Tom Fox is the Voice of Compliance and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

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 Stories

1.     More on using behavioral psych to make compliance changes. Vera Cherepanova in the FCPA Blog. 

2.     Tackling money-laundering in real estate transactions? Ella Hawkins in GAB.

3.     Archegos founder indicted for fraud. Jaclyn Jaeger in Compliance Week. (sub req’d)

4.     Testing culture. Dylan Tokar in WSJ Risk and Compliance Journal. 

5.     Renewed need for Board oversight of compliance. Mike Peregrine in CCI.

6.     Economic sanctions now national security issue. Dylan Tokar in WSJ Risk and Compliance Journal. 

7.     Why compliance is a competitive advantage. Navex’s Risk and Compliance Matters.

8.     Toll Holdings and export control compliance failures? Matt Kelly in Radical Compliance. 

9.     Boards making decisions under a stakeholder model. Robert Miller in Harvard Law School Forum on Corporate Governance.  

10.  What to measure in DEI. Ngozi Okeh in practicalESG.

Podcasts and More

11.  How can baking cookies get your through grief? Find out on this episode of The Hill Country Podcast as Kerrville Cookie Lady, Julia Cardoshinsky talks about her lifelong love affair with baking cookies. 

12.  What is the only podcast dedicated to the intersection of Compliance and ESG? It’s the Compliance ESG Podcaston the CPN. Check out this week’s episode with Travis Miller and Jared Connors of Assent Compliance on the role of Supply Chain in ESG. For your added viewing pleasure check out the video pod on YouTube. 

13.  This month on the Compliance Life, I visit with Susan Divers, Director of Thought Leadership at LRN. In Part 1, academic life and early professional career. In Part 2, she moves to the corporate world. In Part 3, Susan moves into the CCO chairs at AECOM. In the final episode this month, Part 4, Susan details her move to and work at LRN. 

14.  Why should you attend Compliance Week 2022? Find out in this podcast series featuring speakers at CW 2022. Listeners get a $200 discount to CW 2022 with the discount code TFLAW $200 OFF. Registration and agenda here. 

15.  From the Editor’s Desk welcomes the new Compliance Editor in Chief, Kyle Brasseur to the podcast. Check out Kyle’s inaugural episode here. 

Tom Fox is the Voice of Compliance and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

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Stories

1.     Mike Volkov takes a deep dive into the recent DOJ trial record. In a 3-part series on Corruption Crime and Compliance.

2.     Sexual harassment case too implausible for Hollywood? Adam Manno in the Daily Mail.

3.     KT Corp FCPA enforcement action analysis. Lawyers from Debevoise in Compliance and Enforcement. 

4.     Stericycle FCPA settlement. DOJ Press Release. Harry Cassin the FCPA Blog. Tom begins a 3-part series on the FCPA Compliance Report.   

5.     Data analytics informs SEC enforcement action. Jaclyn Jaeger in Compliance Week. 

6.     SEC Chair Gensler reflects on 1st year of Chairmanship? Ephrat Livny in NYT.

7.     Into the crystal ball on climate disclosures. Mai-Khoi Nguyen-Thanh and Taylor Wirth   in CCI.

8.     Should Elon Musk have been stopped long ago? Francine McKenna in Time.

9.     What should be on your audit committee agenda for 2022? Maureen Bujno, Krista Parsons and Kimia Clemente in Harvard Law School Forum on Corporate Governance.  

10.  Putting the ‘G’ first in ESG. Lawrence Heim in practicalESG

Podcasts and More

11.  Tom visits with Matt Galvin and Dan Kahn over a 2-part podcast series. In Part 1, they talk about dealing with the DOJ during a FCPA investigation and thereafter. In Part 2 we took a deep dive into the Lisa Monaco speech and what it means for compliance professionals. 

12.  What is the only podcast dedicated to the intersection of Compliance and ESG? It’s the Compliance ESG Podcaston the CPN. Check out this week’s episode with Erika Peters of Exiger on the ESG Standards. For your added viewing pleasure check out the video pod on YouTube. 

13.  This month on the Compliance Life, I visit with Susan Divers, Director of Thought Leadership at LRN. In Part 1, academic life and early professional career. In Part 2, she moves to the corporate world. In Part 3, Susan moves into the CCO chairs at AECOM.

14.  Are you a MCU fan? If so check out the latest 2 episodes of Popcorn and Compliance-the MCU Series as Tom and Megan Dougherty are going through the full MCU in chronological, not release date order. The latest two episodes are Black Widow and Black Panther.

15.  Why should you attend Compliance Week 2022? Find out on this episode of From the Editor’s Desk. Listeners get a $200 discount to CW 2022 with the discount code TFLAW $200 OFF. More here. 

Tom Fox is the Voice of Compliance and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

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Stories

1. Roger Ng was convicted. Tom in the FCPA Compliance and Ethics Blog.
2. Lessons from DOJ’s first cyber fraud settlement? Annie Hudgins in the FCPA Blog.
3. Depression as corporate materiality issue. Dick Cassin in the FCPA Blog.
4. Should CCOs be required to certify compliance programs? Mike Volkov in Corruption Crime and Compliance.
5. CEO fined by SEC for impeding whistleblower. Aaron Nicodemus in Compliance Week. (sub req’d) Matt Kelly in Radical Compliance.
6. How much BOD oversight of compliance is enough? Jeff Kaplan in Conflict of Interest Blog. 
7. Compliance in recessionary times. Jim DeLoach in CCI.
8. Water and corruption. Rick Messick in GAB.
9. Why should an organization disclose diversity information? Antinuke Adrian in Harvard Law School Forum on Corporate Governance.  
10. Data governance best practices. Eray Eliaçik in Data Economy. 

Podcasts and More

1. Tom visits with Matt Galvin and Dan Kahn over a 2-part podcast series. In Part 1, they talk about dealing with the DOJ during an FCPA investigation and thereafter. 
2. Into Star Trek, then join Tom and John Champion, who is on a 15-year mission to do a podcast on every episode of Star Trek, television, movie, and animated show on the podcast MissionLogPodcast.com. In Part 1, from TOS up to the start of TNG. In Part 2, from TNG to today. 
3. This month on the Compliance Life, I visit with Susan Divers, Director of Thought Leadership at LRN. In Part 1, academic life and early professional career. In Part 2, she moves to the corporate world. 
4. Why should you attend Compliance Week 2022? Find out on this episode of From the Editor’s Desk. Listeners get a $200 discount to CW 2022 with the code Fox200. More here. 
5. Join Tom and Jay at ECI Impact 2022. Listeners to this podcast can save 20% off registration
6. by entering discount code: TOM20 at checkout.
7. Welcome back, Sam Rubenfeld.

Tom Fox is the Voice of Compliance and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

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 Stories

1. The Slap Seen ‘Round the World and Compliance. Tom in FCPA Compliance and Ethics Blog.
2. Will CCOs have to certify compliance? Text of Kenneth Polite speech. Tom and Matt in Compliance into the Weeds. Matt in Radical Compliance.
3. Coal exec indicted under the FCPA. Harry Cassin in the FCPA Blog.
4. Good bribes. Dick Cassin in the FCPA Blog.
5. Why controls are key to compliance. Chris Audet in CCI.
6. MarshMac UK sub garners Declination with Disgorgement. Dylan Tokar in WSJ Risk & Compliance Journal.
7. ZTE whistleblower feared for his life. Ashley Yablon in CCI.
8. Whistleblowing keys. Jan Stampers In Risk and Compliance Matters.
9. Fine line between compliance and evasion of OFAC sanctions. Mike Volkov in Corruption Crime and Compliance.
10. ISSB delivers sustainability guidelines. IFRS Press Release.

Podcasts and More

1. What is the intersection of Sports and Ethics? Each year, Jason Meyer holds Ethics Madness, a discussion of this intersection done during March Madness. This year, Jason engaged Tom for Ethics Madness in the podcast format. It was cross-posted on Jason’s site Eight Mindsets, which he co-hosts with Nicole Rose and on Tom’s site, Greetings and Felicitations.
2. Tom has a two part series with Aly McDevitt on her recent Ransomware case study, on Greetings and Felicitations, Part 1 and Part 2.
3. Why should you attend Compliance Week 2022? Find out on this episode of From the Editor’s Desk. Listeners get a $200 discount to CW 2022 with the code Fox200. More here.
4. Tom visits with longtime MS 150 rider Alan Peterson on The Hill Country Podcast. Donate to the fight against MS here.
5. Why should compliance lead corporate ESG? Kristy Grant-Hart explains on the ESG Compliance Podcast.

Tom Fox is the Voice of Compliance and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

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Stories

1.     SEC comes out with climate change regs. Andrew Ross Sorkin in NYTimes Dealbook. Matt Kelly in Radical Compliance. Tom and Matt in Compliance into the Weeds.

2.     SFO spanked again. Andrew Crowley in MLex. 

3.     Getting rid of old data critical. Debevoise lawyers in Compliance and Enforcement. 

4.     The ‘S’ in ESG. Mike Volkov in Corruption Crime and Compliance. 

5.     FINRA and CCO liability. Matt Kelly in Radical Compliance. 

6.     IDB debars construction company. Harry Cassin in the FCPA Blog. 

7.     First ZTE monitorship ends. Jaclyn Jaeger in Compliance Week (sub req’d)

8.     DOJ raises stakes. Todd Fishman, Noah Brumfield, Eun Woo Jhang and Elaine Johnston in CCI. 

9.     Top 6 ESG issues for 2022. Giles Newman in Risk and Compliance Matters. 

10.  A Privacy Shield replacement on the horizon? Neil Hodge in Compliance Week. (sub req’d) 

Podcasts and More

11.  In March on The Compliance Life, I visit with Audrey Harris, Managing Director at AMI, formerly CCO at BHP. In Part 1, she discussed her academic background and early professional career. In Episode 2, Audrey moved to the CCO chair at BHP. In Episode 3, she moved back to private practice. In Episode 4, she moves to AMI.

12.  Tom has a two part series with Aly McDevitt on her recent Ransomware case study, on Greetings and Felicitations,  Part 1 and Part 2.

13.  Why should you attend Compliance Week 2022? Find out on this episode of From the Editor’s Desk. Listeners get a $200 discount to CW 2022 with the code Fox200. More here. 

14.  Tom visits with Pop Hair Art Salon founder, Michele Van Fossen on The Hill Country Podcast.

15.  An undergrad degree focusing on ESG? Jules Oringel explains on the ESG Compliance Podcast.

Tom Fox is the Voice of Compliance and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

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Stories

1.     Is ESG in crisis? Lawrence Heim in practicalESG.

2.     Compliance-The Single. Matt Kelly in Radical Compliance.

3.     Corporate investigations and waiver of privilege. Debevoise lawyers in Compliance and Enforcement. 

4.     Fear based compliance. Mike Volkov in Corruption Crime and Compliance. 

5.     A view on corruption from the front lines. Tom and Matt interview Tim Khasinov-Batirov on Compliance into the Weeds. Matt blogs in Radical Compliance. 

