Eric Carlson

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Eric Carlson

Partner

Shanghai +86 21 6036 2503 ecarlson@cov.com Download V-card

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Eric Carlson advises clients operating in China and other jurisdictions in Asia on a range of anti-corruption laws, including the Foreign Corrupt Practices Act (FCPA). Having lived in China for more than a decade, he has deep experience leading highly sensitive anti-corruption/FCPA investigations in China and other jurisdictions in Asia, including investigations presenting complex legal, political, and reputational risks.

He also counsels clients on the corruption risks of proposed transactions, conducts anti-corruption due diligence as part of mergers, acquisitions, and joint ventures, assists companies in updating and strengthening their internal anti-corruption compliance programs and tailoring them to the unique features of Asian markets, and developing and presenting tailored compliance training in Chinese and English. He has advised scores of companies and organizations representing nearly every major industry. He speaks Mandarin and Cantonese and has led more than four hundred witness interviews in Chinese in 22 provinces in China, and conducted dozens of trainings in Chinese. Chambers notes Mr. Carlson as having “much more than just a conversational grasp of the language, but the ability to conduct interviews on specific subject matter details and get to the root of the issues." Chambers further notes that "his language skills are very impressive."

He also counsels clients on U.S. export controls and economic sanctions applied by the U.S. Departments of Commerce, State, and Treasury, and related Chinese trade control and encryption regulations, including conducting internal investigations into potential violations of these laws.

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Led internal investigation on behalf of a global company after its employee was interviewed by prosecutors in northern China.
Served as independent compliance monitor of an Asia-based multinational company related to its settlement with the U.S. Securities and Exchange Commission.
Led internal investigation on behalf of a consumer products company after media reports alleged product safety problems.
Led internal investigation on behalf of a global technology company into allegations of improper payments to officials at state-owned entities, accepting kickbacks from vendors, and embezzlement.
Conducted multiple internal investigations into potential violations of U.S. export control laws at Chinese affiliates of multinational companies.

Led investigation on behalf of a global financial institution into allegations of connected hiring in China.
Led internal investigation into allegations of improper payments by a distributor in Indonesia.
Led internal investigation into allegations of improper payments made to customs officials in Vietnam.
Led internal investigation on behalf of a U.S. pharmaceutical company into allegations that academic meetings in China were faked to pay kickbacks to healthcare providers.
Led risk assessment of a global transportation company’s manufacturing facilities in India.
Provide ongoing counseling related to China-related corruption risks to more than 80 companies.
Selected China-Related Anti-Corruption/FCPA Representations.

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Assisting a US businessman detained by Chinese enforcement authorities.
Assisting The Nature Conservancy with various regulatory compliance issues.
Representing a humanitarian organization with various registration and regulatory issues.

China takes on bribery and corruption

Eric Carlson is quoted in Commercial Dispute Resolution regarding China’s actions to take on bribery and corruption. Mr. Carlson says that alongside targeting corrupt government officials, China is increasingly targeting the bribe-givers as well. Additionally, he says that while agencies such as the NSC do not have enforcement jurisdiction over private companies ...

DOJ’s Updated Guidance for Evaluation of Corporate Compliance Programs

On April 30, 2019, the U.S. Department of Justice (“DOJ”) Criminal Division released an updated version of the Evaluation of Corporate Compliance Programs (the “Guidance”), which serves as a reference for prosecutors in assessing corporate compliance programs in the context of DOJ investigations.

DOJ Revises FCPA Corporate Enforcement Policy (bilingual Chinese-English)

In March 2019, the U.S. Department of Justice introduced several changes to the Foreign Corrupt Practices Act (“FCPA”) Corporate Enforcement Policy (“the Policy”). The Policy, originally incorporated into the Justice Manual in November 2017, outlines the Department’s position on mitigation credit that companies may receive for voluntary self-disclosure, full ...

DOJ Revises FCPA Corporate Enforcement Policy

2018 Year in Review: Top Anti-Corruption Enforcement Trends and Developments Bilingual

It was business as usual for FCPA enforcement in 2018. The U.S. Department of Justice (“DOJ”) and the U.S. Securities and Exchange Commission (“SEC”) collected a total of $1 billion from seventeen corporate defendants, including through their share of two high-value, multi-jurisdictional enforcement actions. DOJ also announced thirteen new FCPA prosecutions ...

