RALPH LAUREN ARGENTINA y el NPA firmado con la SEC y el DOJ

La semana pasada Ralph Lauren Corporation firmó con la SEC  y el DOJ (con la División Criminal y Sección de Fraudes) un “Acuerdo de No Enjuiciamiento (Non-Prosecution Agreement -NAP) con cada uno de ellos, los cuales pueden decargarse desde la SEC http://www.sec.gov/news/press/2013/2013-65-npa.pdf  o http://ggmalaw.com/FCPA/RALPHLAUREN/RL2013-65-npa.pdf  y desde el DOJ https://www.justice.gov/sites/default/files/criminal-fraud/legacy/2013/04/23/Ralph-Lauren.-NPA-Executed.pdf

Aquí abajo copiado en su versión en inglés el Anexo A (statement of facts) que relata los hechos, lo cierto es que conforme al informe el Gerente General de Ralph Lauren Argentina (la sociedad aquí se denomina P.R.L. Sociedad de Responsabilidad Limitada) y otras personas quienes trabajaban para la misma susbidiaria local (no hay nombres publicados al menos en este informe) habrían aprobado pagar coimas a los funcionarios de la Aduana Argentina a través de su Broker Aduanero básicamente para que la Aduana Argentina permitiera el ingreso de mercadería prohibida al país y para evitar cualquier tipo de inspección. El Broker Aduanero para obtener el dinero para el pago de coimas a los oficiales de la Aduana Argentina,  le facturaba a Raplph Lauren Argentina importes como “gastos por entrega y carga”  “impuestos/sellados”  Estas conceptos detallados en las facturas eran utilizados para poder identificar que se trataba de una coima a los funcionarios de la Aduana. Por supuesto según se informa no hay comprobantes de estos supuestos importes de gastos y/o pagos de sellos. Se informa que desde el 2005 al 2009 la sumas pagadas en concepto de coima fue de USD 568.000. Adicionalmente para asegurar la importación en forma impropia se autorizaron desde Ralph Lauren Argentina regalos a tres (3) funcionarios del Gobierno Argentino (no identificados) por valores entre los USD 400 y USD 14000.

1. Ralph Lauren Corporation (“RLC”) is incorporated in Delaware with its principal place of business in New York, New York. RLC is a world-wide designer, marketer and distributor of premium apparel, accessories, fragrances and other products. RLC’s stock is registered pursuant to Section 12(b) of Securities Exchange Act of 1934 and it is listed on the New York Stock Exchange.

2. P.R.L. -S.R.L. (“RLC Argentina”) was an indirect wholly-owned subsidiary of RLC headquartered and incorporated in Argentina. RLC Argentina marketed and sold RLC and other merchandise, including merchandise that was imported from outside Argentina.

3. The General Manager of RLC Argentina was a dual U.S. and Argentine citizen and was hired by RLC in approximately 2003 to manage the RLC Argentina business. From approximately 2003 through about 2009, RLC Argentina’s General Manager was an agent and employee of RLC, as that term is used in Section 30A (a)( I) of the Securities Exchange Act of 1934 (“Exchange Act”).

4. RLC Argentina retained a customs broker to assist it with customs clearance issues related to the importation of merchandise into Argentina. Customs Broker A was one of the two owners of the customs broker. Customs Broker A served as the customs broker for RLC Argentina from approximately 2003 through 2011.

Bribes Paid To Customs Officials (coimas pagadas a los oficiales de la aduana)

5.From approximately 2005 through approximately 2009, RLC Argentina’s General Manager and others who worked at RLC Argentina approved bribe payments to be made to Argentine customs officials through Customs Broker A to assist in improperly obtaining paperwork necessary for RLC products to clear customs, to permit clearance of items without the necessary paperwork, to permit the clearance of prohibited goods, and to avoid inspection of products by Argentine customs officials.

6. In order to obtain the money for the bribe payments, Customs Broker A would submit invoices to RLC Argentina’s General Manager, or others who reported to the General Manager, for reimbursement of Customs Broker A’s expenses. In addition to line items for legitimate charges, the invoices also included requests for payments for “Loading and Delivery Expenses” and “Stamp Tax/Label Tax.” These line items were used to disguise the bribe payments. No back up documentation was provided to RLC Argentina for the “Loading and Delivery Expenses” or the “Stamp Tax/Label Tax” line items on the invoice.

7. From approximately 2005 through approximately 2009, RLC Argentina paid approximately $568,000 to Customs Broker A for the purpose of paying bribes to Argentine customs officials to secure the importation of RLC’s products into Argentina.

Gifts to Argentine Government Officials

8. In addition to paying bribes to Argentine customs officials, RLC Argentina’s General Manager directly provided or authorized that several gifts be made to Argentine government officials to improperly secure the importation ofRLC’s products into Argentina. The gifts provided to three different government officials between approximately 2005 through approximately 2009 included perfume, dresses and handbags valued at between $400 and $14,000 each.