Navigating Investigations Overseas: Resources, Procedures, and Best Practices. Liseli Pennings Association of Certified Fraud Examiners, Inc.

Transcription

1 Navigating Investigations Overseas: Resources, Procedures, and Best Practices Liseli Pennings 2015 Association of Certified Fraud Examiners, Inc.

2 NAVIGATING INVESTIGATIONS OVERSEAS A GUIDE TO RESOURCES, PROCEDURES, AND BEST PRACTICES LISELI PENNINGS

3 The Mission of U.S. Embassies Promote Diplomacy Protect U.S. Interests Assist U.S. Citizens Overseas

4 Key Embassy Personnel Ambassador Deputy Chief of Mission Economic Section Political Section Regional Security Officer Other Law Enforcement Agencies Other Non-Law Enforcement Agencies

5 U.S. Ambassador Promotes Diplomacy Internal Embassy Cohesion Approves/Denies Official Visits to Country External Voice of U.S. in Host Country Responsible for all Official Personnel assigned to the U.S. Embassy

6 Deputy Chief of Mission (DCM) Overseas day-to-day operations Manages Consulate and Embassy mission and personnel Engages in host nation liaison

7 Mission of U.S. Consulates Assist Americans Overseas Protect U.S. Border Passport and Visa Issuance Process Passport and Visa Issuance Emergency Passport and Visa Replacement Americans Incarcerated Wellness Check Missing Americans Where-about Check Work with Police and RSO to Locate

8 Mission of U.S. Consulate Inform Americans of Security Situations Travel Advisories Travel Warnings World Wide Cautions Warden Systems Assist Americans in emergency situations Natural disasters Wars Assist with Evacuating Americans

9 Regional Security Officer (RSO) Law Enforcement Attaché Liaison between all U.S. law enforcement and host nation law enforcement Security and Law Enforcement Advisor to Ambassador Overseas security for all Diplomatic Missions and Personnel Manages physical, procedural security Protects U.S. Interests and businesses overseas Leads internal Embassy investigations

10 Other Law Enforcement Agencies Overseas Federal Bureau of Investigation (FBI) Legal Attaché Drug Enforcement Agency (DEA) Homeland Security Investigations (HSI) Naval Criminal Investigative Service (NCIS) U.S. Secret Service (USSS) Transportation Security Administration (TSA)

11 Political and Economic Sections Engage in Political and Economic Interaction Promote political and economic goals Hold discussions International collaboration on national and regional issues Exchange information Exchange training

12 Other Embassy Sections Foreign Commercial Service Foreign Agricultural Service Public Affairs Management Section Defense Attaché Section Federal Drug Administration

13 Mission of U.S. Law Enforcement Overseas Liaise with host national police on areas of expertise, some overlap Coordination on investigations Support for incidents and investigations Provide/exchange training Exchange information Protect U.S. Interests overseas

14 Limitations of U.S. Law Enforcement Overseas Lack authority to arrest and search Lack authority to investigate (externally) Sometimes lack authority to carry a weapon Dependent on host nation law enforcement Participation in arrests and seizures Apprehensions Joint operations

15 Capabilities of Law Enforcement Overseas Dependent on relationship with U.S. and country Investigate within Embassy (RSO only) Promote nation/regional coordination on investigations and security issues Share information on criminal trends Utilize international treaties/agreement for investigations with overseas nexus Provide/exchange training

16 International Investigative Routes Mutual Legal Assistance Treaty (MLAT) Mutual Legal Assistance Agreement (MLAA) International Forfeiture and Asset-Sharing Program Extradition Treaty Expulsion

17 Mutual Legal Assistance Treaty (MLAT) Negotiation U.S. Department of State U.S. Department of Justice Host nation Exchange of information and evidence Location of subject Financial information

18 Countries Sharing MLAT Treaties with U.S. Antigua & Barbuda,Argentina, Australia, Austria the Bahamas, Barbados, Belgium, Belize, Brazil, Canada, Cyprus, Czech Republic, Dominica, Egypt, Estonia, France, Germany, Greece, Grenada, Hong Kong, Hungary, India, Ireland, Israel, Italy, Jamaica, Japan, Latvia, Liechtenstein, Lithuania, Luxembourg, Malaysia, Mexico, Morocco, the Kingdom of the Netherlands (including Aruba, Bonaire, Curacao, Saba, St. Eustatius and St. Maarten), Nigeria, Panama, Philippines, Poland, Romania, Russia, St. Lucia, St. Kitts & Nevis, St. Vincent & the Grenadines, South Africa, South Korea, Spain, Sweden, Switzerland, Thailand, Trinidad & Tobago, Turkey, Ukraine, United Kingdom (including the Isle of Man, Cayman Islands, Anguilla, British Virgin Islands, Montserrat and Turks and Caicos), Uruguay, and Venezuela. Information retrieved from 2012 INCSR: Treaties and Agreements