6.     Holistic 3rd party management. Mike Volkov, Susanna Cagle and Carol Williams in Risk and Compliance Matters. 

7.     What kind of person resists a bribe? Gary Drevitch in Psychology Today.

8.     Ethisphere announces 2022 WME.  Ethisphere Press Release. Erica Salmon Byrne on the FCPA Compliance Report. 

9.     Are cyber whistleblowers different. Kenji Price, Scott Ferber and Mark Schreiber in CCI.

10.  If you are going to IPO, better ESG first. Bob Conlin in Forbes.com.

Podcasts and More

11.  In March on The Compliance Life, I visit with Audrey Harris, Managing Director at AMI, formerly CCO at BHP. In Part 1, she discusses her academic background and early professional career. In Episode 2, Audrey moves to the CCO chair at BHP. In Episode 3, she moves back to private practice. 

12.  Tom and Megan Dougherty are back with 2 more episodes of the MCU series. Guardians of the Galaxy Part 1 and Part 2.

13.  Taxman: On the Intersection of Tax and Compliance. A 5-part series with Tracy Howell. Part 1-why compliance needs to talk to tax. Part 2-transfer pricing. Part 3-why tax needs a seat at the table. Part 4-tax and supply chain. Part 5-tax and ESG.

14.  Tom visits with Hill Country Joanne Easley on The Hill Country Podcast.

Tom Fox is the Voice of Compliance and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

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Stories

1. Should lawyers represent all stakeholders before the SEC? Matt Kelly in Radical Compliance. Tom and Matt in Compliance into the Weeds. 
2. Lessons learned from a corrupt Olympics: Andy Spalding and Danny Hales in the FCPA Blog.
3. How does a corporate culture become corrupt? Tom Bussen and Nitish Singh in CCI.
4. Corruption in the Russian military. Matthew Stephenson in GAB. 
5. MTS agrees to extend monitorship for one year. Dylan Tokar in WSJ Risk and Compliance Journal. 
6. Why is data minimization so critical? Debevoise lawyers in Compliance and Enforcement. 
7. Elon Musk wants out of his Consent Decree with the SEC. Dean Seal in Law360 (sub req’d)
8. A stark warning on corporate cooperation. Wachtel Lipton lawyers in Harvard Law School Forum on Corporate Governance.  
9. Mike Volkov on the force multiplier of ethics and sustainability. Crime Corruption and Compliance. 
10. NFTs and the SEC. Francine McKenna in The Dig (sub req’d) 

Podcasts and More

1. In March on The Compliance Life, I visited with Audrey Harris, Managing Director at AMI, formerly CCO at BHP. In Part 1, she discusses her academic background and early professional career. In Episode 2, Audrey moves to the CCO chair at BHP.
2. Tom and Megan Dougherty are back with 2 more episodes of the MCU series. The Winter Soldier and Guardians of the Galaxy Part 1.  
3. David Simon returns for another session of his journey through the Oxford MBA Program on A Yank at Oxford. 
4. Tom visits with Hill Country lawyer Craig Wolcott on The Hill Country Podcast.
5. Highlights from the ABA White Collar Conference. 

Tom Fox is the Voice of Compliance and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com. 

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Stories

1. What Russia invasion means for companies and compliance. Tom with a series in the FCPA Compliance and Ethics Blog. Matt Kelly in Radical Compliance.
2. Dick Cassin says sanctions may lead to more corruption in the FCPA Blog.
3. Jaclyn Jaeger looks at supply chain disruption and issues in Compliance Week (sub req’d)
4. Matthew Murray asks if Putin invaded Ukraine to advance corruption, in GAB.
5. Chasing oligarchs’ money, from the Washington Post.
6. The Swiss approach to Ukraine crisis. Mark Pieth in Risk and Compliance Europe.
7. Mike Volkov focuses on new and evolving sanctions, in Corruption Crime and Compliance.
8. Economic nationalism and corporate governance. Martin Geller, in Harvard Law School Forum on Corporate Governance. 
9. Illicit finance and High-value art. Sullivan & Cromwell lawyers in Compliance and Enforcement.
10. The invasion and cybersecurity. Jonathan Armstrong in Cordery Compliance.

Podcasts and More

1. In March on The Compliance Life, I visit with Audrey Harris, Managing Director at AMI, formerly CCO at BHP. In Part 1, she discusses her academic background and early professional career.
2. On the FCPA Compliance Report, Tom has a 2-part series with Trade Compliance guru Matt Silverman on the full extent of possible Russia sanctions (Part 1) and the corporate response you need to make (Part 2).
3. Tom and Loren Steffy look energy issues and fallout from the Russian invasion in Greetings and Felicitations.
4. Tom and Matt Kelly take a deep dive into the compliance weeds about the Russian invasion on Compliance into the Weeds.
5. Silvia Surman devotes the entire week to Russian trade sanctions and economic issues in The Compliance Kitchen.
6. Tom celebrates Texas Independence Day and the anniversary of the Alamo in a podcast with Don Frazier, Executive Director of the Texas Institute at Schreiner University on The Hill Country Podcast.

Tom Fox is the Voice of Compliance and can be reached at tfox@tfoxlaw.com. Kristy Grant-Hart is Compliance Kristy and can be reached at kgranthart@sparkcompliance.com.

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Stories

1. What Russia invasion could mean for corporate governance. Michael Peregrine in Forbes.com. What do sanctions mean for US companies? Jaclyn Jaeger in Compliance Week (sub req'd)
2. Why is subculture audits so critical? Vera Cherepanova explains in the FCPA Blog.
3. KT Corp. settles FCPA enforcement action. Tom (FCPA Compliance and Ethics Blog) and Mike Volkov (Corruption Crime and Compliance) both have 3-part series. Matt Kelly's take in Radical Compliance. Tom and Matt in Compliance into the Weeds.
4. National Cryptocurrency Enforcement Team and what it means. Kathleen McDermott and Mark Krotoski in CCI. David Smagalla in WSJ Risk and Compliance Journal. 
5. How Credit Suisse facilitated crime, corruption, and dictators. Jessie Drucker and Ben Hubbard in the New York Times. 
6. Why diversity on investigation teams matters. Karin Portlock and Jabari Julien in Compliance and Enforcement. 
7. Could small-cap directors & officers could face ESG liability. Lawrence Heim in practicalESG.
8. Global trends in corporate governance for 2022. Richard Fields, Rusty O'Kelley III, and Laura Sanderson, in Harvard Law School Forum on Corporate Governance.  
9. Roger Ng trial in danger of collapse due to prosecution 'inexcusable error .'Stewart Bishop in Law360. (sub req'd) 
10. Using the FCPA to fight the demand side of bribery. Matthew Stephenson in GAB. 

Podcasts and More

1. In February on The Compliance Life, I visited with Ellen Smith, a former Director of Trade Compliance who recently started her consulting firm. In Part 1, she discussed her academic background and early professional career. In Part 2, Ellen discussed her move in-house. In Part 3, Ellen discusses being a part of the Compliance Dream Team at Weatherford. In Part 4, Ellen moves into the world of consulting. 
2. On the FCPA Compliance Report, Tom began a 2-part series with Trade Compliance guru Matt Silverman on possible Russia sanction (Part 1) and the corporate response (Part 2). Part 2 posts Monday, February 28.
3. CCI releases a new e-book from Mike Volkov, "Compliance Culture Revolution ."Available free from CCI.
4. Gwen Hassan has a special 2-part pod series on Hidden Traffic with Jeff Bond, from the Global Fund to End Modern Slavery, on the impact of climate change on modern slavery. Part 1 and Part 2.
5. Are you a Star Wars fan? How about an uber-Geek? You will love the 5-part series on Science of Star Wars in the Greeting and Felicitations podcast series on the Compliance Podcast Network if you are either or both. In this series, Tom visits astrophysicist Dr. Ben Locwin on the following topics: Episode 1-Traveling in Hyperspace, Episode 2-Fighting with a Light Saber, Episode 3-Mechanical Prosthetics, Episode 4-Cyborgs, and Robots and Episode 5- Death Star. It is a ton of fun, and you will love it. 

Tom Fox is the Voice of Compliance and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.  

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Stories

1. Ericsson is in more FCPA trouble. Mengqi Sun in the WSJ Risk and Compliance Journal. Aaron Nicodemus in Compliance Week. (sub req'd)
2. DD impeding compliance in developing markets? Katya Lysova explores in the FCPA Blog.
3. ESG-no longer a nice to have. Karen Alonardo in Risk and Compliance Matters.  
4. State AGs are waiting. Ashley Taylor and Chris Carlson in CCI.  
5. The latest case on CCO liability. Matt Kelly in Radical Compliance. 
6. Broken windows and compliance enforcement. Anthony O'Reilly in Compliance and Enforcement. 
7. Companies yet again ask the EU for rules around ESG. Lawrence Heim in practicalESG.
8. White-collar enforcement trends in 2021. Jamie Rosenberg in Grand Jury Target.  
9. HP-Autonomy from the auditors' perspective. Francine McKenna in The Dig. 
10. South African courts deny Zuma's attempt to remove the SA corruption prosecutor. Rick Messick in GAB.  

Podcasts and More

1. In February on The Compliance Life, I visited Ellen Smith, a former Director of Trade Compliance who recently started her consulting firm. In Part 1, she discussed her academic background and early professional career. In Part 2, Ellen discussed her move in-house. In Part 3, Ellen discusses being a part of the Compliance Dream Team at Weatherford.
2. Tom and Richard Lummis are in the middle of their annual review of Best Picturing winning movies on 12 O'Clock High, a podcast on business leadership. Part 1 reviews Schindler's List for leadership and ethical lessons. In Part 2, the look at Gladiator.
3. CCI releases a new e-book from Mike Volkov, "Compliance Culture Revolution." Available free from CCI.
4. Tom looks at some innovation in compliance with a 3-part blog post series in the FCPA Compliance and Ethics Blog. Topics include Compliance Ecosystem Governance, Compliance Branding, Building Culture & Compliance Coaching.
5. Are you a Star Wars fan? How about an uber-Geek? You will love the 5-part series appearing next week on the Greeting and Felicitations podcast series on the Compliance Podcast Network if you are either or both. In this series, Tom visits astrophysicist Dr. Ben Locwin on the following topics: Traveling in Hyperspace, Fighting with a Light Saber, Mechanical Prosthetics, Cyborgs and Robots, and the Death Star. It is a ton of fun, and you will love it. Each episode will post at 10 each day next week. Check it out daily. 

