Independent Compliance Monitor (DOJ/SEC/SFO/AFA) → USA (FCPA 1977 + DOJ CEP 2023) 🇺🇸
15 USC §78dd-1-3 (anti-bribery) + §78m (books & records) + DOJ Corporate Enforcement Policy 2023 · DOJ Fraud Section + SEC Enforcement + FBI International Corruption · FCPA anti-bribery + accounting + DOJ CEP voluntary self-disclosure presumption of declination
Independent Compliance Monitor (DOJ/SEC/SFO/AFA) for USA (FCPA 1977 + DOJ CEP 2023) falls under 15 USC §78dd-1-3 (anti-bribery) + §78m (books & records) + DOJ Corporate Enforcement Policy 2023 — authority DOJ Fraud Section + SEC Enforcement + FBI International Corruption · program FCPA anti-bribery + accounting + DOJ CEP voluntary self-disclosure presumption of declination.
Credentials: ISO 37001 Lead Auditor (BSI), CCEP-I (SCCE), CFE (ACFE), former DOJ FCPA Unit, former SFO Case Controller, NACC certified trainer.
USA (FCPA 1977 + DOJ CEP 2023) legal framework: 15 USC §78dd-1-3 (anti-bribery) + §78m (books & records) + DOJ Corporate Enforcement Policy 2023 — enforced by DOJ Fraud Section + SEC Enforcement + FBI International Corruption · program FCPA anti-bribery + accounting + DOJ CEP voluntary self-disclosure presumption of declination. FCPA reaches non-US firms with any US person/USD/email server + DOJ CEP 2023 declination if self-disclosed.
Workflow: risk assessment → policy → training → DD → monitoring → audit → ISO 37001 → cooperation/disclosure.
Independent Compliance Monitor (DOJ/SEC/SFO/AFA) takes 365-1095 working days at 1,485,000-9,985,000 บาท/ปี.
FCPA — 28 voluntary disclosures, 22 declinations + 6 NPAs (zero indictment 2018-2025).
Coverage
How it works
- 1
Map 15 USC §78dd-1-3 (anti-bribery) + §78m (books & records) + DOJ Corporate Enforcement Policy 2023
Thresholds + extraterritoriality + DOJ Fraud Section + SEC Enforcement + FBI International Corruption requirements.
- 2
Risk + policy
Risk assessment + ABC policy + WB channel under FCPA anti-bribery + accounting + DOJ CEP voluntary self-disclosure presumption of declination.
- 3
Training + DD
Role-based training + third-party DD + sanctions screen.
- 4
Audit + certification
Internal audit + ISO 37001 + management review.
- 5
Cooperation + disclosure
Voluntary disclosure + DPA/NPA/CJIP + monitor + remediation.
Frequently asked questions
Which law in USA (FCPA 1977 + DOJ CEP 2023)?
15 USC §78dd-1-3 (anti-bribery) + §78m (books & records) + DOJ Corporate Enforcement Policy 2023
Enforcing authority?
DOJ Fraud Section + SEC Enforcement + FBI International Corruption
Covered program?
FCPA anti-bribery + accounting + DOJ CEP voluntary self-disclosure presumption of declination
Country notes?
FCPA reaches non-US firms with any US person/USD/email server + DOJ CEP 2023 declination if self-disclosed.
Timeline?
365-1095 working days.
Extraterritorial reach?
FCPA = US person/USD/email. UKBA = UK nexus. Sapin II = French subsidiary. NACC = Thai entity.
Penalties?
FCPA = USD 2M/violation + disgorgement. UKBA §7 = unlimited fine. Sapin II = €1M AFA. NACC = 2× benefit + 10y prison.