2013
03/19
Conflict of Interest in Global, Public and Corporate Governance
Cambridge University Press, 2012. ISBN: 978-1-107-02932-3.
Authors: Anne Peters, Erhard Friedberg, Michael Davis, Auguste Nganga Malonga, René Urueña, August Reinisch, Christina Knahr, Michal Davala, Jean-Bernard Auby, Benjamin Schindler, Thomas Braendle, Alois Stutzer, Anna Christmann, Gregor Dobler, Jan Christoph Richter, Monika Roth, Andrew Stark, Lukas Handschin, Rashid Bahar, Antoine Morand, Susan P. Shapiro.
Abstract: Conflict of interest occurs at all levels of governance, ranging from local to global, both in the public and the corporate and financial spheres. There is increasing awareness that conflicts of interest may distort decision-making processes and generate inappropriate outcomes, thereby undermining the functioning of public institutions and markets. However, the current worldwide trend towards regulation, which seeks to forestall, prevent and manage conflicts of interest, has its price. Drawbacks may include the stifling of decision-making processes, the loss of expertise among decision-makers and a vicious circle of distrust. This interdisciplinary and international book addresses specific situations of conflict of interest in different spheres of governance, particularly in global, public and corporate governance.
2012
10/22
Mark Pieth (ed.), Collective Action: Innovative Strategies to Prevent Corruption
Dike Verlag AG, 2012. ISBN: 978-3-03751-474-0.
Authors: Gemma Aiolfi, Hans-Peter Bauer, Nicola Bonucci, Jeroen Brabers, Richard Calland, Joel Fernandes, Birgit Forstnig-Errath, John Hawkins, Fritz Heimann, Damian Heller, Robert Klitgaard, Dirk Lehmkuhl, Olajobi Makinwa, Massimo Montovani, Jonas Moberg, Mark Pieth, Eddie Rich, Siri Schubert, Cobus de Swardt, François Vincke, Michael Wiehen, Alexandra A. Wrage, Alex Wong and Sabine Zindera.
About the Basel Institute on Governance: The Basel Institute on Governance is an influential not-for-profit organization with particular competencies in corruption prevention and public governance, corporate governance and compliance, anti-money laundering, and anti-corruption law enforcement and the recovery of stolen assets. Based in Basel, Switzerland, and associated with the University of Basel, the Institute’s multidisciplinary and international team works with governments, companies, other non-state actors, international organizations, and aid agencies towards its mission of tangibly improving the quality of governance globally.
Building on more than 20 years of experience in anti-corruption and anti-money laundering standard setting, and on more than a decade of practical work in compliance and Collective Action, the Institute is launching the International Center for Collective Action (ICCA). The overall purpose of the ICCA is to assist companies and other concerned stakeholders in enhancing their ability to prevent corruption, with a particular focus on bribe solicitation.
Building on its network of intellectual partners, which includes business organizations, international standard setters, and non-state actors as members, the ICCA will serve as a knowledge hub for information about worldwide Collective Action initiatives and research. Regular fora for policy dialogue as well as a web-based information platform will enable members and interested parties to exchange information. The ICCA will also act as a center of competence by conducting interdisciplinary and applied research on the functioning and impact of Collective Action. Finally, the ICCA’s representatives and partners will make their experience available for launching new and advancing existing Collective Action initiatives around the world.
2012
02/09
National Integrity System Bericht Schweiz
On February 7th 2012, Transparency International published the National Integrity Systems Assessment for Switzerland. The Basel Institute on Governance contributed to this study through research and the compilation of three of the twelve pillar-chapters.
The National Integrity System (NIS) assessment approach provides a framework for analyzing both the extent and causes of corruption in a given country as well as the effectiveness of national anti-corruption efforts (see national integrity system assessments). The project involved both desk research as well as interviews with experts from the different pillars both of which fed into the final analysis of this study.
2011
10/17
Non-State Actors in Asset Recovery
Peter Lang AG, 2011. ISBN: 978-3-0343-1073-4.
Authors: Kodjo Attisso, Melvin Ayogu, Edward Davis, Pedro Gomes Pereira, Michael Levi, Nicholas Lord, Anne Lugon-Moulin, Max Mader, Keith Oliver, Maud Perdriel-Vaissière, Anja Roth, Markus E. Schultz and Daniel Thelesklaf.