Tom Fox is the Voice of Compliance and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.  

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 Stories

1.     Do compliance professionals need a union? Dick Cassin in the FCPA Blog. 

2.     Jailed employees under the FCPA. Bill Jacobsen explores in the FCPA Blog.

3.     New workplace normal for policies and training. Ingrid Freeden in Risk and Compliance Matters.   

4.     New SEO risk management framework.  Alexandra Gillies and Thomas Shipley in the FCPA Blog. 

5.     3 questions from KPMG and Carillion tribunal. Neil Hodge in Compliance Week. (sub req’d)

6.     SFO investigation protocol announced. Mengqi Sun in the WSJ Risk and Compliance Journal.  

7.     Companies yet again ask EU for rules around ESG. Lawrence Heim in practicalESG.

8.     CCOs say self-reporting a hard sell. Evren Esen in CCI. 

9.     What comes next for ABC and the Olympics? Andy Spalding in GAB. 

10.  The Spotify imbroglio. Matt Kelly with a 2-parter in Radical Compliance, Part 1 and Part 2. 

 Podcasts and More

11.  In February on The Compliance Life, I visit with Ellen Smith, a former Director of Trade Compliance who recently started her own consulting firm. In Part 1, she discussed her academic background and early professional career. InPart 2, Ellen moves in-house.

12.  Tom and Richard Lummis begin their annual review of Best Picturing winning movies on 12 O’Clock High, a podcast on business leadership. In Part 1 they review Schindler’s List for leadership and ethical lessons. Upcoming episodes will look at Gladiator, A Man for All Seasons and Platoon. 

13.  CCI releases new e-book from Tom “FCPA 2021 Year in Review”. Available free from CCI.

14.  Trial of the Century-the Enron Trial. This week, Tom premiered a 5-part podcast series on the Enron Trial with Loren Steffy, who covered the trial for the Houston Chronicle. In Part 1, run up to the trial. In Part 2, the trial begins. In Part 3, the star witnesses and key testimony. In Part 4, the Verdict comes in. In Part 5, what did it all mean. It is be available on the Compliance Podcast Network, Megaphone, iTunes, Spotify and all other top podcast platforms. 

15.  In a special 2-part series on the Sunday Book Review, Tom looks at the Notre Dame Deloitte Center for Ethical Leadership’s top books on ethical leadership from 2021. Part 1 and Part 2. 

Tom Fox is the Voice of Compliance and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.  

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Stories

1.     DOJ issues the first Opinion Release of 2022. DOJ website. Tom in FCPA Compliance and Ethics Blog.

2.     Do BODs have unrealistic expectations of compliance? Dick Cassin explores in the FCPA Blog.

3.     KPMG mislead FRC through forged docs. Risk and Compliance Platform Europe. 

4.     LRN releases the 2022 Program Effectiveness Report. Download report here. Matt Kelly in Radical Compliance.

5.     A ‘how-to’ on remediating. The HeadSpin enforcement action. Tom in FCPA Compliance and Ethics Blog. Aaron Nicodemus in Compliance Week. (sub req’d)

6.     Learning to scale up ethically. Hemant Taneja in CCI. 

7.     Why compliance should lead ESG. Carrie Penman in Ethics and Compliance Matters.

8.     The Boardroom agenda in 2022. Deloitte in Harvard Law School Forum on Corporate Governance.

9.     Changes in antitrust enforcement and its impact on compliance. Mike Volkov, Matt Kelly and Tom in Compliance into the Weeds. Mike Volkov with a 3-part blog series in Corruption Crime and Compliance.

10. Unclear values can lead to unethical behavior. Brett Beasley in Center for Ethical Leadership.

Podcasts and More

11. In February on The Compliance Life, I visit Ellen Smith, a former Director of Trade Compliance who recently started her own consulting firm. In Part 1, she discussed her academic background and early professional career.

12. Aly McDevitt with a multipart series in Compliance Week on the end-to-end story of a ransomware attack. Here is more about the series on this month’s edition of From the Editor’s Desk, with Tom and Dave Lefort. A subscription is required but Compliance Week is running a membership special of $199 for the year. Use Promo Code RNSM199. For information and details click here.

13. CCI releases a new e-book from Tom “FCPA 2021 Year in Review”. Available free from CCI.

14. Trial of the Century-the Enron Trial. This week, Tom premiered a 5-part podcast series on the Enron Trial with Loren Steffy, who covered the trial for the Houston Chronicle. In Part 1, the run-up to the trial. In Part 2, the trial begins. In Part 3, the star witnesses and key testimony. In Part 4, the Verdict comes in. In Part 5, what did it all mean? It is available on the Compliance Podcast Network, Megaphone, iTunes, Spotify and all other top podcast platforms.

15. Looking for a quick daily bite of trade compliance? Check out the Compliance Kitchen with Silvia Surman, who gives a short 3-5 minute update on one trade compliance topic each day. On the Compliance Podcast Network.

Tom Fox is the Voice of Compliance and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com. 

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Stories

1.     TI-CPI 2022 Report out. Results not good. TI-CPI Press Release. Rick Messick says make it useful in GAB. Jaclyn Jaeger is disheartened in Compliance Week (sub req’d).

2.     Compliance officer burnout? Dick Cassin explores in the FCPA Blog.

3.     Emphasizing the ‘G’ in ESG. David Simon in LinkedIn.  

4.     Investor demand driving ESG risk and compliance initiatives? Valerie Charles and Tracy Groves in CCI. 

5.     Human Rights Due Diligence. James Reardon and Tomas Navarro look at Switzerland’s new law  in FCPA Blog. Tom considers your corporate Human Rights strategy in a 2-part blog series in the FCPA Compliance and Ethics Blog. 

6.     Monaco Speech and Compliance in 2022. Stephanie Yonekura and Rupinder Garcha  in CCI.  

7.     DOJ announces shift in antitrust policy. DOJ Press Release. Matt Kelly in Radical Compliance.

8.     ESG and M&A in 2022. Wachtel lawyers in Harvard Law School forum on Corporate Governance. 

9.     FTC compliance risk re: cyber and privacy. Debevoise lawyers in Compliance and Enforcement. 

10.  Cultural and ESG to-do list for 2022 for CCO. Mike Volkov in Corruption Crime and Compliance.

Podcasts and More

11.  In January on The Compliance Life, I visited with Valerie Charles, partner at StoneTurn. Val has one of the most interesting journeys in compliance. In Part 1, she discussed her academic background and early professional career. In Part 2, she discussed her move to ComTech. In Part 3, Valerie moved into the consulting world. In the concluding Part 4, Valerie looks down the road for what’s ahead.

12.  The Everything Compliance gang took a deep dive into the Microsoft acquisition of Activision Blizzard in a special episode.  Check out the Shout Outs and Rants. Finally the gang had a special tribute to Meatloaf here. 

13.  CCI releases new e-book from Tom “FCPA 2021 Year in Review”. Available free from CCI.

14.  Trial of the Century-the Enron Trial. This week, Tom premiered a 5-part podcast series on the Enron Trial with Loren Steffy, who covered the trial for the Houston Chronicle. In Part 1, run up to the trial. In Part 2, the trial begins. In Part 3, the star witnesses and key testimony. In Part 4, the Verdict comes in. In Part 5, what did it all mean. It is be available on the Compliance Podcast Network, Megaphone, iTunes, Spotify and all other top podcast platforms. 

15.  Check out 31 Days to a More Effective Compliance Program returns, which runs for the month of January, from January 1 to January 31. Available on the Compliance Podcast Network, Megaphone, iTunes, and all other top podcast platforms. 

Tom Fox is the Voice of Compliance and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.  

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Stories

1. Activision Blizzard was sold to Microsoft. Check out articles on how the NYT happened, the parameters of the deal in the  WSJ, the compliance mess in Bloomberg, and legal issues in  Reuters.
2. Did the pandemic undo corruption risk models? Dick Cassin explores in the FCPA Blog.
3. KPMG spanked yet again in the UK. Jaclyn Jaeger in Compliance Week (sub req’d).
4. Person of the Year in Compliance? ESG. Mike Volkov in Corruption Crime and Compliance.  
5. Is Abby Normal next? Banks using behavioral science. Vera Cherepanova in FCPA Blog.
6. Businesses and Strategy on Countering Corruption. Sara Paul, Andrea Gordon, and Dane Sowers in the CCI.  
7. Climate change compliance. Jeff Kaplan in Conflicts of Interest Blog.
8. Trust has its moment. Stewart Levine in Forbes.com. 
9. Institutional investors on ESG voting. Lawrence Heim in PracticalESG.
10. The virtual Board Room. Jeffrey Karpf and Fernando Martinez in Compliance and Enforcement. 

Podcasts and More

1. Tom and Matt Kelly conclude a 2-part podcast series on issues they are following in 2022. On Compliance into the Weeds, Part 1 and Part 2. 
2. In January on The Compliance Life, I visited Valerie Charles, a partner at StoneTurn. Val has one of the most interesting journeys in compliance. In Part 1, she discussed her academic background and early professional career. In Part 2, she discusses her move to ComTech. In Part 3, Valerie moves into the consulting world. 
3. What is the intersection of Joel Coen’s Macbeth and organizational issues in compliance? Tom explores in a 4-part blog series on the FCPA Compliance and Ethics Blog. 
4. CCI releases a new e-book from Tom, “FCPA 2021 Year in Review”. Available free from CCI.
5. Trial of the Century-the Enron Trial. On Monday, January 4, Tom premiers a 5-part podcast series on the Enron Trial with Loren Steffy, who covered the trial for the Houston Chronicle. You can check out the preview here. It will be available on the Compliance Podcast Network, Megaphone, iTunes, and other top podcast platforms. 
6. Check out 31 Days to a More Effective Compliance Program returns, which runs from January 1 to January 31. Available on the Compliance Podcast Network, Megaphone, iTunes, and other top podcast platforms. 

Tom Fox is the Voice of Compliance and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.  

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Stories

1.     Carnival and Princess Cruise Lines violated DPA yet again. Matt Kelly in Radical Compliance. DOJ Press Release. 

2.     Prioritizing items from the Strategy on Countering Corruption. Worth McMurray in the FCPA Blog.

3.     DOJ to look at short sellers. Jaclyn Jaeger in Compliance Week (sub req’d).

4.     Proposed framework for CCO liability analysis. Mengqi Sun in WSJ Risk & Compliance Journal.   

5.     Manipulation on timing of FCPA enforcement action? Matthew Stephenson debunks a new article in GAB.

6.     ComTech comes to financial institution compliance. Christian Wunderly in the FCPA Blog.  

7.     Phil Tetlock and Superforecasting come to risk management. Jim DeLoach in CCI.

8.     Ethics and FCPA predictions for 2022. Mike Volkov with a double dose of Carnac the Magnificent. Ethics here. FCPA here. 

