United States: ジョーンズ・デイ・コメンタリー:メキシコが新たな腐敗行為防止法を

メキシコ大統領のEnrique Peǹa Nietoは2016年7月18日、自らが「単に腐敗行為と戦うだけにとどまらず、この制度の重要性を高めることに注力する。」と宣言し、メキシコにおける新たな全国腐敗行為防止制度に関する法律を承認しました。新たな全国腐敗行為防止制度の目的は、腐敗行為防止の執行に関わる連邦、州及び市レベルでメキシコのあらゆる政府組織が行う取り組みを連携させることにあります。これらの法律は、公務員だけでなく、企業、その取締役、役員及び従業員を含む民間人に対しても適用されます。

これらの新たな措置は、現行法の改正だけではなく新たな法律の制定を伴うものであり、メキシコ史上において最も広範に渡る腐敗行為防止の執行制度を導入するものです。また、これらの措置は、2015年5月27日に行われたメキシコ憲法の改正に由来するものであり、今月のメキシコ官報(Mexico's Federal Official Gazette)において公表されました。新たに制定された法律は、以下のものを含みます。

  • 「全国腐敗行為防止制度に関する一般法」(The General Law of the National Anti-Corruption System)
  • 「行政責任に関する一般法」(The General Law on Administrative Accountability)
  • 「行政司法連邦裁判所に関する基本法」(The Organic Law of the Administrative Justice Federal Court)
  • 「連邦会計及び責任に関する法」(The Federal Accounting and Accountability Law)

また、全国腐敗行為防止制度に基づき改正された現行法は、「連邦刑法」(Federal Criminal Code)、「連邦行政に関する基本法」(Organic Law of the Federal Public Administration)、「租税調整法」(Tax Coordination Law)、「一般政府会計法」(General Government Accounting Law)、「検事総長事務局に関する基本法」(Organic Law of the Attorney-General's Office)を含みます。

これらの新たな措置によって制定された注目すべき規定には、以下のものが含まれます。

改正連邦刑法(Amended Federal Criminal Code)

「連邦刑法」の改正によって、公務員及び民間人に対する新たな腐敗行為の犯罪及び罰則が規定されます。例えば、民間人は、新たな類型の利益誘導(すなわち、公共事業に関して不適切に公務員に影響力を及ぼす行為)を行った場合、刑事訴追の対象となります。また、改正法のもとでは、民間人は、公務員や第三者に利益を供与する見返りに、①許可なく公共事業に参加する、②公務に関して決定権を有する公務員に対し影響力を有している旨を主張する、③公務に関する不正な決定を助長することによって、刑事訴追を受ける可能性があります。これらの規定に違反したことに関して見込まれる罰則は、最大6年間の懲役及び違反者が100日間で得られるであろう収入と同額の罰金を含みます。加えて、公的機関との契約、許可又は免許を有し、かかる契約、許可又は免許に関し、自ら又は第三者に利益を供与するため、虚偽又は偽の情報を用いた民間人は、最大9年間の懲役及び違反者の100日間の収入と同額の罰金が科され得ます。

行政責任に関する一般法(General Law on Administrative Accountability)

2017年、「行政責任に関する一般法」が、二つの現行法、すなわち「公的調達に関する連邦腐敗行為防止法」(Federal Anti-Corruption Law on Public Procurement)及び「公務員の行政責任に関する連邦法」(Federal law of Administrative Accountability of Public Officials)に取って代わります。「行政責任に関する一般法」に基づき、企業は、以下の場合において、行政上の責任を負います。

  • (「賄賂」についての広義の定義に基づき)公務員に賄賂を贈る場合
  • 過去の不適切な行為によって連邦、州及び市レベルの行政上の手続への参加を禁止された後に、かかる手続に参加する場合
  • 利益を得るため、又は人若しくは公務員に損害を与えるために、公務員に対し、その影響力又は経済的若しくは政治的な力を用い、あるいは、用いようとする場合
  • 許可、便益若しくは利益を得るため、又は人に損害を与えるために、行政上の手続きにおいて虚偽の情報を用いる場合
  • 連邦、州又は市の公的調達において便益又は利益を得るため、他の民間人と共同で対応策を取る場合
  • 公的資産(物的、人的、財産的リソース)を着服する場合
  • ・直接的に市場利益又は競争優位をもたらす、公務員又は元公務員(前の年まで役職に就いており、その職務に関して得られた部外秘の情報を保有している者)を雇用する場合

会社の利益を得るために、会社に代わって個人がこれらの行為を行った場合、会社も処罰を受ける可能性があります。

「行政責任に関する一般法」の違反に対する罰則は、得られた便益の最大2倍までの罰金、参加資格の停止、行為の差し止め、会社の清算及び会社が政府機関へ補償することの要請を含みます。

「行政責任に関する一般法」のもとでは、会社は、関係当局により、会社が適切な「インテグリティー・ポリシー」(すなわち、適切な腐敗行為防止及びコンプライアンスについてのポリシー)を備えていたと判断された場合、責任を免れる可能性があります。また、この法律は、かかるポリシーを実施しようとする会社に対し、以下の内容を含むガイドラインを提示しています。

  • 会社は、明確かつ完全であり、会社の各部門の役割及び責任を含み、社内の命令や指揮系統を明確に記載した、組織や手続に関するマニュアルを採用すること。
  • 会社は、会社のポリシーやメキシコ法に反した行動を取る従業員に対する懲戒手続のみならず、所轄官庁に対する適切な報告を可能にする、適切な内部通報や報告に関する制度を設けること。

行政司法連邦裁判所に関する基本法(Organic Law of the Administrative Justice Federal Court)

新たな「行政司法連邦裁判所に関する基本法」の成立により、「租税及び行政司法連邦裁判所に関する基本法」(Organic Law of the Tax and Administrative Justice Federal Court)は廃止されました。この法律は、新たな全国腐敗行為防止制度のもとでの重大な行政上の違反について、行政司法連邦裁判所が公務員及び民間人を処罰する権限を有することを定めています。しかしながら、この裁判所が民間人を処罰する権限は、他の政府機関が会社や個人に処罰を課す権限を阻害するものではありません。

改正連邦会計及び責任に関する法(Amended Federal Accounting and Accountability Law)

「連邦会計及び責任に関する法」のもとでは、会社は、腐敗行為防止に関する調査において、連邦高等監査官(Federal Superior Auditor)に協力しなかった場合、責任を負わされる可能性があります。罰則は、税額査定の形による「Measure and Update Unit」(現時点では約40,577米ドル)という指数の最大1万倍までの額の制裁金を含みますが、違反が繰り返される場合には増額される可能性があります。これらの処罰は、刑事責任及び民事責任とは無関係になされます。

発効日

2017年7月に施行される「行政責任に関する一般法」及び腐敗行為防止に関する執行を担当する検察当局の新たなトップの任命に際して施行される「連邦刑法」及び「検事総長事務局に関する基本法」を除き、新たに公表された上記の新法や改正法は2016年7月19日に施行されました。

ジョーンズ・デイは、この新たな全国腐敗行為防止制度の実施や関連事象の観察を継続し、重要な展開についてのアップデートをさらに提供していく予定です。

上記は、メキシコで事業を行う又は将来メキシコで事業を行うことを計画している企業にとって重要な情報ですので、紹介する次第です。

英語版は、Jones Day Commentary " Mexico Enacts New Anti-Corruption Laws"(オリジナル(英語)版)をご参照ください。

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