Πέμπτη, 20 Δεκεμβρίου 2012

Γερμανική εταιρεία πιάστηκε για λάδωμα....

Μα είναι δυνατόν; Λάθος θα έγινε…

Οι αμερικανικές αρχές έβαλαν πρόστιμα στη γερμανική Ασφαλιστική Allianz επειδή την έπιασε να ..λαδώνει!

Το πρόστιμο είναι ύψους $12,3 εκατ., με τη γερμανική εταιρία να μην το αρνείται. 

Έρευνα της Επιτροπής Κεφαλαιαγοράς των ΗΠΑ απεκάλυψε ότι η θυγατρική της Allianz στην Ινδονήσια κατέβαλλε πάνω από $650.000 σε αξιωματούχος με στόχο να κερδίσει 295 ασφαλιστικές συμβάσεις για σχέδια της κυβέρνησης.


I.
The Securities and Exchange Commission (“Commission”) deems it appropriate that cease-and-desist proceedings be, and hereby are, instituted pursuant to Section 21C of the Securities Exchange Act of 1934 (“Exchange Act”), against Allianz SE (“Allianz” or “Respondent”).

Summary
1. These proceedings arise out of violations of the books and records and internal controls provisions of the Foreign Corrupt Practices Act (“FCPA”) by Allianz SE (“Allianz” or the “Company”), through its Indonesian majority-owned subsidiary, PT Asuransi Allianz Utama (“Utama”). Between 2001 and 2008, Utama managers made improper payments to employees of state-owned entities in Indonesia in order to obtain and retain business. Allianz learned of the improper payments from two complaints made several years apart. The first complaint was submitted in 2005 alleging significant misconduct, including unsupported payments to agents. A subsequent audit of Utama’s accounting records uncovered that managers at Utama were using “special purpose accounts” to make illicit payments, many to government officials, in order to secure business in Indonesia. Despite the audit, the conduct continued. The second complaint was lodged in 2009 to Allianz’s external auditors and alleged that Allianz created illicit off-the-books accounts. In response, Allianz began an internal investigation. The Commission staff opened an investigation in April 2010 after receiving an anonymous complaint of possible FCPA violations. The investigation determined that from at least 2001 through December 2008, the Utama managers, with the assistance of others in the Indonesian office, made payments to employees of state-owned entities in Indonesia to procure or retain insurance contracts related to large government projects in Indonesia. As a result of improper payments of approximately $650,626 to agents and employees of state-owned entities and others, Allianz realized $5,315,649 in profits.
2. The payments were improperly recorded as legitimate transaction costs, thereby causing Allianz’s books and records to be inaccurate. Allianz failed to devise and maintain a system of internal controls sufficient to provide reasonable assurances to detect and prevent such payments......
Accordingly, it is hereby ORDERED that:
A. Pursuant to Section 21C of the Exchange Act, Respondent Allianz cease and desist from committing or causing any violations and any future violations of Sections 13(b)(2)(A) and 13(b)(2)(B) of the Exchange Act;
B. Respondent shall, within 30 days of the entry of this Order, pay to the United States Treasury disgorgement of $5,315,649, prejudgment interest of $1,765,125 and a civil money penalty of $5,315,649. If timely payment of disgorgement and prejudgment interest is not made, additional interest shall accrue pursuant to SEC Rule of Practice 600. If payment of a civil penalty is not timely made, additional interest shall accrue pursuant to 31 U.S.C. § 3717. Payment must be made in one of the following ways:
(1) Respondent may transmit payment electronically to the Commission, which will provide detailed ACH transfer/Fedwire instructions upon request;5
(2) Respondent may make direct payment from a bank account via Pay.gov through the SEC website at http://www.sec.gov/about/offices/ofm.htm; or
(3) Respondent may pay by certified check, bank cashier’s check, or United States postal money order, made payable to the Securities and Exchange Commission and hand-delivered or mailed to:....

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