Abstract: Non-state actors are of fundamental importance in the prevention and combating of corruption within asset recovery processes. Their roles and responsibilities were considered during an experts' meeting hosted by the Basel Institute on Governance and the International Anti-Corruption Academy in September 2010.
This book contains essays presented at the meeting, written by practitioners and academics with extensive experiences in the numerous fields which comprise asset recovery processes. The contributions offer a diversity of views on roles which non-state actors (can) play in preventing and combating corruption and other forms of financial crimes.
The editors conclude by offering insights into ongoing challenges in asset recovery processes and ways to overcome these challenges.
2011
10/17
Mark Pieth, Harmonising Anti-Corruption Compliance
Dike Verlag AG, 2011. ISBN: 978-3-03751-390-3.
Abstract: New anti-corruption laws and intensified law enforcement, in particular in OECD Member States, are motivating companies to implement sound anti-corruption compliance programmes. They will help reduce risk, but they may also serve as a business argument. Yet, companies are increasingly voicing the need for a harmonised approach to compliance. The OECD Guidance enacted in 2010 may well serve as a template for such a standard since it has been adopted by the Member States of the OECD by unanimity.
This booklet gives an introduction to anti-corruption compliance and the OECD standards in particular. It should help managers and other corporate practitioners to identify the needs for their company and to know what to ask for.
2011
10/17
Capacity Building in Asset Recovery
Corruption is one of the endemic evils in today’s world. The phenomenon has negative impacts on world poverty, democratic governance, progress and development. According to the World Bank, USD 20 to 40 billion is lost annually by developing nations because of corruption. With the adoption of the United Nations Convention Against Corruption (UNCAC), the international community aims at setting up a comprehensive global framework to contain and ultimately lower significantly the levels of corruption worldwide. Chapter IV of the UNCAC focuses on asset recovery and provides tools for effectively fighting corruption.
Asset recovery is the process whereby the proceeds of corruption are traced, frozen, confiscated and repatriated in favour of countries that become victims to corruption. Asset recovery is an effective countermeasure to corruption because it signalises to corrupt leaders that corruption no longer pays. However, many developing countries still lack the skills to collect evidence, prepare indictments, adjudicate cases and obtain convictions.
This publication demonstrates what asset recovery means, and, most importantly, how capacity building is needed to fight corruption in today’s world. Successful asset recovery can function as a powerful tool to repair the damage caused by corruption. Skilled hands can effectively use asset recovery to help bring justice to those who have suffered from the diverse consequences of corruption.
2011
07/25
New translation released: Tracing stolen assets - A practitioner's handbook
Каждый год коррупция генерирует доходы в размере миллиардов долларов. Большая часть активов, приобретенных посредством совершения коррупционных преступлений, никогда не будет возвращена потерпевшими странами по простой причине невозможности определить их местонахождение. Прибыль, получаемая в результате совершения преступлений, зачастую переводится в финансовые центры в попытке воспрепятствовать или помешать усилиям правоохранительных органов, направленным на выявление и отслеживание активов, приобретенных преступным путем. Поэтому успех расследования преступлений, связанных с коррупцией в государственных органах, отмыванием денежных средств, а также финансовых преступлений, во многом зависит от способности следователя отследить цепочку, ведущую к собственнику денежных средств и прочих активов.
Во многих странах уголовные расследования в первую очередь направлены на расследование основного из связанных друг с другом преступлений. До сих пор сравнительно редко следователи, в ходе своей повседневной работы по расследованию серьезных преступлений, генерирующих доходы, «следуют за деньгами». Для того чтобы успешно выследить денежные средства и имущество, следователь должен быть оснащен всем необходимым для раскрытия и установления собственнических интересов, которые зачастую маскируются путем изменения формы и характера собственности.
Цель данного справочника заключается в том, что указать следователю на отправную точку, в которой может возбуждаться судебное производство, направленное на изъятие или конфискацию доходов от преступлений. Помимо того, что справочник охватывает этап доследственной проверки и этап следствия, во время которых собирается и проверяется информация, идентифицируются и обнаруживаются активы, он также предоставляет указания, направленные на замораживание или изъятие активов. В намерения авторов данного справочника не входит исчерпывающее описание всего процесса, при помощи которого активы в конечном счете изымаются или конфискуются. Тем не менее данный справочник в действительности освещает некоторые основные шаги, которые должен предпринять следователь, чтобы обеспечить всестороннее и эффективное расследование с целью отслеживания активов.