2018 Year in Review: Top Anti-Corruption Enforcement Trends and Developments

Transparency International Releases 2018 Corruption Perceptions Index

On January 29, 2019, Transparency International (“TI”) released its 2018 Corruption Perceptions Index (“CPI”), which ranks countries and territories by their perceived levels of public-sector corruption. The latest CPI figures show that, despite continuous domestics anti-corruption enforcement, China went down in both score and ranking, with a score of 39 out ...

China Amends Criminal Procedure Law, Creating More Anti-Bribery Prosecution Tools

China recently amended its Criminal Procedure Law (CPL) to codify rules encouraging cooperation in government investigations, align with the new national supervision system, and introduce trials in absentia for certain crimes, including bribery and corruption.

Are Chinese Companies Being Targeted for Anti-Corruption Enforcement?

Last week, the U.S. Department of Justice announced a new “China Initiative.” According to the press release, the Initiative “reflects the Department’s strategic priority of countering Chinese national security threats and reinforces the President’s overall national security strategy.”

United States Ends Participation in Iran Nuclear Deal, Re-Imposes Sanctions Against Iran

On May 8, 2018, President Trump announced his decision to end U.S. participation in the Joint Comprehensive Plan of Action (“JCPOA”) and re-impose sanctions against Iran that had been suspended as part of this 2015 nuclear agreement between the United States, Iran, and certain other governments. This action will have far-reaching effects for both U.S. and ...

Dun & Bradstreet Pays $9 Million SEC Fine to Settle China FCPA Allegations Obtains; Declination from DOJ

On April 23, 2018, Dun & Bradstreet Corporation (“D&B”), a professional services company providing credit reporting information and other commercial data to businesses, agreed to pay more than $9 million in connection with a cease and desist order with the U.S. Securities and Exchange Commission (“SEC”) to settle allegations that it violated the books and ...

China: Government Reorganization and Trade War Suggest More Anti-Corruption Enforcement in China

China’s biggest government reorganization in a generation, coinciding with rapidly escalating U.S.-China trade tensions, will impact many aspects of doing business in China, including an uptick in anti-corruption enforcement.

Global Investigations Review and WWL Recognize Covington’s White Collar Practice

WASHINGTON—Global Investigations Review and Who’s Who Legal: Investigations have recognized Covington’s White Collar Defense and Investigations Practice Group in its 2018 report. The publication named Covington partners Tammy Albarrán and Steven Fagell to the inaugural Future Leaders issue, a ranking of “the most eminent lawyers in the field under 45,” and ...

US DOJ Unseals Criminal Charges Against Hong Kong National and Former Foreign Minister of Senegal China Investigates Chairman of Sponsoring Organization

On November 20, 2017, the U.S. Department of Justice (“DOJ”) unsealed a criminal complaint against Chi Ping Patrick Ho, the head of a non-governmental organization (“Energy NGO”), which holds “Special Consultative Status” with the United Nations (“UN”) and is funded by a Chinese oil and gas conglomerate, CEFC China Energy Company Limited (“CEFC”) , and Cheikh ...

Transparency International Releases 2017 Corruption Perceptions Index

On February 21, 2018, Transparency International (“TI”) released its 2017 Corruption Perceptions Index (“CPI”), which ranks countries and territories by their perceived levels of public-sector corruption. The latest CPI figures show that China slightly improved in both score and ranking, with a score of 41 out of 100 (where 0 represents most corrupt and 100 ...

Trends and Developments in Anti-Corruption Enforcement

Our message this year is simple: FCPA enforcement is here to stay. Despite pre-election statements to the contrary, various senior officials in the U.S. Department of Justice (“DOJ”) and U.S. Securities and Exchange Commission (“SEC”) have, over the past year, consistently reaffirmed DOJ’s and the SEC’s commitment to FCPA enforcement.

DOJ Announces Revised FCPA Corporate Enforcement Policy

During his keynote speech at the 34th International Conference on the Foreign Corrupt Practices Act (“FCPA”), U.S. Deputy Attorney General Rod J. Rosenstein announced a new FCPA Corporate Enforcement Policy (the “Policy”), which is now incorporated in the United States Attorneys’ Manual (“USAM”).