9.     Banks develop climate risk consortium. Aaron Nicodemus in Compliance Week. (sub req’d)

10.  Liability of local representatives under GDPR. Kelly Hagedorn and Matthew Worby in Compliance and Enforcement. 

Podcasts 

11.  Tom and Matt Kelly conclude a 2-part podcast series on issues they are following in 2022.  On Compliance into the Weeds, Part 1 and Part 2. 

12.  In January on The Compliance Life, I visit with Valerie Charles, partner at StoneTurn. Val has one of the most interesting journeys in compliance. In Part 1, she discussed her academic background and early professional career. In Part 2, she discusses her move to ComTech.

13.  The Compliance Podcast Network welcomes Professor Karen Woody and her new podcast, Classroom Insider. In this most unique pod, Karen interviews some of her student to tell the history of insider trading. In Episode 4, Colin Manchester discusses the evolution of the disclose or abstain rule. 

14.  Mikhail Reider-Gordon returns in Lies, Spies & Corporate Crimes: The Wirecard Saga, with Season 2, Episode 3 Shell Games.

15.  Check out 31 Days to a More Effective Compliance Program returns, which runs for the month of January, from January 1 to January 31. Available on the Compliance Podcast Network, Megaphone, iTunes, and all other top podcast platforms. 

Tom Fox is the Voice of Compliance and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.  

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Stories

1. Elizabeth Holmes was found guilty. The Verdict (WSJ), What does it mean for Silicon Valley? (NYT), What about the victims? (Bloomberg), Will Holmes serve any time? (Fortune)
2. 2022 to be a critical year in ESG reporting. Mike Munro and Guido Van Druen in a CCI.
3. Top D&O stories from 2021. Kevin LaCroix in D&O Diary. 
4. Airbnb spanked over Cuba. Mengqi Sun in WSJ Risk & Compliance Journal.  
5. MorganStanley fined $60MM over a data breach? Aaron Nicodemus in Compliance Week (sub req’d).
6. China’s new ABC guidelines. Andrew Reeves and Rongxin Huang in the FCPA Blog.  
7. The ‘G’ in ESG. Lawrence Heim in PracticalESG. 
8. Key areas for BOD oversight in 2022. Holly Gregory in Harvard Law School Forum on Corporate Governance. 
9. Audrey Harris joins AMI.
10. Broadcat sold. Broadcat Press Release.

Podcasts 

1. Want some fun? Join Tom and One Stone Creative co-founder Megan Dougherty to explore the full MCU. In their most recent posting, check out Episode 3, Iron Man.  
2. In January on The Compliance Life, I visited Valerie Charles, a partner at StoneTurn. Val has one of the most interesting journeys in compliance. In Part 1, she discusses her academic background and early professional career. 
3. The Compliance Podcast Network welcomes Professor Karen Woody and her new podcast, Classroom Insider. Karen interviews some of her students to tell insider trading history in this unique pod. Check out Episode 1, where they discuss the history of insider trading. In  Episode 2, the disclosure or abstain rule. Episode 3 will take up narrowing the scope of the disclose or abstain rule. 
4. Mikhail Reider-Gordon returns in Lies, Spies & Corporate Crimes: The Wirecard Saga, with Season 2, Episode 2 The Vagabond Rapping At Your Door.
5. Check out 31 Days to a More Effective Compliance Program returns, which runs from January 1 to January 31. Available on the Compliance Podcast Network, Megaphone, iTunes, and other top podcast platforms. 

Tom Fox is the Voice of Compliance and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.  

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Stories

1.     We lost two greats this week, one in sports and gaming and one from politics. John Madden and Harry Reid. Tom and Mike reflect. 

2.     No poaching in the Defense Industry. Jay DeVecchio and Lisa Phelan in a MoFo Client Alert.

3.     What is a ‘Bump Up’ provision in an E&O policy. Barry Buchman and Michael Scanlon in D&O Diary. 

4.     Reflections on 2021 in Compliance. Lisa Schor Babin in CCI.   

5.     Should lawyers file SARs? Jason Morris in Compliance Week (sub req’d).

6.     Fraud in the taxi business? (This is my shocked face.) Matt Kelly in Radical Compliance.  

7.     Making ESG 2nd nature in asset allocation. Sara Rosner and Jess Gaspar in Harvard Law School Forum on Corporate Governance.  

8.     An app for ESG investment. Lawrence Heim in PracticalESG. 

9.     Thoughts for the Board from 2021. Marty Lipton in Harvard Law School Forum on Corporate Governance. 

10.  Tom and Mike look back at 2021 in compliance. Tom in FCPA Compliance and Ethics Blog. 

 Podcasts 

11.  Want some fun? Join Tom and One Stone Creative co-founder Megan Dougherty for an exploration of the full MCU. In their most recent posting, check out Episode 3, Iron Man.  

12.  In December on The Compliance Life, I visit with Matt Silverman, Director of Trade Compliance at VIAVI. Matt is the first Trade Compliance Director I have hosted on TCL. In Part 1, Matt details his academic career and early professional life. In Part 2, Matt moves into trade compliance. In Part 3, Matt moves into the Director’s chair. In Episode 4, Matt looks down the road for trade compliance. 

13.  The Compliance Podcast Network welcomes Professor Karen Woody and her new podcast, Classroom Insider. In this most unique pod, Karen interviews some of her student to tell the history of insider trading. Check out Episode 1 where they discuss the history of insider trading. In  Episode 2, the disclosure or abstain rule. On Episode 3, they will take up narrowing the scope of the disclose or abstain rule. 

14.  On EMBARGOED!, Brian and Tim run through a Lightning Round-style discussion of the top economic sanctions and export controls stories of 2021.

15.  Looking to enhance your compliance program? Check out 31 Days to a More Effective Compliance Program returns, which runs for the month of January, from January 1 to January 31. Available on the Compliance Podcast Network, Megaphone, iTunes, and all other top podcast platforms. 

Tom Fox is the Voice of Compliance and can be reached at tfox@tfoxlaw.com. Mike Volkov is the founder of the Volkov Law Group and can be reached at mvolkov@volkovlaw.com.

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Stories

1.     JPMorgan tagged for $200MM for failures in electronic record keeping. Tom in the FCPA Compliance and Ethics Blog. Matt Kelly in Radical Compliance. Tom and Matt in Compliance into the Weeds.  

2.     Nikola fined $125MM for former CEO’s imprudent tweets. Tom in the FCPA Compliance and Ethics Blog. Matt Kelly in Radical Compliance. Jaclyn Jaeger in Compliance Week. (sub req’d).

3.     SOX 20 years later. Michael Peregrine looks back at the upcoming 20th anniversary of Sarbanes-Oxley in the Harvard Law School Forum on Corporate Governance. 

4.     France updating its ABC regime. Frederick Davis in GAB.   

5.     Another Unaoil defendant appeals conviction based upon SFO misconduct. Dylan Tokar in WSJ Risk and Compliance Journal.

6.     What happened to FCPA Compliance in 2021? Dick Cassin explores in the FCPA Blog.  

7.     The story of internal controls and Netflix? Jonathan Marks in BakerTilly.  

8.     Vietnam imposes 14-year sentence for wildlife trafficking. Jon Rusch in Dipping Through Geometries.

9.     Lawyers and ESG. Lawrence Heim in PracticalESG. 

10.  Prioritizing your policy updates. David Banks in Risk and Compliance Matters. 

Podcasts 

11.  Want some fun over the holidays? Join Tom and One Stone Creative co-founder Megan Dougherty for an exploration of the full MCU. In Episode 1, Captain America. In Episode 2, Captain Marvel. Next week in Episode 3, Iron Man.  

12.  In December on The Compliance Life, I visit with Matt Silverman, Director of Trade Compliance at VIAVI. Matt is the first Trade Compliance Director I have hosted on TCL. In Part 1, Matt details his academic career and early professional life. In Part 2, Matt moves into trade compliance. In Part 3, Matt moves into the Director’s chair. 

13.  The Compliance Podcast Network welcomes Professor Karen Woody and her new podcast, Classroom Insider. In this most unique pod, Karen interviews some of her student to tell the history of insider trading. Check out Episode 1 where they discuss the history of insider trading. In  Episode 2, the disclosure or abstain rule. On Episode 3, (premiering Dec. 31), they will take up narrowing the scope of the disclose or abstain rule. 

14.  The Shout Outs and Rants of Everything Compliance gets its own iTunes show. Everything Compliance has its first-year end review episode. 

15.  On Hidden Traffic, Gwen Hassan hosts Andrew Wallis, head of Unseen UK.

Tom Fox is the Voice of Compliance and can be reached at tfox@tfoxlaw.com. Karen Woody is Professor of Law at Washington and Lee. She can be reached at kwoody@wlu.edu. 

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Stories

1.     Why subcontractors continue to cause FCPA grief. Dick Cassin the FCPA Blog.  

2.     More on the Strategy on Countering Corruption. Tom takes a deep dive in a 5-part blog post series in the FCPA Compliance and Ethics Blog. Mike Volkov in Corruption Crime and Compliance. 

3.     Neil Hodge says non-US companies should beware in Compliance Week. (sub req’d).

4.     What next Brazilian President must do re: ABC.  Marcelo Cerqueira in GAB.   

5.     Yet another son of ex-Panamanian President pleads guilty. Rick Vanderford in WSJ Risk and Compliance Journal.

6.     NatWest took bags of cash for deposits. $341MM in fines later.  Dylan Tokar in WSJ Risk and Compliance Journal. 

7.     How CCOs use guidance from DOJ? Matt Kelly in Radical Compliance.  

8.     Should you fall on your sword? Calvin London in CCI. 

9.     Sustainability not universal. Lawrence Heim in PracticalESG. 

10.  McDonalds claws back CEO severance. Heather Haddon in WSJ.

 Podcasts and Events

11.  Are you exasperated? Then check, F*ing Argentina. In this podcast series co-hosts Tom Fox and Gregg Greenberg, author of F*ing Argentina explore the current American psyche of being overworked, over leveraged, overtired and overwhelmed. Find out about modern America’s exasperation with well…exasperation. In our final episode, we wrap up what we learned from the series. 

12.  In November on The Compliance Life, I visit with Matt Silverman, Director of Trade Compliance at VIAVI. Matt is the first Trade Compliance Director I have hosted on TCL. In Part 1, Matt details his academic career and early professional life. In Part 2, Matt moves into trade compliance. 

