2014考研英语：新闻阅读五
美国公司海外招聘行为受到广泛调查
U．S． Overseas Hiring Probe Casts Wide Net
U．S． authorities are questioning numerous banks and hedge funds on their international hiring practices for interns and other employees， according to people with knowledge of the situation．
The Justice Department and Securities and Exchange Commission are seeking information to determine if there have been any violations of the U．S． Foreign Corrupt Practices Act， which forbids companies from giving money or other items of value to foreign officials to land business．
The probes are focusing on the hiring of relatives of well－connected foreign officials with the intent of winning business， the people said．
The scrutiny goes beyond a probe disclosed by J．P． Morgan Chase JPM ＋0．24% & Co． earlier this month． The bank hasn't been accused of wrongdoing． A spokeswoman said it is cooperating with investigators．
The Justice Department and SEC are examining whether J．P． Morgan hired the children of Chinese officials in order to win deals for initial public offerings in China， according to people familiar with the probe． The U．S． Attorney's Office for the Eastern District of New York in Brooklyn is involved in the Justice Department investigation， according to a person familiar with the J．P． Morgan situation．
Representatives of the SEC and Justice Department declined to comment．
Beyond J．P． Morgan， the specific companies coming under scrutiny couldn't be determined， but people familiar with the probes believe the inquiries extend geographically to hiring practices in countries other than China． As with J．P． Morgan， receiving inquiries from the agencies doesn't mean the companies have done anything wrong．
U．S． regulators long have kept a close eye on the international hiring practices of energy companies and pharmaceutical firms， but the focus on the financial－services industry is relatively recent． The SEC established a special unit to focus on the law in 2010．
'The government is looking for a test case on this' in financial services， said one corporate lawyer， who said that many of his clients have received questions on the subject from both agencies．
'We are certainly seeing similar inquiries where there is a focus on hiring practices under the FCPA，' said another lawyer who specializes in the anticorruption area．
The Foreign Corrupt Practices Act applies to all U．S． companies operating on foreign soil． The SEC has taken enforcement actions against four companies this year for paying bribes or making other improper payments， according to its website． None of the firms operate in the financial－services sector．
Although U．S． regulators have been ramping up their focus on hiring practices， such cases can be difficult to prove， say lawyers who specialize in the area． That is partly because prosecutors must show that a company made a job offer with 'corrupt intent，' meaning the bank had the expectation of asking a government official to do something that is out of the bounds of normal behavior．
A company can still be accused of violating the law even if the anticipated action， such as a promise of new business， doesn't occur， lawyers said．
'The government has to show that a company hired this person with the express intent that the purpose of the hiring was to improperly influence a government official，' said Asheesh Goel， a lawyer at Ropes & Gray LLP in Chicago who advises banks and hedge funds on the issue．