DOJ Announces Revised FCPA Corporate Enforcement Policy Bilingual

US DOJ Unseals Criminal Charges Against Rolls Royce Employees

On November 7, 2017, the U.S. Department of Justice (“DOJ”) unsealed criminal charges against five individuals in connection with an alleged bribery scheme to assist Rolls-Royce plc (“Rolls-Royce” or the “Company”) in obtaining a US $145 million government contract to supply equipment and services for a gas pipeline from Kazakhstan to China.

Covington Named International Firm of the Year for Trade by China Law & Practice

BEIJING—China Law & Practice has named Covington as the international winner for “Trade Firm of the Year” at its annual awards ceremony in Beijing. The leading Chinese legal publication also recognized the firm for its role in the Technology, Media, and Telecom “Deal of the Year,” Tencent’s $8.6 billion acquisition of Supercell. The awards focus on “innovation ...

Macau Billionaire Convicted of Bribing U.N. Officials

On July 27, 2017, a Manhattan federal jury convicted Macau billionaire Ng Lap Seng of bribing Caribbean diplomats to the United Nations (“UN”) to secure the organization’s support for a multi-billion dollar convention center that Ng hoped to build in Macau. After a five-week trial, the jury took just seven hours to return a guilty verdict on all six charges: ...

China Releases Draft Export Control Law for Public Comment

On June 16, 2017, China’s Ministry of Commerce (MOFCOM) released for public comment a draft of the Export Control Law (“the Draft Law”). While China has a number of regulations relating to export controls and has signed numerous nonproliferation agreements, the Draft Law would be China’s first law specifically addressing export controls and would implement an ...

The Supreme Court Limits the SEC's Disgorgement Power

On Monday, in Kokesh v. SEC,1 the Supreme Court handed a major loss to the Securities and Exchange Commission, unanimously holding that SEC claims for disgorgement of ill-gotten gains are subject to a five-year statute of limitations. For decades, the SEC had taken the position that its disgorgement claims could reach back indefinitely, and recently obtained a ...

CFDA Releases Groundbreaking Drug and Device Policies for Public Comment

On May 11 and 12, 2017, the China Food and Drug Administration (“CFDA”) published drafts of four proposed policies in the form of circulars (or notices) for public comment. These “Proposed Policies” include significant reforms in the areas of the new drug and device approval process (“Circular 52”), clinical trial regulation (“Circular 53”), life-cycle ...

China Releases Draft Encryption Law for Public Comment

On April 13, 2017, China’s State Cryptography Administration (“SCA”) published a draft Encryption Law (“the draft Law”) for public comment. After several years of drafting, the draft Law, if enacted as drafted, would be the first Chinese statute to systematically address encryption, covering “the research, production, management, import and export, testing, ...

US Department of Justice Fraud Section Guidance Highlights Factors Considered in Evaluating Corporate Compliance Programs

The Fraud Section of the U.S. Department of Justice (“DOJ”) quietly released new guidance last month entitled “Evaluation of Corporate Compliance Programs” (the “Guidance”). While noting that “the Fraud Section does not use any rigid formula to assess the effectiveness of corporate compliance programs,” the eight-page Guidance outlines 11 “Sample Topics and ...

China to slash drug distribution groups in price drive

Eric Carlson is quoted in a Financial Times article regarding an initiative by the Chinese Government to reduce marked-up prices and corruption in multi-tier distribution chains of pharmaceuticals, known as the “two invoice reform.” According to Carlson, the crackdown on small distributors would accelerate sector consolidation, “centralising distribution in a ...

Trends and Developments in Anti-Corruption Enforcement

Anti-corruption enforcement is at a crossroads. In many respects, global anti-corruption enforcement has never been more active. The U.S. Department of Justice (“DOJ”) and the U.S. Securities and Exchange Commission (“SEC”) in 2016 collected a total of $2.41 billion through FCPA enforcement actions against 27 corporate defendants, including through their share ...