13.  The Compliance Podcast Network welcomes Professor Karen Woody and her new podcast, Classroom Insider. In this most unique pod, Karen interviews some of her student to tell the history of insider trading. Check out Episode 2, the disclosure or abstain rule.

14.  The Shout Outs and Rants of Everything Compliance gets its own iTunes show. Everything Compliance has its first-year end review episode. 

15.  On Hidden Traffic, Gwen Hassan hosts Andrew Wallis, head of Unseen UK.

Tom Fox is the Voice of Compliance and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com. 

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Stories

1.     New Biden Administration anti-corruption strategy revealed. Matt Kelly in Radical Compliance.  

2.     Mike Volkov asks where are the FCPA enforcement actions? In Corruption Crime and Compliance.

3.     Global ESG efforts and compliance. Mike Munro in explores in the FCPA Blog.

4.     More on the OECD recommendations.  Jessica Tillipman in the FCPA Blog.   

5.     DOL proposal may change ESG game. Melissa Khan in Harvard Law School Forum on Corporate Governance.

6.     Nurturing ethical culture. Matt Kelly in Risk and Compliance Matters. 

7.     Is Italy a safe haven for bribe payors? Rick Messick asks in GAB.  

8.     How to avoid a dystopian office culture. Rob Shavell in CCI. 

9.     Top ethics and compliance failures in 2021. Jaclyn Jaeger in Compliance Week (sub req’d).

10.  When is a potential fine a threat? Keith Paul Bishop in California Corporate and Securities Law. 

Podcasts and Events

11.  The recent announcement by DAG Monaco on the refocus of the DOJ’s use of monitors has caused much consternation. To analyze, Affiliated Monitors sponsored a 5-part podcast series this week Not Your Father’s Monitor. In this Episode 1, Bethany Hengsbach considers this change in monitorships from the white-collar enforcement and defense perspective. In Episode 2, Mikhail Reider Gordon looks at global aspects of the new DOJ monitor’s focus. In Episode 3, Cristina Revelo discusses how E&C assessments help drive more compliant companies. In Episode 4, Jesse Caplan brings his views on the intersection of the twin topics of antitrust and healthcare compliance. In Episode 5, Vin DiCianni looks at where monitors and monitorships are going in 2022 and beyond.

12.  Are you exasperated? Then check, F*ing Argentina. In this podcast series co-hosts Tom Fox and Gregg Greenberg, author of F*ing Argentina explore the current American psyche of being overworked, over leveraged, overtired and overwhelmed. Find out about modern America’s exasperation with well…exasperation. In our final episode, we wrap up what we learned from the series. 

13.  In November on The Compliance Life, I visit with Matt Silverman, Director of Trade Compliance at VIAVI. Matt is the first Trade Compliance Director I have hosted on TCL. In Part 1, Matt details his academic career and early professional life. 

14.  The Compliance Podcast Network welcomes Professor Karen Woody and her new podcast, Once Upon a Trading Law: The History of Insider Trading. In this most unique pod, Karen interviews some of her student to tell the history of insider trading. Check out Episode 1, which looks at the beginnings of insider trading. 

15.  Join Tom, Mike Volkov, Carrie Penman, Dr. Pat Harned and Skip Lowney (an all-star panel if there ever was one) for the ECI webinar on the intersection of compliance and E&C programs. Wednesday, December 15, from 2-3:30 ET. Registration and information here. 

Tom Fox is the Voice of Compliance and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com. 

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Stories

1.     Preparing for dawn raid in the era of hybrid work? Andrew Reeves and Annie Birch in FCPA Blog. 

2.     When you fight corruption, it fights back. Rick Messick in GAB.

3.     Why does Walmart want to keep an exec quiet about its compliance program? Dick Cassin explores in the FCPA Blog.

4.     Board effectiveness survey.  Paul DiNicola and Leah Malone in the Harvard Law School Forum on Corporate Governance.   

5.     New OECD ABC suggestions. Nicola Bonucci and Nat Edmonds in the FCPA Blog.

6.     Graybeards and Youngbloods working together. Carrie Root in CCI. 

7.     Trust in companies ‘shockingly’ low? Lawrence Heim in PracticalESG.  

8.     Are senior level compliance positions becoming harder to find and fill? Matt Kelly explores in Radical Compliance. 

9.     Role of PwC in Tesla/JPMorgan dispute. Francine McKenna explores in The Dig (sub req’d).

10.  How will tech change the work landscape in 2022? Check out this pod with Mrs. Monitor (AKA Rebecca Rosen) on Freshbrewed Tech. 

Podcasts and Events

11.  How can you show ROI from your internal investment in compliance? Nick and Gio Gallo join Tom Fox in the most unusual pod series, Mining the Gold in Compliance. Part 1 - ROI on Compliance. Purchase Decisions. Part 2 - Extending Compliance Value Across an Organization. Part 3 – Compliance and ESG Investments. Part 4 – Finance and Investing Models for Compliance. Part 5 - Investment Strategies for the Compliance Professional.

12.  Are you exasperated? Then check, F*ing Argentina. In this podcast series co-hosts Tom Fox and Gregg Greenberg, author of F*ing Argentina explore the current American psyche of being overworked, over leveraged, overtired and overwhelmed. Find out about modern America’s exasperation with well…exasperation. In Episode 11, a birthday party battle through text messages. 

13.  In November on The Compliance Life, I visited with Wendy Badger, CCO at Tennant. In Part 1, she detailed her academic career and early professional life. In Part 2, changing ladders to advance your career. In Part 3, Wendy moved into the CCO Chair. In Part 4, Wendy talked about having courage in your career choices and compliance into the future. Next week, we begin the December series with Matt Silverman, Director of Trade Compliance at VIAVI. 

14.  The Compliance Podcast Network welcomes Professor Karen Woody and her new podcast, Once Upon a Trading Law: The History of Insider Trading. In this most unique pod, Karen interviews some of her student to tell the history of insider trading. Check out Episode 1, which looks at the beginnings of insider trading. 

15.  Join Tom, Mike Volkov, Carrie Penman, Dr. Pat Harned and Skip Lowney (an all-star panel if there ever was one) for the ECI webinar on the intersection of compliance and E&C programs. Wednesday, December 15, from 2-3:30 ET. Registration and information here. 

Tom Fox is the Voice of Compliance and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com. 

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Stories

1. Is Compliance the happiest profession? Amii Bernard-Bahn explores in Compliance Week (Sub Req’d)
2. Report on SEC Enforcement Activity: Public Companies and Subsidiaries for 2021. Tom Gorman in SEC Actions.
3. Supply chain and compliance. Mike Volkov in Corruption Crime and Compliance. Dick Cassin in the FCPA Blog.
4. What does ESG mean for the SEC? Commissioner Crenshaw remarks to the Pepsico-PWE Conference in the Harvard Law School Forum on Corporate Governance. 
5. Corruption as psychic revenge. Richard Bistrong in the FCPA Blog.
6. Mitigating cyber risks. Debevoise Plimpton lawyers in Compliance and Enforcement.
7. COP26 wrap up. What are the lessons for compliance? Lawrence Heim in PracticalESG.
8. SEC broke all whistleblower awards in FY 2021. Aaron Nicodemus in Compliance Week (Sub Req’d) Carrie Penman says it's a wakeup call for companies in Ethics and Compliance Matters.
9. Diversity at the top. Jim Deloach in CCI.
10. How did Classical Athenians define corruption? Kellam Conover in GAB.

Podcasts and Events

1. Have you or a loved one been impacted by Lyme Disease? This week I have run a 5-part series on this most misunderstood malady with Dr. Ben Locwin and Scott Endicott. In Part 1 we looked at Origins. In Part 2 we considered the Diagnosis Dilemma. In Part 3 we reviewed Treatment and Innovation. In Part 4, we discussed Prevention and Immunity. In Part 5, we looked ahead for where this disease detection, prevention and treatment might be heading.
2. Are you exasperated? Then check, F*ing Argentina. In this podcast series co-hosts Tom Fox and Gregg Greenberg, author of F*ing Argentina explore the current American psyche of being overworked, over leveraged, overtired and overwhelmed. Find out about modern America’s exasperation with well…exasperation. In Episode 10, a trip on the New Jersey Turnpike.
3. This month on The Compliance Life, I visit with Wendy Badger, CCO at Tennant. In Part 1, she details her academic career and early professional life. In Part 2, changing ladders to advance your career. In Part 3, Wendy moves into the CCO Chair.
4. How does a Compliance Bible become a best-seller? Check out Tom’s appearance on the C-Suite Network’s Best Seller TV to find out. Purchase The Compliance Handbook, 2nd edition here.

Tom Fox is the Voice of Compliance and can be reached at tfox@tfoxlaw.com. Karen Woody is Associate Professor at Washington and Lee University School of Law and can be reached at kwoody@wlu.edu.

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Stories

1.     Will corruption forestall climate change? Monica Guy in the FCPA Blog. 

2.     Driving culture through sustainability. Linda Luty in Risk and Compliance Matters. 

3.     Stope little problems from becoming big ones. Mike Volkov in Corruption Crime and Compliance. 

4.     More on ‘effective compliance’? Michael Julian in the FCPA Blog. 

5.     What is ‘success’ in ABC compliance? Matthew Stephenson in GAB.  

6.     Revisiting your whistleblower program. Debevoise Plimpton lawyers in Compliance and Enforcement. 

7.     The role of BOD in ESG.  Jurgita Ashley and Randy Vai Morrison in Harvard Law Forum on Corporate Governance. 

8.     Disclosing cybersecurity issues. Matt Kelly in Radical Compliance. 

9.     Mashreqbank fined $100MM by DFS. Jaclyn Jaeger in Compliance Week. (sub req’d) 

10.  Tailoring a Design Thinking program that fits for you. Carsten Tams on LinkedIn.

Podcasts and Events

11.  How can a 1st responder deal with PTSD? One way is through poetry. Check out my interview with Detective Ed Gillespie, Policeman Poet of Baltimore in a very special episode of Greetings and Felicitations. 

12.  Are you exasperated? Then check, F*ing Argentina. In this podcast series co-hosts Tom Fox and Gregg Greenberg, author of F*ing Argentina explore the current American psyche of being overworked, over leveraged, overtired and overwhelmed. Find out about modern America’s exasperation with well…exasperation. In Episode 9, a lost purse and panic in Shubert Alley.

13.  This month on The Compliance Life, I visit with Wendy Badger, CCO at Tennant. In Part 1, she details her academic career and early professional life. In Part 2, changing ladders to advance your career. 