Download Tracing stolen assets - A practitioner's handbook
2011
02/01
Development Assistance, Asset Recovery and Money Laundering: MAKING THE CONNECTION
The traditional criminal response has been insufficient in the combat against corruption, money laundering and other financial crimes. Billions of dollars continue to be laundered by individuals and criminal organisations through and ever-growing myriad of complex financial schemes. Official Development Assistance (ODA), a fundamental tool of development policy, is equally prone to corruption, embezzlement and abuse — to the extent that up to 30% of disbursements may be siphoned off by corrupt actors and criminal organisations.
The international response to effective combating of such crimes is through the asset recovery process. It is a multi-layered process which spans from intelligence gathering to recovering of stolen assets. Its effectiveness, however, is dependent on knowledge on the process, political will from within and co-ordination of efforts between countries that fall victim to such crimes and countries which are recipients of these proceeds.
This brochure seeks to provide a basic understanding of money laundering and the asset recovery process and their link with development agencies. It covers the definition of money laundering, its predicate offences and some typologies, as well as a basic understanding of the phases and steps which comprise the asset recovery process. Furthermore, it demonstrates how these two fields link with the development agenda. The brochure, however, does not present an exhaustive list of activities that can be pursued by development agencies to reduce money laundering and corruption in their disbursements and in recipient countries, but rather seeks to inspire people to reflect on activities that may be pursued to reduce money laundering and corruption through asset recovery.
2010
05/21
Nouvelle parution: Tracing stolen assets - A practitioner's handbook
La corruption génère des milliards de dollars chaque année. Une grande partie des avoirs acquis au moyen d'actes de corruption ne peut jamais être récupérée par les pays victimes pour la simple raison qu'il n'était pas possible de les localiser. Les produits générés par les activités criminelles sont souvent transférés dans des centres financiers dans le but d'entraver ou de compliquer les efforts déployés par les autorités répressives pour identifier et localiser les avoirs illicites. Par conséquent, le succès des investigations en matière de corruption publique, de blanchiment d'argent et en général en matière de criminalité financière dépend largement de la capacité de l'enquêteur à dépister la propriété des fonds et autres biens.
Dans de nombreux pays, les enquêtes criminelles sont essentiellement dirigées contre ces nouvelles formes de criminalité. Il reste tout de même, relativement difficile pour les enquêteurs dans leur travail quotidien de lutte contre les produits importants générés par le crime, de reconstituer les flux financiers. Pour suivre avec succès les flux financiers et les biens illicites, l'enquêteur doit être bien équipé pour être capable de remonter jusqu’au propriétaire et à l’origine des avoirs concernés qui sont la plupart du temps dissimulés.
Ce manuel se veut un guide pratique destiné à l'enquêteur qui pourrait s'engager dans une procédure judiciaire visant à la saisie et la confiscation des produits du crime. Il couvre dans la première partie, les phases de la pré-enquête et de l'enquête, phases au cours desquelles des informations sont recueillies et vérifiées, les avoirs identifiés et localisés. Dans la seconde partie, il fournit des conseils pratiques en matière de blocage ou de saisie des avoirs. Ce manuel ne prétend pas traiter de manière exhaustive, l'ensemble du processus au terme duquel les avoirs sont définitivement saisis ou confisqués. Cependant, les auteurs mettent en évidence l'essentiel des grandes étapes que devrait suivre un enquêteur afin de garantir une procédure approfondie et efficace de dépistage des avoirs.
Télécharger le Manuel du praticien: Tracing stolen assets (en anglais)
2009
10/16
Non-State Actors as Standard Setters
Cambridge University Press, 2009. ISBN: 978-0-521-11490-5.
Authors: Anne Peters, Lucy Koechlin, Gretta Fenner, Dieter Neubert, Dan Assaf, Richard Calland, Lindsey Cameron, Daniel Kaufmann, Aart Kraay, Massimo Mastruzzi, Michael Miklaucic, Steven Wheatley, Julia Black, Monica Blagescu, Robert Lloyd, Marcus Schaper, Till Förster, Peter Hägel, Stéphane Guéneau, Eva Kocher, Egle Svilpaite and Ulrike Wanitzek.
