Defendant Name: AstraZeneca PLC 

Defendant Type: Public Company
SIC Code: 2834
CUSIP: 04635310

Initial Case Details

Legal Case Name In the Matter of AstraZeneca PLC
First Document Date 30-Aug-2016
Initial Filing Format Administrative Action
File Number 3-17517
Allegation Type Foreign Corrupt Practices Act
AAER 3798

Violations Alleged

Exchange Act
• Sec 13(b)(2)(A)
• Sec 13(b)(2)(B)

Resolutions

First Resolution Date 30-Aug-2016
Headline Total Penalty and Disgorgement $5,522,000

Related Documents:

34-78730 30-Aug-2016 Administrative Proceeding
Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order
On August 30, 2016, the SEC issued a settled administrative proceedings against AstraZenca PLC. According to the SEC: "these proceedings arise out of violations of the internal controls and recordkeeping provisions of the Foreign Corrupt Practices Act (the 'FCPA') by AZN and its wholly-owned subsidiaries in China and Russia."
34-78730-s 30-Aug-2016 Administrative Summary
AstraZeneca Charged with FCPA Violations
On August 30, 2016, the SEC announced that AstraZeneca PLC "has agreed to pay more than $5 million to settle charges that it violated the books and records and internal controls provisions of the Foreign Corrupt Practices Act (FCPA) as a result of its wholly-owned subsidiaries in China and Russia making improper payments to foreign officials."