Does Your Corporate Compliance Program Reasonably Prevent Fraud? New UK Guidance Demands It
This article first discusses the legal backdrop of the UK’s new strict liability law and then summarizes what companies need to know about the new UK guidance, with particular emphasis on the areas where it expands on the ECCP.
January 13, 2025 at 10:45 AM
11 minute read
What You Need to Know
- The UK's failure to prevent fraud (FTPF) offense holds companies liable for frauds committed by their employees, agents, and other individuals who provide services on their behalf.
- Companies do not have to be based in the UK to face liability under the FTPF offense.
- In new guidance, the UK government detailed what it considers reasonable fraud prevention procedures.
By Jonathan B. New, Patrick T. Campbell and Jamie Reiner
In October 2023, the United Kingdom created a new strict liability crime as part of its ongoing effort to clamp down on corporate fraud. Modeled after the UK’s strict liability offenses for failure to prevent bribery and tax evasion, the failure to prevent fraud offense (FTPF offense) holds companies liable for frauds committed by their employees, agents, and other individuals who provide services on their behalf, even if the company did not authorize or know about the fraudulent conduct. Companies do not have to be based in the UK to face liability under the FTPF offense. The statute applies to conduct with a UK nexus or that causes harm in the UK, regardless of where the company is located.
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Michael G. Bongiorno, Andrew Scott Dulberg and Elizabeth E. Driscoll from Wilmer Cutler Pickering Hale and Dorr have stepped in to represent Symbotic Inc., an A.I.-enabled technology platform that focuses on increasing supply chain efficiency, and other defendants in a pending shareholder derivative lawsuit. The case, filed Oct. 2 in Massachusetts District Court by the Brown Law Firm on behalf of Stephen Austen, accuses certain officers and directors of misleading investors in regard to Symbotic's potential for margin growth by failing to disclose that the company was not equipped to timely deploy its systems or manage expenses through project delays. The case, assigned to U.S. District Judge Nathaniel M. Gorton, is 1:24-cv-12522, Austen v. Cohen et al.
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