19 Mutual Legal Assistance Agreement (MLAA) Formal agreement between nations Cooperation on investigation Exchange of information Can Change based Host Nation administration Diplomatic Relationship

20 Foreign Agreements with the U.S. Mutual Legal Assistance Agreement China The American Institute in Taiwan The Taipei Economic and Cultural Representative Office in the United States Executive Agreements on Forfeiture Cooperation United Kingdom The Kingdom of the Netherlands Singapore Asset Sharing Agreements Canada The Cayman Islands Colombia Ecuador Jamaica Mexico Monaco Information retrieved from 2012 INCSR: Treaties and Agreements

21 Other Treaties Inter- American Convention on Mutual Legal Assistance of the Organization of American States The United Nations Convention against Corruption The United Nations Convention against Transnational Organized Crime The International Convention for the Suppression of the Financing of Terrorism The 1988 United Nations Drug Convention Information retrieved from 2012 INCSR: Treaties and Agreements

22 International Forfeiture and Asset- Sharing Program Departments of Justice, State, and Treasury involved Formal agreement or Diplomatic Exchange Cooperation on locating and seizing assets Sharing assets Drug, money laundering, organized crime

23 Countries With Which U.S. Has Shared Assets Antigua, the Bahamas, Canada, Cayman have shared forfeited assets with the United States Islands, Hong Kong, Jersey, Liechtenstein, Luxembourg, Singapore, Switzerland, and the United Kingdom. Retrieved from

24 Asset-Sharing Statistics Department of Justice, shared $235,925,145 with 38 foreign governments that cooperated and assisted in investigations Department of Treasury shared $30,478,024 with foreign governments that cooperated and assisted in successful forfeiture investigations. Retrieved from

25 Financial Crimes Enforcement Network (FinCEN) International Financial Exchange Diplomatic Exchange or MOU Financial Crimes Enforcement Network (FinCEN) Two-way information Sharing with Financial Intelligence Units (FIU) abroad Establish strengthen exchange of information globally Combat money laundering, terrorist financing, and other financial crimes. Fields requests from domestic law enforcement to foreign FIUs.

26 Financial Crimes Enforcement Network (FinCEN) FinCEN responds to requests from financial intelligence units (FIUs) that are members of the Egmont Group, Egmont Group International network of agencies Financial Disclosure Units / Financial Intelligence Units

27 Financial Crimes Enforcement Network (FinCEN) Countries Albania, Argentina, Aruba, Australia, Belgium, Bermuda, Brazil, Bulgaria, Canada, Cayman Islands, Chile, Croatia, Cyprus, Egypt, France, Fiji, Guatemala, Indonesia, Israel, Italy, Japan, Macedonia, Malaysia, Malawi, Mauritius, Mexico, Montenegro, Moldova, the Netherlands, Nigeria, Panama, Paraguay, Philippines, Poland, Romania, Russia, San Marino, Saudi Arabia, Senegal, Serbia, Singapore, Slovenia, South Africa, South Korea, Spain, the Money Laundering Prevention Commission of Taiwan, and the United Kingdom Information retrieved from 2012 INCSR: Treaties and Agreements

28 Extradition Treaties Mutual treaties between countries Dependent on Nationality of perpetrator Nation in which perpetrator is located The crime committed Location of wanted person by host country

29 COUNTRIES SHARING BILATERAL EXTRADITION TREATIES WITH U.S. Albania, Anguilla, Antigua and Barbuda, Argentina, Australia, Austria, Bahamas, Barbados, Belgium, Belize, Bermuda, Bolivia, Bosnia and Herzegovina, Brazil, British Virgin Islands, Bulgaria, Burma, Canada, Cayman Islands, Chile, Colombia, Congo, Costa Rica, Croatia, Cuba, Cyprus, Czech Republic, Denmark, Dominica, Dominican Republic, Ecuador, Egypt, El Salvador, Estonia, European Union, Falkland Islands, Fiji, Finland, France, Gambia, Germany, Ghana, Gibraltar, Greece, Grenada, Guatemala, Guyana, Haiti, Honduras, Hong Kong, Hungary, Iceland, India, Iraq, Ireland, Isle of Man, Israel, Italy, Jamaica, Japan, Jordan, Kenya, Kiribati, Korea, Latvia, Lesotho, Liberia, Liechtenstein, Lithuania, Luxembourg, Malawi, Malaysia, Malta, Mauritius, Mexico, Monaco, Montserrat, Nauru, Netherlands, New Zealand, Nicaragua, Nigeria, Norway, Pakistan, Panama, Papua New Guinea, Paraguay, Peru, Philippines, Poland, Portugal, Romania, San Marino, Seychelles, Sierra Leone, Singapore, Slovakia, Slovenia, Solomon Islands, South Africa, Spain, Sri Lanka, St. Helena, St. Kitts and Nevis, St. Lucia, St. Vincent and the Grenadines, Suriname, Swaziland, Sweden, Switzerland, Tanzania, Thailand, Tonga, Trinidad and Tobago, Turkey, Turks and Caicos, Tuvalu, United Kingdom, Uruguay, Venezuela, Zambia, Zimbabwe Information retrieved from 2012 INCSR: Treaties and Agreements