14.  In a sponsored podcast series, I visit with 6clicks on their innovative GRC solutions. In Episode 1, Joe Schorr on the hub and spoke approach. In Episode 2, Andrew Robinson on AI and ML in GRC. In Episode 3, Stephen Walter on building a content library. In Episode 4, Heather Buker on producing audit ready reports. In Episode 5, Ant Stevens on what’s next for 6clicks.  

15.  Next week, I am running a 5-part series on Understanding Lyme Disease. The episodes will post daily at 10AM. You can check out all episodes on the Greetings and Felicitations podcast. Episode 1: Origins and Evolution; Episode 2: The Diagnosis Dilemma; Episode 3: Treatment and Innovation; Episode 4: Protection and Immunity; Episode 5: Looking Ahead

16.  How does a Compliance Bible become a best-seller? Check out Tom’s appearance on the C-Suite Network’s Best Seller TV to find out.  Purchase The Compliance Handbook, 2nd edition here. 

Tom Fox is the Voice of Compliance and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

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Stories

1.     DAG Lisa Monaco announces changes to white collar enforcement.  Matt Kelly in Radical Compliance. Tom in the FCPA Compliance and Ethics Blog. Tom and Matt Kelly in Compliance into the Weeds. 

2.     Why health should be a part of ESG. John Godfrey in CCI. 

3.     Keeping track of 3rd party risks. Mike Volkov in Corruption Crime and Compliance. 

4.     What is ‘effective compliance’? Dick Cassin explores in the FCPA Blog. 

5.     ABC Compliance: Good Governance issue. Joe Grady in GAB.  

6.     Did a dysfunctional culture on the Rush movie set lead to a death? Sonia Rao in the Washington Post. 

7.     Unclear values can lead to ethical lapses. Brett Beasley in ND Center for Ethical Leadership. 

8.     New ABC law coming? Matt Kelly in Radical Compliance.

9.     Simplifying data governance. Alym Rayani in CCI. 

10.  Gensler says crypto needs oversight. Mengqi Sun in the WSJ Risk and Compliance Journal. 

Podcasts and Events

11.  Compliance Week 2022 opens for registration. Sign up here. 

12.  Welcome to the newest addition to the Compliance Podcast Network, Hidden Traffic, hosted by Gwen Hassan. In this podcast, host Gwen Hassan helps compliance professionals assess human trafficking risk and leverage their organization’s resources to root out this tragic problem. Check out Episode 1, where Gwen visits with Matt Friedman.

13.  Are you exasperated? Then check, F*ing Argentina. In this podcast series co-hosts Tom Fox and Gregg Greenberg, author of F*ing Argentina explore the current American psyche of being overworked, over leveraged, overtired and overwhelmed. Find out about modern America’s exasperation with well…exasperation. In Episode 8, an exasperating meeting with a dog and its owner on the streets of NYC.

14.  This month on The Compliance Life, I visit with Wendy Badger, CCO at Tennant. In Part 1, she details her academic career and early professional life. 

15.  How does a Compliance Bible become a best-seller? Check out Tom’s appearance on the C-Suite Network’s Best Seller TV to find out.  Purchase The Compliance Handbook, 2nd edition here. 

Tom Fox is the Voice of Compliance and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

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 Stories

1.     More on Credit Suisse and Tuna bonds.  Mike Volkov in Corruption Crime and Compliance. Tom in the FCPA Compliance and Ethics Blog. Tom and Matt Kelly in Compliance into the Weeds. 

2.     What is FARA. Jamie Rosenberg starts a 2-part series in Grand Jury Target.

3.     Digital innovation and continuous improvement. Jim Deloach in CCI. 

4.     Banks and FinTech.  Davis Polk lawyers in Compliance and Enforcement Blog. 

5.     What will happen to exec clawbacks? Aaron Nicodemus in Compliance Week. (sub req’d) 

6.     SARs and appalling inaction. Martin Kenney in the FCPA Blog.  

7.     Board readiness for shareholder activism. Paul DeNicola in Harvard Law School Forum on Corporate Governance.

8.     Scrutiny of the Arts and Antiquities market. Linklaters client alert.

9.     Hiding evidence from regulations costs KPMG in UK. Risk and Compliance Platform Europe. 

10.  The SEC on auditor independence. Matt Kelly in Radical Compliance.

 Podcasts and Events

11.  Compliance Week 2022 opens for registration. Sign up here. 

12.  Ethisphere’s World Most Ethical Company awards for 2022 are open for submission. For more information on the Application Process, click here. 

13.  Are you exasperated? Then check, F*ing Argentina. In this podcast series co-hosts Tom Fox and Gregg Greenberg, author of F*ing Argentina explore the current American psyche of being overworked, over leveraged, overtired and overwhelmed. Find out about modern America’s exasperation with well…exasperation. In Episode 7, a Malodor on the Subway.

14.  This month on The Compliance Month, I visit with John Melican, Managing Director at Exiger on his journey to and from the CCO chair. In Episode 1, college and early professional career at NY County DA’s Office. In Episode 2, Melican moved into the corporate world and into compliance. In Episode 3, John moves into the CCO chair. In Episode 4, John talks about what he learned and how he uses that knowledge. 

15.  How does a Compliance Bible become a best-seller? Check out Tom’s appearance on the C-Suite Network’s Best Seller TV to find out.  Purchase The Compliance Handbook, 2nd edition here. 

Tom Fox is the Voice of Compliance and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

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Stories

1.     Credit Suisse and Tuna boats equals nearly $500 MM in fines. Harry Cassin in the FCPA Blog. Matt Kelly in Radical Compliance. Jaclyn Jaeger in Compliance Week (sub req’d)

2.     CCOs as problem solvers. Mike Volkov in Corruption Crime and Compliance.

3.     Testing compliance. Brandon Garrett in Compliance and Enforcement. 

4.     3rd party risk management and SOC 2.  Eva Pittas in CCI. 

5.     Activision promises compliance upgrades. Should we believe them? Jaclyn Jaeger in Compliance Week. (sub req’d) 

6.     Is ESG reporting risky? Mike Munro explores in the FCPA Blog.  

7.     Facebook fined for changing CCOs without reporting to the CMA? CMA Press Release.

8.     The intersection of compliance and IT. Kyle Martin in Risk and Compliance Matters.

9.     What does the oldest COI tell us about professional misconduct? Jeff Kaplan in the FCPA Blog. 

10.  Contesting the narrative of compliance failures. Robert Barrington in GAB. 

Podcasts and Events

11.  Compliance Week is going ‘Inside the Mind of the CCO’. Participate in the survey here. 

12.  Ethisphere’s World Most Ethical Company awards for 2022 are open for submission. For more information on the Application Process, click here. 

13.  Are you exasperated? Then check, F*ing Argentina. In this podcast series co-hosts Tom Fox and Gregg Greenberg, author of F*ing Argentina explore the current American psyche of being overworked, over leveraged, overtired and overwhelmed. Find out about modern America’s exasperation with well…exasperation. In Episode 6, Billy Joel and exasperation. 

14.  This month on The Compliance Month, I visit with John Melican, Managing Director at Exiger on his journey to and from the CCO chair. In Episode 1, college and early professional career at NY County DA’s Office. In Episode 2, Melican moved into the corporate world and into compliance. In Episode 3, John moves into the CCO chair.

15.  Why is the Texas Hill Country one of the most special places on earth? Check out the newest edition to the CPN, as Tom Fox celebrates the people, places and things of the Hill County. In Episode 1, he visits with Camp Stewart for Boys matriarch, Kathy Ragsdale.

16.  How does a Compliance Bible become a best-seller? Check out Tom’s appearance on the C-Suite Network’s Best Seller TV to find out.  Purchase The Compliance Handbook, 2nd edition here. 

Tom Fox is the Voice of Compliance and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

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 Stories

1. Who knows what values lurk in the heart? The Shadow know (and your emails as well). The John Gruden firing. ESPN, Sports Illustrated, NYT, WSJ. Tom with a 2-part blog post series.
2. Confronting Ethical and Moral Dilemmas: Don’t Go It Alone. Richard Snell in Knowledge@Wharton.
3. Evolution of 3rd party risk management. Mike Volkov in Corruption, Crime and Compliance.
4. The role of employees in weeding out corp misconduct. David Smagalla in the WSJ Risk and Compliance Journal.
5. Ex-Braskem CEO gets 20 months. Kyle Brasseur in Compliance Week. (sub req’d)
6. Cooperating (or not) with the SFO. Lloydettte Bai-Marrow in the FCPA Blog.
7. Inconsistency in UK and EU banking regs? Deepali Nijhawan in CCI.
8. What is tech risk? Carol Williams in Risk and Compliance Matters.
9. Ozy from the audit perspective. Francine McKenna in The Dig. (sub req’d)
10. ESG channels Watergate (as in follow the money). Lawrence Heim in practicalESG.

 Podcasts and Events

1. Compliance Week is going ‘Inside the Mind of the CCO’. Participate in the survey here.
2. Ethisphere’s World Most Ethical Company awards for 2022 are open for submission. For more information on the Application Process, click here.
3. Are you exasperated? Then check, F*ing Argentina. In this podcast series co-hosts Tom Fox and Gregg Greenberg, author of F*ing Argentina explore the current American psyche of being overworked, over leveraged, overtired and overwhelmed. Find out about modern America’s exasperation with well…exasperation. In Episode 1, the dreaded Parent Meeting night at your child’s elementary school. In Episode 2, why F*ing Argentina? In Episode 3, one of the most beloved characters in musical theater, Officer Krupke is exasperated. In Episode 4, the ubiquitous ‘Couples Dinner’. In Episode 5, a tennis journeyman’s lament.
4. This month on The Compliance Month, I visit with John Melican, Managing Director at Exiger on his journey to and from the CCO chair. In Episode 1, college and early professional career at NY County DA’s Office. In Episode 2, Melican moves into the corporate world and into compliance.
5. What is Design Thinking in Compliance? Check out the newest edition to the CPN, where co-hosts Tom Fox and Carsten Tams discuss the social engineering tool of design thinking and how it creates greater compliance engagement and effectiveness. In Episode 2, we take up co-creation.
6. How does a Compliance Bible become a best-seller? Check out Tom’s appearance on the C-Suite Network’s Best Seller TV to find out. Purchase The Compliance Handbook, 2nd edition here.