Chinese Government Issues Policy to Slim Distribution Chain of Pharmaceuticals

On January 9, 2017, eight Chinese ministries announced a significant new policy that aims to reduce marked-up prices and corruption in multi-tier distribution chains. The policy effectively requires that under most circumstances, at most two invoices may be issued throughout the distribution chain, with one from the manufacturer to a distributor and another from ...

General Cable Corporation Pays $75.8 Million to Resolve FCPA Investigations

On December 29, 2016, General Cable Corporation (“GCC”), a global manufacturer of wire and cable products, agreed to pay approximately $75.8 million in connection with a non-prosecution agreement with the Department of Justice (“DOJ”) and a cease and desist order with the U.S. Securities and Exchange Commission (“SEC”) to settle allegations that it violated the ...

China Passes New Cybersecurity Law

On November 7, the Standing Committee of China’s National People’s Congress (“NPC”) passed China’s first Cybersecurity Law (the “Law”), which will take effect starting June 1, 2017. Described as China’s “fundamental law” in the area of cybersecurity, the new Law articulates the government’s priorities with respect to “cyberspace sovereignty,” consolidates ...

NCH and HMT Avoid FCPA Prosecution for China Issues

On September 29, 2016, the U.S. Department of Justice (“DOJ”) issued letters of declination to NCH Corporation (“NCH”) and HMT LLC (“HMT”). Both companies are Texas-based “domestic concerns.” The letter to NCH, an industrial supply and maintenance company, relates to an investigation into possible violations of the anti-bribery provisions of the U.S. Foreign ...

Managing Data Privacy Challenges in Performing Due Diligence and Internal Investigations in China (Part Two of Two)

Eric Carlson is quoted in an FCPA Report article regarding China’s data privacy and cybersecurity laws and how they apply to companies doing business in China. Commenting on performing due diligence while avoiding data privacy issues, Carlson says, “For due diligence purposes, it is still safe and appropriate to gather corporate information such as whether a ...

Covington Named China Law & Practice “Regulatory & Compliance Firm of the Year”

SHANGHAI—China Law & Practice has named Covington as “Regulatory & Compliance Firm of the Year” at its annual award ceremony. The leading Chinese legal publication also recognized Shanghai partner Eric Carlson as “Regulatory & Compliance Lawyer of the Year” and the firm for its role in the “Outbound Deal of the Year,” China National Tire & Rubber’s $7.8 billion ...

Former China Head of Harris Corporation Pays $46,000 to Settle SEC's FCPA Allegations

On September 13, 2016, Jun Ping Zhang (“Zhang”), former head of Harris Corporation’s (“Harris”) subsidiary in China, agreed to pay $46,000 to settle allegations by the U.S. Securities and Exchange Commission (“SEC”) that Zhang knowingly authorized and facilitated bribes to Chinese government officials at state-owned hospitals and local health departments and ...

China Releases Draft Implementing Regulations for Consumer Rights Protection Law

China’s State Administration of Industry and Commerce (“SAIC”) has released for public comment a draft regulation implementing recent amendments to a consumer protection law that would, among other things, supplement existing privacy obligations for businesses operating in China. The “Regulations on the Implementation of the Law on the Protection of the Rights ...

Johnson Controls, Inc. Pays $14.4 Million to Settle SEC FCPA Allegations; DOJ Declines Criminal Prosecution

On July 11, 2016, Johnson Controls, Inc. (“JCI”) agreed to pay $14.4 million to settle allegations by the U.S. Securities and Exchange Commission that JCI, through its subsidiaries in China, violated the books and records and internal controls provisions of the U.S. Foreign Corrupt Practices Act. The SEC alleged that, from 2007 to 2013, nearly all of the ...

China Release Second Draft Of Cybersecurity Law

On July 5, 2016, China’s National People’s Congress (“NPC”) released a new draft of the Cybersecurity Law for public comment (official Chinese version available here; unofficial translation from AmCham China available here). The revised draft contains a number of significant changes from the first draft, which was released in July 2015, but retains many of the ...

China Issues New Rules for Mobile Apps

The Cyberspace Administration of China (“CAC”) has issued new rules regulating apps for smartphone/mobile devices, the Rules on the Management of Mobile App Information Services (“App Rules,” available here, preceded by a Q&A section, all in Chinese), that will come into effect on August 1, 2016. The App Rules are aimed primarily at regulating the rapidly...… ...

