making process to encourage a decision to award new
business to or continue business with a particular party.
(5) The term "interstate commerce" means trade, commerce,
transportation, or communication among the several States, or
between any foreign country and any State or between any State
and any place or ship outside thereof, and such term includes the
intrastate use of -
(A) a telephone or other interstate means of communication,
or
(B) any other interstate instrumentality.