Tom Fox is the Voice of Compliance and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

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Stories

1.     The Facebook Whistleblower. 60 Minutes appearance and Congressional Testimony. Matt Kelly in Radical Compliance. Aaron Nicodemus in Compliance Week.  (sub req’d)

2.     Petrofac settles with SFO. Harry Cassin in the FCPA Blog. 

3.     ESG and business risks. Mike Volkov in Corruption, Crime and Compliance. 

4.     DOJ to emphasize white collar criminal cases.  Dylan Tokar in the WSJ Risk and Compliance Journal. 

5.     Ancient history and FCPA enforcement. Dick Cassin in the FCPA Blog.  

6.     Lessons learned from the Pandora Papers. Jaclyn Jaeger in Compliance Week. (sub req’d)

7.     Using AI for pattern recognition in investigations. Veeral Gosalia in CCI.

8.     Will ethical lapses at the Fed sink the Powell nomination? Jeanna Smialek and James Tankersly in the NYT.

9.     The Big Stink and Green Bonds. Lawrence Heim in PracticalESG. 

10.  Would you trust Ozy? Ozy says its open for business (after a short hiatus).  What does it mean for compliance? Megan Leonhardt and Jessica Mathews in Fortune.

11.  Risk based compliance and ransomware. SheppardMullin lawyers on JDSupra.   

Podcasts and Events

12.  Congrats to Great Women in Compliance for being honored as a top pod by w3 in the DEI category; Everything Compliance as a top roundtable in podcasting and CPN for top compliance podcast network. 

13.  Compliance Week is going ‘Inside the Mind of the CCO’. Participate in the survey here. 

14.  Ethisphere’s World Most Ethical Company awards for 2022 are open for submission. For more information on the Application Process, click here. 

15.  Are you exasperated? Then check, F*ing Argentina. In this podcast series co-hosts Tom Fox and Gregg Greenberg, author of F*ing Argentina explore the current American psyche of being overworked, over leveraged, overtired and overwhelmed. Find out about modern America’s exasperation with well…exasperation. In Episode 1, the dreaded Parent Meeting night at your child’s elementary school. In Episode 2, why F*ing Argentina? In Episode 3, one of the most beloved characters in musical theater, Officer Krupke is exasperated. In Episode 4, the ubiquitous ‘Couples Dinner’.

16.  This month on The Compliance Month, I visit with John Melican, Managing Director at Exiger on his journey to and from the CCO chair. In Episode 1, college and early professional career at NY County DA’s Office. 

17.  What is Design Thinking in Compliance? Check out the newest edition to the CPN, where co-hosts Tom Fox and Carsten Tams discuss the social engineering tool of design thinking and how it creates greater compliance engagement and effectiveness. Check out Episode 1 here. 

18.  Join Jay, Tom and the top E&C professionals at Converge21, a virtual conference on October 12 & 13. Registration and information here. Why should you attend? Check out some of the panelists discuss their presentation on the Converge21 podcasts. Michael Randrup Wendy Badger, Lloydette Bai-Marrow, Tom and Philip Winterburn. 

19.  How does a Compliance Bible become a best-seller? Check out Tom’s appearance on the C-Suite Network’s Best Seller TV to find out.  Purchase The Compliance Handbook, 2nd edition here. 

Tom Fox is the Voice of Compliance and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

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Stories

1.     WPP FCPA enforcement action. Tom with 5-part series on the FCPA Compliance and Ethics Blog. Matt Kelly in Radical Compliance. Tom and Matt on Compliance into the Weeds. Mike Volkov has a 3-part series in Corruption Crime and Compliance. 

2.     Human rights litigation on the EU. Salomé Lemasson in the FCPA Blog. 

3.     BOD structure as key to compliance oversight. David Katz and Laura McIntosh in Harvard Law School Forum on Corporate Governance.

4.     Bringing clarity to the chaotic world of the CCO. Chris Audet in CCI. 

5.     Another week, another Wells Fargo fraud related penalty. Jaclyn Jaeger in Compliance Week (sub req’d)

6.     Dan Kahn returns to private practice. Dylan Tokar in the WSJ Risk and Compliance Journal.

7.     Do ABC academics fail? Matthew Stephenson in GAB. 

8.     Conquering the last mile of delivery of your Code of Conduct. Harper Wells in CCI.

9.     What is Ozy and what does it mean for compliance. Ben Smith in the NYT.

10.  Who owns ESG? Matt Kelly explores on Radical Compliance. 

Podcasts and Events

11.  CCI surveying stress in compliance. Henry Kronk in CCI. Take the survey here.

12.  Compliance Week is going ‘Inside the Mind of the CCO’. Participate in the survey here. 

13.  Ethisphere’s World Most Ethical Company awards for 2022 are open for submission. For more information on the Application Process, click here. 

14.  Check out the latest addition to the Compliance Podcast Network, A Yank at Oxford. It details the journey of Foley & Lardner partner David Simon as he heads back to university to matriculate for a MBA at Oxford. Episode 1. 

15.  Are you exasperated? Then check, F*ing Argentina. In this podcast series co-hosts Tom Fox and Gregg Greenberg, author of F* Argentina explore the current American psyche of being overworked, over leveraged, overtired and overwhelmed. Find out about modern America’s exasperation with well…exasperation. In Episode 1, the dreaded Parent Meeting night at your child’s elementary school. In Episode 2, why F*ing Argentina? In Episode 3, one of the most beloved characters in musical theater, Officer Krupke is exasperated. 

16.  Tom and Compliance Week EIC Dave Lefort look back at September in CW and forward to October (and talk some sports) in this month’s edition of From the Editor’s Desk. 

17.  K2 Integrity’s Edoardo Fiora will present at, “ESG Getting Hitched to Business (and IP) Strategy—From Resilience Framework to Recovery Path,” on October 14th. Registration and Information here. 

18.  Join Jay, Tom and the top E&C professionals at Converge21, a virtual conference on October 12 & 13. Registration and information here. Why should you attend? Check out some of the panelists discuss their presentation on the Converge21 podcasts. Michael Randrup Wendy Badger, Lloydette Bai-Marrow, Tom and Philip Winterburn. 

19.  How does a Compliance Bible become a best-seller. Check out Tom’s appearance on the C-Suite Network’s Best Seller TV to find out.  Purchase The Compliance Handbook, 2nd edition here. 

Tom Fox is the Voice of Compliance and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

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Stories

1.     ESG and Compliance. Mike Volkov on the ‘G’ in ESG. Tom has a 5-part series on why compliance should lead the ESG effort in the FCPA Compliance and Ethics Blog. 

2.     Asking more of your auditors. Neil Hodge in Compliance Week (sub req’d) 

3.     ISO weighs in on good governance standards. Dylan Tokar in the WSJ Risk and Compliance Journal. 

4.     Regulating the wild west of crypto. Henry Kronk in CCI. 

5.     Which Mozambique countenance or prosecute its President’s corruption? Rick Messick in GAB. 

6.     Making the most from your risk assessment? Jeff Kaplan in the FCPA Blog.

7.     What is a criminal COI? Sara Kropf in Grand Jury Target. 

8.     Revisiting whistleblower procedures. Wachtel Lipton lawyers in Harvard Law School Forum on Corporate Governance. 

9.     The SEC investigation into Activision. Professor Stephen Bainbridge in his blog.

10.  Jay’s reflections on the first compliance conference since 2019. 

Podcasts and Events

11.  CCI surveying stress in compliance. Henry Kronk in CCI. Take the survey here

12.  Check out the latest addition to the Compliance Podcast Network, A Yank at Oxford. It details the journey of Foley & Lardner partner David Simon as he heads back to university to matriculate for a MBA at Oxford. 

13.  Are you exasperated? Then check out the latest offering from the Compliance Podcast Network, F*ing Argentina. In this podcast series co-hosts Tom Fox and Gregg Greenberg, author of F* Argentina explore the current American psyche of being overworked, over leveraged, overtired and overwhelmed. Find out about modern America’s exasperation with well…exasperation. In Episode 1, the dreaded Parent Meeting night at your child’s elementary school. In Episode 2, why F*ing Argentina?

14.  Jay spreads his wings by hosting his first podcast. He interviews Lisa Beth Lentini Walker and Stef Tschida about their new book, Raise Your Game, Not Your Voice, on this episode of Integrity Through Compliance. 

15.  K2 Integrity is partnering with the DIFC Academy for a webinar, “Virtual Assets and FATF Guidelines—A Risk-Based Approach for Financial Institutions,” on September 28, 2021. Registration and Information here. 

16.  Join Jay, Tom and the top E&C professionals at Converge21, a virtual conference on October 12 & 13. Registration and information here. Here some of the panelists discuss their presentation on the Converge21 podcasts. Wendy Badger and Philip Winterburn. 

17.  Ethisphere’s World Most Ethical Company awards for 2022 are open for submission. For more information on the Application Process, click here. 

18.  Breaking News features The Compliance Handbook, 2nd edition. Check out the Breaking News feature here. Purchase The Compliance Handbook, 2nd edition here. 

Tom Fox is the Voice of Compliance and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

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Stories

1.     Coinbase v. the SEC. Andrew Ross Sorkin previews in NYT Dealbook. Francine McKenna takes a deep dive in The Dig (sub req’d) Gary Gensler testifies before Congress, Paul Keiran in the WSJ.

2.     Why compliance should lead ESG. Kyle Brasseur  in Compliance Week (sub req’d)

3.     Another cheating scandal at KPMG. Matt Kelly on Radical Compliance. Leadership

4.     Leadership lessons from the fall of Kabul. Sandra Erez in CCI.

5.     What are the Big 3 issues from this year’s proxy season? Eric Knox, Sehrish Siddiqui and David Venturella in CCI.

6.     How large a problem is corporate recidivism? Dick Cassin in the FCPA Blog.

7.     The Great Resignation and meaningful work. Brett Beasley in Notre Dame’s Deloitte Center for Ethical Leadership.

8.     Boeing safety woes hit the Boardroom. Wachtel Lipton lawyers in Harvard Law School Forum on Corporate Governance.

9.     On the intersection of culture and corporation reputation. Mike Volkov in Corruption Crime and Compliance.

10.  Learned Hand on leadership and humility. Jeff Kaplan in the Conflict of Interests blog.

Podcasts and Events

11.  CCI surveying stress in compliance. Henry Kronk in CCI. Take the survey here

12.  On Innovation in Compliance, Tom has run a 6-part special podcast series on Looking Back on 9/11, sponsored by Affiliated Monitors. In this series he will visit with professionals from a variety of compliance perspectives who will discuss how 9/11 changed our profession, including three who were in NYC during the attacks. Hear thoughts and reflections from Gabe Hidalgo, Juan Zarate, Alex Dill, Eric Feldman, Scott Moritz and John Lee Dumas.

13.  Are you exasperated? Then check out the latest offering from the Compliance Podcast Network, F*ing Argentina. In this podcast series co-hosts Tom Fox and Gregg Greenberg, author of F* Argentina explore the current American psyche of being overworked, over leveraged, overtired and overwhelmed. Find out about modern America’s exasperation with well…exasperation. In Episode 1, the dreaded Parent Meeting night at your child’s elementary school.