Akamai Settles FCPA Investigation Into Payments to Employees of State-Owned Entities in China

On June 7, 2016, the Securities and Exchange Commission (“SEC”) announced a non-prosecution agreement (“NPA”) with Akamai, Inc., an internet cloud services company, in connection with an investigation of possible violations of the books and records and internal accounting controls provisions of the US Foreign Corrupt Practices Act (“FCPA”) based on payments by ...

Nortek Settles FCPA Investigation Over Payments to Chinese Government Officials

On June 7, 2016, the Securities and Exchange Commission (“SEC”) announced a non-prosecution agreement (“NPA”) with Nortek, Inc., a manufacturer of construction and remodeling products, in connection with an investigation into possible violations of the books and records and internal accounting controls provisions of the US Foreign Corrupt Practices Act (“FCPA”) ...

China Formulating Standards for Personal Information Security and Data Protection

This month, China’s National Information Security Standardization Technical Committee (“NISSTC”) organized a meeting to launch a working group tasked with drafting a Personal Information Security Standard (“PIS Standard”). NISSTC is a government committee jointly supervised by the Standardization Administration of China and the Cyberspace Administration of ...

The New FCPA Pilot Program: What Will It Mean In Practice

On April 5, 2016, the United States Department of Justice (“DOJ”), through the Criminal Division’s Fraud Section, announced a one-year Foreign Corrupt Practices Act (“FCPA”) enforcement pilot program (the “Pilot Program”) intended to motivate companies to voluntarily disclose FCPA-related misconduct and increase transparency around the Fraud Section’s approach ...

China Releases Judicial Interpretation Clarifying Application of Law to Criminal Bribery Cases

On April 18, 2016, the Chinese government released a judicial interpretation that clarifies certain aspects of the PRC Criminal Law with regard to bribery and corruption. The Interpretation provides additional clarity in understanding the amendments to the Criminal Law that took effect last year, most notably by (1) expanding the definition of bribes to include ...

Las Vegas Sands Pays $9 Million to Settle FCPA Allegations Relating to Over $62 Million in Payments Made to Chinese Consultant

On April 7, 2016, Las Vegas Sands Corp. (“LVSC”) agreed to pay $9 million to settle allegations by the Securities and Exchange Commission (“SEC”) that LVSC, through its subsidiaries in China and Macao, violated the US Foreign Corrupt Practices Act (“FCPA”). The settlement resolves allegations that, from 2006 through at least 2011, LVSC and its subsidiaries ...

Novartis Pays $25 Million to Settle Allegations of FCPA Violations in China

On March 23, 2016, Novartis AG (“Novartis”) agreed to pay $25 million to settle civil charges with the Securities and Exchange Commission (“SEC”) alleging that it violated the Foreign Corrupt Practices Act (the “FCPA”) by paying bribes to healthcare professionals (“HCPs”) in China from 2009 to 2013 to increase sales. Employees and managers of its two ...

Qualcomm Pays $7.5 Million to Settle Allegations of FCPA Violations in China

On March 1, 2016, the Securities and Exchange Commission announced an agreement with Qualcomm Incorporated to settle charges that it violated the Foreign Corrupt Practices Act by hiring relatives of Chinese government officials to gain business advantages in the Chinese telecommunications market. The SEC also alleged that Qualcomm provided gifts, travels, and ...

China Enacts New Counter-Terrorism Law

On December 27, 2015, the Standing Committee of the National People’s Congress (NPC), China’s top legislative body, enacted a Counter-Terrorism Law (see the Chinese version here, and an unofficial English translation here), which took effect on January 1, 2016. The adoption of this law, a year after the first draft was released for public comment,...… Continue ...

China Amends Criminal Law Related to Data Privacy and Cybersecurity

On August 29, 2015, China’s legislature, the National People’s Congress, amended the Criminal Law, effective November 1, 2015. Among other things, the amendments modify and add several provisions related to data privacy and cybersecurity. We discuss some of these key amendments below. Expanded criminal sanctions for illegal sale or provision of personal ...