Abstract: This analysis of 'globalised' standard-setting processes draws together insights from law, political sciences, sociology and social anthropology to assess the authority and accountability of non-state actors and the legitimacy and effectiveness of the processes. The essays offer new understandings of current governance problems, including environmental and financial standards, rules for military contractors and complex public-private partnerships, such as those intended to protect critical information infrastructure. The contributions also evaluate multi-stakeholder initiatives (such as the Extractive Industries Transparency Initiative), and discuss the constitution of public norms in stateless areas. A synopsis of the latest results of the World Governance Indicator, arguably one of the most important surveys in the area today, is included.
2009
05/19
Countering Terrorist Financing
With a preface by Micheline Calmy-Rey, Peter Lang AG, 2009. ISBN: 978-3-03911-731-4.
Authors: Guido Steinberg, Kristel Grace Poh, Bob Upton, Yehuda Shaffer, Henriette Haas, Giuseppe Lombardo, Kilian Strauss, Marco Gercke, Stephen Baker, Stephanie Eymann, Jacques Rayroud, Yara Esquivel Soto, Scott Vesel, Radha Ivory, Mark Pieth, Daniel Thelesklaf and Radha Ivory.
Abstract: This book contains essays presented at the seminar written by practitioners and academics with extensive experience in the field of CTF. The authors offer a diversity of views on the domestic, regional and international initiatives aimed at detecting terrorist funds in the financial system, preventing terrorists from moving their money via alternative financial channels and facilitating the recovery of terrorist assets. The editors conclude with in-sights into the ongoing challenge of making CTF measures both effective and legally sustainable in the lead-up to Giessbach III in December 2009.
2008
05/20
Mark Pieth (ed.), Recovering Stolen Assets
With a preface by Eva Joly, Peter Lang AG, 2008. ISBN: 987-3-03911-583-9.
Authors: Alan Bacarese, Hans-Peter Bauer, Bernard Bertossa, René Brühlhart, Daniel Claman, Tim Daniel & James Maton, Paul Gully-Hart, Willie Hofmeyr, Cornelis de Jong, Guillermo Jorge, Anne Lugon-Moulin, Antenor Madruga, Simeon V. Marcelo, Enrico Monfrini, Pierre-Yves Morier, Nikos Passas, Mark Pieth, Nuhu Ribadu, Sergio Salvioni, Mary-Jane Schirber & Frank E. Hydoski, Jean-Bernard Schmid, Pietro Veglio & Peter Siegenthaler, and Dimitri Vlassis & Dorothee Gottwald.
Abstract: Development efforts will remain frustrated so long as corrupt leaders continue to steal their countries' wealth and dispose of these ill-gotten gains in foreign jurisdictions. The prevention of such looting, and the recovery of the stolen assets are thus critical development issues and a cornerstone of the United Nations Convention against Corruption (2003) (UNCAC). However, to date experience with asset recovery is limited, and a number of legal and other obstacles continue to impede progress.
This is the first comprehensive work on asset recovery, written by renowned practitioners and academics representing different legal systems and countries, all of whom have extensive experience in the asset recovery field. The authors notably discuss the 'success stories' of the past (the recovery of the assets of Sani Abacha, Ferdinand Marcos and Vladimiro Montesinos) and the concrete challenges for thefuture with regard to search, seizure, confiscation and repatriation of stolen assets. The book also provides perspectives on the role of technical assistance and donors in asset recovery and the likely impact of the UNCAC.
2004
05/20
Mark Pieth and Gemma Aiolfi (ed.), A Comparative Guide to Anti-Money Laundering
Edward Elgar Publishing Ltd, 2004. ISBN: 1-84376-673-6.
Authors: Gemma Aiolfi, Sara Fyson, Leonardo Raznovich, Michiel Visser, Paul Clement, Daniel Nino Tarazona, Dr Kern Alexander, Dr Nadja Capus, Madeline Lee, Lucinda A. Low, Daniel Fisher-Owens, Karl Abendschein, James Tillen, Nicola Padfield, Professor Mark Pieth and Mathias Pini.
Abstract: All the major financial centres have experienced a rise in anti-money laundering rules and regulations. Initially, anti-money laundering laws were used as a weapon in the war on drugs, whilst more recently they have been deployed in the ongoing fight against terrorism. These developments, the authors reveal, have had serious consequences for banks and other financial institutions – affecting not only profit margins but also the way in which business is conducted.
