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<p>The Serious Fraud Office (SFO) has brought enforcement actions against 11 corporate
defendants in the last ten years, as set out in the table below.</p><p>Before 2008,
all successful SFO prosecutions were of individuals. The following table shows the
fines and civil recovery orders (CROs) in SFO cases involving corporates since then.</p><p>
</p><table><tbody><tr><td colspan="2"> </td><td><p><em>Case</em></p></td><td colspan="2"><p><em>Penalty</em><sup>(<em>1</em>)</sup></p></td></tr><tr><td
colspan="2"><p>2008</p></td><td><p>Balfour Beatty plc</p></td><td colspan="2"><p>£2.25
million CRO</p></td></tr><tr><td colspan="2"><p>2008</p></td><td><p>Severn Trent Water
Ltd</p></td><td colspan="2"><p>£2 million fine</p></td></tr><tr><td colspan="2"><p>2009</p></td><td><p>AMEC
plc</p></td><td colspan="2"><p>£4.94 million CRO</p></td></tr><tr><td colspan="2"><p>2009</p></td><td><p>Mabey
and Johnson Ltd</p></td><td colspan="2"><p>£3.5 million fine</p></td></tr><tr><td
colspan="2"><p>2010</p></td><td><p>BAE Systems plc</p></td><td colspan="2"><p>£500,000
fine</p></td></tr><tr><td colspan="2"><p>2010</p></td><td><p>Innospec Ltd</p></td><td
colspan="2"><p>$12.7 million fine</p></td></tr><tr><td colspan="2"><p>2011</p></td><td><p>De
Puy International Ltd</p></td><td colspan="2"><p>£4.8 million CRO</p></td></tr><tr><td
colspan="2"><p>2011</p></td><td><p>MacMillan Publishers Ltd</p></td><td colspan="2"><p>£11.3
million CRO</p></td></tr><tr><td colspan="2"><p>2011</p></td><td><p>M W Kellogg Ltd</p></td><td
colspan="2"><p>£7 million CRO</p></td></tr><tr><td colspan="2"><p>2012</p></td><td><p>Mabey
Engineering (Holdings) Ltd</p></td><td colspan="2"><p>£131,000 CRO</p></td></tr><tr><td
colspan="2"><p>2012</p></td><td><p>Oxford Publishing Ltd</p></td><td colspan="2"><p>£1.9
million CRO</p></td></tr><tr><td colspan="3"><p><sup> (1)</sup> Figures are rounded</p></td></tr><tr><td>
</td><td> </td><td> </td><td> </td><td> </td></tr></tbody></table><p>The above proceedings
marked “CRO” were commenced in accordance with Chapter 2 of Part 5 of the Proceeds
of Crime Act 2002.</p><p>Severn Trent Water Ltd pleaded guilty to an offence under
the Water Industry Act 1991.</p><p>Mabey and Johnson Ltd pleaded guilty to offences
under the Criminal Law Act 1977, the Prevention of Corruption Act 1906 and United
Nations Act 1946.</p><p>BAE Systems plc pleaded guilty to an offence of failing to
maintain adequate accounting records under the Companies Act 1985.</p><p>Innospec
Ltd pleaded guilty to an offence under the Criminal Law Act 1977.</p><p>In 2006, the
SFO brought charges against five companies in relation to alleged price fixing of
pharmaceutical products. The five companies were Kent Pharmaceuticals, Norton Healthcare
Ltd, Generics (UK) Ltd, Ranbaxy (UK) Ltd, and Goldshield Group plc. In 2008, a judge
ordered the acquittal of all five companies.</p><p>If a company is to be prosecuted,
it is usually necessary cases to demonstrate that the controlling minds of a company
were knowing participants in the criminality being alleged. This can be difficult
to prove, especially in complex cases, and so most SFO prosecutions have been of individuals
rather than companies. Other outcomes are also possible. In 2010, BAE Systems plc
agreed to make a £29.5 million payment for the benefit of the people of Tanzania,
following a settlement with the SFO and the US Department of Justice. Last year, Oxford
University Press (owners of Oxford Publishing Ltd) unilaterally offered to contribute
£2,000,000 to not-for-profit organisations for teacher training and other educational
purposes in sub-Saharan Africa.</p><p> </p>
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