China Releases Draft of New Network Security Law: Implications for Data Privacy & Security

On July 6, 2015, China’s National People’s Congress (NPC) released a draft of the Network Security Law (“Draft Law,” referred to in some press articles as the draft Cybersecurity Law) for public comment. Comments can be submitted through the NPC website or by mail before August 5, 2015. The release of the Draft Law follows...… Continue Reading

Draft Regulations in China Preview Stricter Rules on Internet Advertising

On July 1, 2015, China’s State Administration for Industry and Commerce published a draft of the Interim Measures on Supervision of Internet Advertising (“Draft Internet Advertising Measures”; original Chinese here) for public comment. If adopted as drafted, the Draft Internet Advertising Measures would (1) require advertisements in email and instant messaging ...

China Clarifies Requirements for Marketing via SMS

New clarifying provisions in China regulating how marketing can be done via short message service (“SMS”) will come into effect on June 30, 2015. On May 28, 2015, the Ministry of Industry and Information Technology (“MIIT”) published measures to implement various high-level provisions related to SMS marketing in several different laws, such as the Decision...… ...

China’s Internet Gatekeeper Announces Legislation to Enhance Personal Information Protection

China’s principal internet regulator, the Cyberspace Administration of China (“CAC”), announced this week that China will move forward new legislation to combat the improper collection, use, and sale of personal information. The new legislation, announced during an interview of a senior CAC official by state-owned Xinhua News, is reportedly being drafted by CAC, ...

China Clarifies Requirements for Companies Regarding Consumers’ Personal Information

New consumer protection provisions that clarify how companies may collect, use, and protect personal information of consumers will come into effect in China on March 15, 2015. On January 5, 2015, China’s State Administration of Industry and Commerce (“SAIC”) issued measures to implement China’s Consumer Rights Protection Law (“CRPL”), which was amended effective ...

Covington Named Compliance / Regulatory Firm of the Year 2014 by Asian-MENA Counsel

Shanghai, November 13, 2014 — Covington & Burling has been named “Compliance / Regulatory Firm of the Year” by Asian-MENA Counsel magazine. Asian-MENA Counsel bases the award on a survey sent to over 21,000 in-house counsel and company directors across Asia Pacific and the Middle East. Covington partner Eric Carlson, who leads the firm’s compliance practice ...

Albarrán and Carlson Named to Global Investigations Review’s “40 Under 40”

BEIJING, April 2, 2014 — Global Investigations Review magazine has named Covington & Burling partners Tammy Albarrán and Eric Carlson to its inaugural list of 40 leading investigations lawyers under the age of 40. The list recognizes the “next generation that will lead the global investigations bar.” Ms. Albarrán, 39, is based in Covington’s San Francisco ...

Covington Promotes 15 Lawyers to Partnership

WASHINGTON, DC, October 1, 2012 — Covington & Burling is pleased to announce that it has elected 15 new lawyers to its partnership. This group is comprised of diverse and talented individuals from five offices who have made their mark at the firm through exceptional work and the highest standards of client service. “We’re delighted to welcome these 15 lawyers to ...

Covington Receives 46 Lawyer, 20 Practice Accolades in Chambers Global

LONDON, 19 March, 2012 — Covington & Burling LLP received 46 individual mentions and 20 practice mentions in the Chambers Global 2012 edition. The guidebook, which ranks lawyers globally by pan-regional and country practice area, is designed to identify the most skilled legal practitioners based on the qualities most valued by clients. The Covington lawyers ...

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Chambers Global, China, Corporate Investigations/Anti-Corruption (International Firms) and International Trade
Chambers Asia-Pacific, China, Corporate Investigations/Anti-Corruption (International Firms)
Chambers Asia-Pacific, China - International Trade
Global Investigations Review and Who’s Who Legal: Investigations recognized Mr. Carlson in 2018 among the "leading lawyers worldwide in the field of investigations."
China Law & Practice, "Regulatory & Compliance Lawyer of the Year" (2016)
China Law & Practice, “Regulatory & Compliance Firm of the Year” (2016)
Who’s Who Legal: Thought Leaders – GIR 2019 (Investigations)
The International Who's Who of Investigations Lawyers & Forensic Experts

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