Topical and pertinent issues addressed in this book include questions such as, has all the recent legislative activity really put a stop to the problem? Are the international rules being implemented as carefully as they should? How level is the playing field in cross border banking?
The regimes and implementation of anti-money laundering laws and regulations of four major, cross border, financial centres are also examined in depth: Switzerland, Singapore, the UK, and the USA. Going beyond the purely descriptive, there are also comparative analyses of these countries against existing international standards – with illuminating results.
This new book is full of original insight and analysis and will be an invaluable resource for lawyers, both scholarly and practitioner based, with an interest in economic crime as well as policymakers and compliance officers within banks and other financial institutions.
Book contributions
2012
10/12
"Practical hurdles to effective international recovery of stolen assets"
Opinio Juris, Volume 11, May-August 2012.
Authors: Paku Utama, Novriady Erman, Amien Sunaryadi, Dayu Nirma Amurwanti, Hikmahanto Juwana, M. Ajisatria Suleiman, Harjo Winoto, Giri Suprapdiono, Reda Manthovani, Gretta Fenner Zinkernagel, Anja Roth, Arinta Luthri Handini and Ni Putu Anggraeni.
The Indonesian "Direktorat Jenderal Hukum Dan Perjanjian Internasional" (Directorate General of Law and Treaty) published a new book in its series "Opinio Juris" featuring the article "Practical Hurdles to Effective International Recovery of Stolen Assets" written by Gretta Fenner Zinkernagel and Anja Roth.
2009
09/04
TI Global Corruption Report 2009
Cambridge University Press, 2009. ISBN: 978-0-521-13240-4.
Abstract: The private sector plays a pivotal role in fighting corruption worldwide. Transparency International’s Global Corruption Report 2009 documents in unique detail the many corruption risks for businesses, ranging from small entrepreneurs in Sub-Saharan Africa to multinationals from Europe and North America. More than 75 experts examine the scale, scope and devastating consequences of a wide range of corruption issues, including bribery and policy capture, corporate fraud, cartels, corruption in supply chains and transnational transactions, emerging challenges for carbon trading markets, sovereign wealth funds and growing economic centres, such as Brazil, China and India.
The Global Corruption Report 2009 also discusses the most promising tools to tackle corruption in business, identifies pressing areas for reform and outlines how companies, governments, investors, consumers and other stakeholders can contribute to raising corporate integrity and meeting the challenges that corruption poses to sustainable economic growth and development.
Transparency International (TI) is the global civil society organisation leading the fight against corruption. Through more than ninety chapters worldwide and an international secretariat in Berlin, Germany, TI raises awareness of the damaging effects of corruption and works with partners in government, business and civil society to develop and implement effective measures to tackle it. For more information go to www.transparency.org.
2009
05/29
Erica Harper: International Law and Standards Applicable in Natural Disaster Situations
International Development Law Organization (IDLO), 2009. ISBN: 978-88-96155-00-4.
Authors: Jo Wells, Bridget Slean, Scott Leckie, Gretta Fenner, Mirella Mahlstein, Fernando de Medina-Rosales, Paul Bode, Mattias Bryneson, Rasa Sekulovic, Patrizia Gattoni, Nilofer Qazi and Esteban Leon.
Abstract: This book aims to stimulate thought and action in relation to establishing human rights frameworks in countries recovering from natural disasters. The authors regard this as essential in order to protect the rights and restore the dignity of the victims of natural disasters. While a substantial body of relevant law exists, the law is only effective if disaster recovery planners and the people working in the field know and understand it. By building legal protections into preparedness and response planning, the recovery timetable can be shortened and order restored more quickly and effectively. At the same time, this process will help to uncover and address systemic injustices that cause continuing poverty and social unrest.
2005
10/22
International aspects of corporate liability and corruption
Gemma Aiolfi/Mark Pieth, in: Stephen Tully (ed.), Handbook of Corporate Legal Responsibility, Edward Edward Elgar Publishing Ltd, 2005.
2003
04/04
The private sector becomes active: The Wolfsberg process
Mark Pieth/Gemma Aiolfi, in: A Practitioner's Guide to International Money Laundering Law and Regulation, City & Financial Ltd, London 2003, p. 267 ff. and Journal of Financial Crime Volume 10/Number 4, April 2003, p. 359 ff.