30 Issues Impacting Treaties and Agreements Diplomatic Relations between countries Political Party/Head of State Changing Law in Host Nation Jurisdiction change Statute of Limitations Capabilities of Host Country Police Legal systems

31 Extradition Treaties Do not require surrendering the country s citizens to other country Under U.S. Law, an American Citizen can be extradited to any foreign country at the discretion of the U.S. Secretary of State

32 Extraditions

33 Issues Impacting Extradition Classification of the crime in host country Capital punishment Political crime Jurisdiction Country s stance on extraditing its own citizens

34 Expulsions Revocation of immigration status of host country Deportation Canceling immigration permits U.S. Passport with one-way issue Interpol Notice Options for U.S. Leos Expulsion, then enters country with extradition treaty If enters U.S. can apprehend subject on U.S. soil

35 Courses of Investigatory Process Host country Diplomatic Relationship with U.S. International Financial Agreement International Forfeiture and Asset Agreement U.S. Embassy Law Enforcement and Host Nation Police Relationship Mutual Legal Assistance Treaty/Agreement Extradition Treaty

36 Other Resources Available Overseas Interpol Overseas Security Advisory Council American Chamber of Commerce

37 Interpol 190 country member international police organization ( System of colored notices to identify and apprehend subject International alert used by police to communicate information about specific types of crimes

38 Interpol Illegal gambling networks across Asia targeted in INTERPOL-led operation USD 2.2 billion in illicit bets made during 2014 FIFA World Cup LYON, France An INTERPOL-coordinated operation targeting illegal soccer gambling networks across Asia during the 2014 FIFA World Cup has resulted in more than 1,400 arrests and the seizure of almost USD 12 million. During the six-week operation, law enforcement officers from China, Hong Kong (China), Macao (China), Malaysia, Singapore and Vietnam carried out more than 1,000 raids on illegal gambling dens many controlled by organized crime gangs estimated to have handled around USD 2.2 billion worth of bets, the majority through illicit websites. Operation SOGA V short for soccer gambling was the fifth action of its type since 2007 and was timed to target illegal soccer gambling activities from 1 June to 13 July, ahead of and during the 2014 FIFA World Cup. Information retrieved from Interpol News

39 Interpol World Cup 2014: Brazil Security Arrests Mexican Drug Trafficker in Rio de Janeiro Drug tycoon Jose Diaz Barajas, wanted for allegedly trafficking methamphetamine in the United States, was arrested in Rio de Janeiro on his way to a World Cup game. Luiz Cravo Dorea, head of the federal police s international coordination center, said the police knew his whereabouts and watched him since him and his family crossed the border from Paraguay Information retrieved from World Cup

40 Overseas Security Advisory Council (OSAC) Security information-sharing council Members are American-owned businesses incorporated in the U.S. OSAC Councils chaired by the RSO Exchange security, safety info, training Host nation situation Criminal/investigative patterns Security and law enforcement trends Issues impacting U.S. interests in region

41 OSAC Notification of security environment Protests Incidents Publications Crime and Safety Report Country Council Reports

42 American Chamber of Commerce (AmCham) American Chamber of Commerce Abroad, part of the U.S. Chamber Federation, is Located in 103 countries Over 116 American Chambers of Commerce overseas Networking repository Trends impacting businesses Investigations and criminal occurrences Experienced overseas UsChamber.com

43 Contacting Host Nation Police and Protocols Official U.S. Government Investigation Contact RSO U.S. business or local issue Obtain Guidance from ROS, OSAC, other resource Which Police Agency to contact File Complaint in Host Country Work with your legal counsel Brief your public affairs to be prepared

44 Challenges Overseas Customs Not American-style investigation or procedures Language Colloquialisms Protocols Use of Media Lack of confidentiality/sensitivity Privacy Laws/Data Transfer Laws

45 Scenarios Scenario 1: U.S. Company Seeking to Investigate Employee and Pursue Legal Action in the U.S. (U.S. Extradition/Action)

46 Scenarios Scenario 2: U.S. Company Seeking to Press Charges Overseas against U.S. Citizen or Foreign National

47 Scenarios Scenario 3: Law Enforcement Seeking Assistance in Locating and Extraditing Felon

48 Scenarios Scenario 4: Law Enforcement or U.S. Company Seeking Assistance with Investigation Entailing Electronic and Financial Elements Overseas

49 Questions? Liseli Pennings (512)

50 Navigating Investigations Overseas: Resources, Procedures, and Best Practices Liseli Pennings 2015 Association of Certified Fraud Examiners, Inc.