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
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: