Defendant Name: AstraZeneca PLC 

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

Document Reference: 34-78730

Document Details

Legal Case Name In the Matter of AstraZeneca PLC
Document Name 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
Document Date 30-Aug-2016
Document Format Administrative Proceeding
File Number 3-17517
AAER 3798
Allegation Type Foreign Corrupt Practices Act
Document Summary 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."

Disgorgement & Penalty Information

Resolutions
Cease and Desist Order
Cooperation Before the Resolution
Remedial Acts or Efforts Before the Resolution
Monetary Penalties:

Disgorgement

Individual:     $4,325,000.00 Shared:    

Civil Penalty

Individual:     $375,000.00 Shared:    

Pre-Judgment Interest

Individual:     $822,000.00 Shared:    

Related Documents:

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."