He said prosecutors typically focus on questions such as a job candidate's qualifications or whether he or she got paid more than normal．
The SEC also assesses whether a company has the proper internal controls in place． J．P． Morgan recently had been bulking up in that area， said one person familiar with the bank's procedures． It has assembled a task force to investigate its employment practices in Asia， said another person familiar with the matter．
Still， financial institutions and other companies typically don't pay much attention to the hiring of interns when they focus on complying with the antibribery law， according to lawyers who advise the firms． Those hiring decisions are usually made at a local level and don't flow back to corporate headquarters．
'Ethics and compliance programs don't talk about hiring practices of internships as part of something to look for，' said Scott Moritz， who specializes in anticorruption issues at Protiviti Inc．， a consulting firm．
The hiring of the children of Chinese officials， known as 'princelings，' was widespread during the IPO boom years in Hong Kong．
Bankers involved in some of the big deals said that the new employees could help the bank negotiate the Chinese bureaucracy and regulatory agencies．
'You hire these princelings into your bank， you get the access to some political capital，' said Tianyu Zhang， a professor at Chinese University of Hong Kong's Business School． 'If you have a political connection， it's easier to push your clients through this IPO application process．'
Mr． Zhang co－authored a paper on the influence of political ties on decisions around IPOs that is currently under review for publication at an academic journal．
知情人士表示，美国当局正就有关海外招聘实习生和其他员工一事对多家银行和对冲基金展开质询。
美国司法部和证券交易委员会（Securities and Exchange Commission，简称SEC）正在了解情况，以确定是否存在违反美国《反海外腐败法》（U．S． Foreign Corrupt Practices Act）的情况。该法禁止公司为招揽生意向外国官员送钱或贵重物品。
Bloomberg News摩根大通正就聘用中国高官子女一事接受调查。上述知情人士说，调查焦点在于雇用人脉广泛的外国官员的亲属是否旨在赢得生意。
此次调查范围超出了摩根大通（J．P． Morgan Chase & Co．）本月早些时候披露的调查。该银行尚未被指存在不法行为。摩根大通的发言人说，公司正配合调查。
了解调查情况的人表示，美国司法部和SEC目前在调查，摩根大通雇用中国官员子女的目的是否是为赢得中国国内首次公开募股（IPO）交易。据了解摩根大通状况的人透露，布鲁克林纽约东区美国检察官办公室参与了美国司法部的调查。
SEC与美国司法部代表均拒绝置评。
除摩根大通外，无法确定具体还有哪些公司受到审查，但知情人士认为，调查还涉及到这些公司在除中国以外其他国家的招聘。跟摩根大通一样，受到SEC和司法部调查的公司并不意味着它们有任何违法行为。
长期以来，美国监管者一直密切关注能源公司和制药企业在其他国家的招聘行为，但对金融服务业的关注则是近期才有的事。SEC在2010年专门成立了一个部门，密切关注《反海外腐败法》。
一位公司法律师说，美国政府正在寻找金融服务业在《反海外腐败法》方面的判例案件。此人说，他的很多客户都就这个问题接受了SEC和司法部的质询。
另一位专门代理反腐案件的律师说，现在的确是有类似调查，其中主要是看雇佣行为是否符合《反海外腐败法》。
《反海外腐败法》适用于所有在外国有业务的美国公司。SEC网站显示，该委员会今年已就行贿或支付其它不当款项的行为向四家公司采取了强制措施。这四家公司均不涉及金融服务业。
专门从事该领域工作的律师说，虽然美国监管者一直在加强对于雇佣行为的关注，但这类情况很难证明。部分原因是，检察官们必须证明一家公司提供一个工作机会是出于“腐败意图”，也就是说银行方面有要求一名政府官员做某些超出正常行动范围之举的期望。
律师说，即使预期的行动（比如承诺的新业务）没有发生，公司仍可被控违法。
芝加哥律所Ropes & Gray LLP的律师戈埃尔（Asheesh Goel）说，政府必须证明，公司雇用此人存有明确意图，目的是不正当地影响一位政府官员。戈埃尔就这个问题为银行和对冲基金提供建议。
他说，检察官们通常将重点放在职位候选人的资质或该人薪酬是否高于通常标准。
SEC还会评估一家公司是否具备适当的内部控制。一位熟悉摩根大通相关程序的人士说，该行最近一直在加强这方面的工作。另一位了解情况的人士说，摩根大通已经组建一个特别小组，调查在亚洲的雇佣行为。
然而，据为金融机构和其他公司提供建议的律师说，这些公司在关注反腐败法合规时并不会太注意雇用实习生的情况。这类雇佣决定通常都是在当地做出的，不会反映给公司总部。
在咨询公司Protiviti Inc．专门负责反腐败问题的莫里茨（Scott Moritz）说，道德和合规计划并不会将实习生的雇佣政策列为考察内容。
香港IPO繁荣的年头，雇用被称作“太子党”的中国官员子女的行为十分普遍。
参与其中一些大规模交易的银行家们说，这些新雇员可能帮助银行与中国官僚机构和监管机构交涉。
香港中文大学工商管理学院教授张田余说，将这些“太子党”招进自己的银行后，就能获得一些政治资本。如果你有政治人脉，就更容易让客户通过IPO申请程序。
张田余是一篇有关政治关系对于IPO相关决定影响力的论文的作者之一，该论文目前正为在一份学术期刊上发表接受评议。
相关推荐：
最新评论（共0条）评论一句
Copyright©2007–2021 www.100xuexi.com All rights reserved 圣才学习网 版权所有
全国热线：400-900-8858（09:00-22:00），18001260133（09:00-22:00）
增值电信业务经营许可证 出版物经营许可证 网络文化经营许可证 广播电视节目制作经营许可证