14.  Ethisphere’s World Most Ethical Company awards for 2022 are open for submission. For more information on the Application Process, click here.

15.  Breaking News features The Compliance Handbook, 2nd edition. Check out the Breaking News feature here. Purchase The Compliance Handbook, 2nd edition here.

Tom Fox is the Voice of Compliance and can be reached at tfox@tfoxlaw.com.

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 Stories

1.     Elizabeth Holmes finally goes to trial. Aly McDevitt in Compliance Week (sub req’d) Opening statements review in the WSJ.

2.     The role of compliance in an ESG effort. David Povey in Compliance Week. (sub req’d) Matt Kelly weighs in on diversity as well in Navex Global’s Risk and Compliance Matters.

3.     Raytheon under FCPA scrutiny. Dylan Tokar in WSJ Risk and Compliance Journal. 

4.     CCI surveying stress in compliance. Henry Kronk in CCI. Take the survey here.

5.     From Wells Fargo to Kraft Foods. Matt Kelly in Radical Compliance. Tom and Matt in Compliance into the Weeds. 

6.     Has the SFO turned the corner? Martin Kenney in the FCPA Blog.

7.     Measuring compliance measurement. Jeff Kaplan in COI Blog. 

8.     From firm specific risk to systemic risk. John Coffee in Harvard Law School Forum on Corporate Governance

9.     Do you need a BOD Code of Conduct? Kristy Grant-Hart in Compliance Kristy.

10.  Joe Biden-the anti-corruption President?  Joe Acotoia in Corruption Crime and Compliance.

 Podcasts and Events

11.  On Everything Compliance, the full gang discuss where they were on 9/11 and its impact on their profession. Lisa Fine looks back on 9/11 in  Great Women in Compliance. 

12.  On Innovation in Compliance, Tom has run a 6-part special podcast series on Looking Back on 9/11, sponsored by Affiliated Monitors. In this series he will visit with professionals from a variety of compliance perspectives who will discuss how 9/11 changed our profession, including three who were in NYC during the attacks. Hear thoughts and reflections from Gabe Hidalgo, Juan Zarate, Alex Dill, Eric Feldman, Scott Moritz and John Lee Dumas.

13.  Join K2 Integrity September 15 for a round-table on the 20th Anniversary of September 11 and consider its impact on countering terrorist financing and illicit financing, and the continuing risks to national security. The roundtable will include members of the team that spearheaded the post-9/11 counter illicit finance regime: Juan Zarate, Chip Poncy, Danny McGlynn, moderated by Dr. Michele L. Malvesti. Information and Registration here.   

14.  Ethisphere’s World Most Ethical Company awards for 2022 are open for submission. For more information on the Application Process, click here. 

15.  Breaking News features The Compliance Handbook, 2nd edition. Check out the Breaking News feature here. Purchase The Compliance Handbook, 2nd edition here. 

Tom Fox is the Voice of Compliance and can be reached at tfox@tfoxlaw.com. Co-host Jay Rosen (AKA ‘Mr. Monitor’) can be reached at jrosen@affiliatedmonitors.com.

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 Stories

1.     Is ESG on your radar? Vince Walden, Rich Goode and Steve Speigelhalter in Fraud Magazine.

2.     The intersection of business and compliance. Mike Volkov in Corruption Crime and Compliance.

3.     China to set world standard for data privacy? Aaron Nicodemus in Compliance Week (sub req’d)

4.     Is Covid-19 the biggest challenge to compliance ever? Calvin Gordon in CCI. 

5.     UK signals different approach on data transfer from EU. Aaron Nicodemus in Compliance Week (sub req’d)

6.     3 compliance officers get SEC whistleblower award. Matt Kelly in Radical Compliance. 

7.     Email break-ins sanctionable. Dylan Tokar in WSJ Risk & Compliance Journal. 

8.     ISO 37002 and EU Whistleblower standard. Kelly Maxwell in Convercent by One Trust blog.

9.     Trial of the Century in Mozambique, Part 2. Rick Messick in GAB.

10.  Diversity training that fosters acceptance and collaboration.  ComplianceLine blog.

Podcasts and Events

11.  On Innovation in Compliance this week I interviewed Ethisphere’s Erica Salmon Byrne and Doug Allen on the opening of submissions to the World’s Most Ethical 2022 awards. You can listen to the pod here. You can find out more about the submission process here. 

12.  On The Compliance Life, in August I visited with Kortney Nordrum CCO at Deluxe. In Episode 1, from Red Wing to Israel. In Episode 2, From Freddie Mac to the law. In Episode 3, how Kortney found her professional passion – Compliance. In Episode 4, Kortney moves into the CCO chair. 

13.  Breaking News features The Compliance Handbook, 2nd edition. Check out the Breaking News feature here. Purchase The Compliance Handbook, 2nd edition here. 

14.  Join K2 Integrity September 15 for a round-table discussion as we reflect on the 20th Anniversary of September 11 and consider its impact on countering terrorist financing and illicit financing, and the continuing risks to national security. The roundtable will include members of the team that spearheaded the post-9/11 counter illicit finance regime: Juan Zarate, Chip Poncy, Danny McGlynn, moderated by Dr. Michele L. Malvesti. Information and Registration here.   

15.  The week of 9/11, Tom will run a 6-part special podcast series on Looking Back on 9/11. In this series he will visit with professionals from a variety of compliance perspectives who will discuss how 9/11 changed our profession, including three who were in NYC during the attacks. Check it out on the Compliance Podcast Network. 

Tom Fox is the Voice of Compliance and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

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Stories

1.     Is ESG replacement for government inaction? Lawrence Heim in practicalESG. 

2.     Why compliance should lead the ESG effort. Kristy Grant-Hart in Compliance Kristy

3.     What did the current Freddie Mac CCO learn from the 2008 financial crisis? Mengqi Sun in WSJ Risk and Compliance Journal. 

4.     What is ‘intentional integrity’? Aly McDevitt in Compliance Week. 

5.     Defense industry struggles with cybersecurity. Matt Kelly in Radical Compliance.

6.     How has the pandemic impacted the ABC fight in Latin America? Geert Aalbers in the FCPA Blog.

7.     More oral argument as both sides appeal Hoskins trial verdict. Dylan Tokar in WSJ Risk & Compliance Journal. 

8.     Debunking attacks on the Business Roundtable’s Statement on the Purpose of a Corporation. Marty Lipton in Harvard Law School Forum on Corporate Governance

9.     The Mozambique hidden debt scandal. Rick Messick in GAB.

10.  What happens to compliance when you have a fractured C-Suite?  Mike Volkov in Corruption Crime and Compliance.

Podcasts and Events

11.  On Innovation in Compliance this week I interview Kristy Grant-Hart, Joe Murphy and Kirsten Liston about their latest book, The Compliance Entrepreneur. Check out the show here.

12.  On The Compliance Life, in August I visit with Kortney Nordrum CCO at Deluxe. In Episode 1, from Red Wing to Israel. In Episode 2, From Freddie Mac to the law. In Episode 3, how Kortney found her professional passion – Compliance. 

13.  Compliance Week is having an open house this month as they have dropped their firewall. You can check out the entire publication for no charge. Check it out here. 

14.  Breaking News features The Compliance Handbook, 2nd edition. Check out the Breaking News feature here. Purchase The Compliance Handbook, 2nd edition here. Find out more about The Compliance Handbook, 2nd edition in an upcoming Zoom webinar, on Wednesday, September 1 at 8:30 AM ET; hosted by the Azevedo Sette law firm and Charles River Associates. To RSVP email tcintra@azevedosette.br

15.  Join K2 Integrity September 15 for a round-table discussion as we reflect on the 20th Anniversary of September 11 and consider its impact on countering terrorist financing and illicit financing, and the continuing risks to national security. The roundtable will include members of the team that spearheaded the post-9/11 counter illicit finance regime: Juan Zarate, Chip Poncy, Danny McGlynn, moderated by Dr. Michele L. Malvesti. Information and Registration here.   

16.  The week of 9/11, Tom will run a 6-part special podcast series on Looking Back on 9/11. In this series he will visit with professionals from a variety of compliance perspectives who will discuss how 9/11 changed our profession, including three who were in NYC during the attacks. Check it out on the Compliance Podcast Network. 

17.  Tom pays tribute to Charlie Watts.

Tom Fox is the Voice of Compliance and can be reached at tfox@tfoxlaw.com. Special guest host Kristy Grant-Hart can be reached at kgranthart@sparkcompliance.com.

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Stories

1. Corruption led to the fall of Afghanistan. Dick Cassin in the FCPA Blog.
2. Does HSBC facilitate cybercrime. Elfriede Sixt in Risk and Compliance Journal Europe.
3. The Pearson SEC enforcement action. Matt Kelly in Radical Compliance. Tom and Matt on Compliance into the Weeds. Kevin Lacroix in the D&O Diary.
4. Trust and the CCO? Jeff Kaplan in Conflict of Interest
5. Fraud during the pandemic. James Ruotolo in CCI.
6. Inefficiency in AML enforcement. Maria Evstropova in CCI. 
7. SEC coming after cryptocurrencies. Aaron Nicodemus in Compliance Week.
8. What Boards need to know before, during and after M&A. Maria Castanon Moats and Leah Malone in Harvard Law School Forum on Corporate Governance.
9. Who is on your crisis management team? Eden Gillott in com.
10. CFIUS publishes 2020 report. K2 Integrity Client Alert.

 Podcasts and Events

1. On Innovation in Compliance this week I interview Dennis Kucinich about his latest book, The Division of Light and Power. Check out the show here.
2. On The Compliance Life, in August I visit with Kortney Nordrum CCO at Deluxe. In Episode 1, from Red Wing to Israel. In Episode 2, From Freddie Mac to the law.
3. How do the Greek Eumenes and the Roman Sertorius inform compliance leadership today? Find out as Tom and Richard Lummis continue their exploration of Plutarch’s Lives in this episode of 12 O’Clock High, a podcast on business leadership.
4. Compliance Week is having an open house this month as they have dropped their firewall. You can check out the entire publication for no charge. Check it out here.
5. Breaking News features The Compliance Handbook, 2nd edition. Check out the Breaking News feature here. Purchase The Compliance Handbook, 2nd edition here. Find out more about The Compliance Handbook, 2ndedition in an upcoming Zoom webinar, on Wednesday, September 1 at 8:30 AM ET; hosted by the Azevedo Sette law firm and Charles River Associates. To RSVP email tcintra@azevedosette.br

Tom Fox is the Voice of Compliance and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

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Stories

1.     Navex Global new benchmark report. Carrie Penman, Andrew Burt and Mary Bennett in Navex Global’s Risk & Compliance Matters blog.

2.     Conducting a double materiality assessment. Donota Calace in PracticalESG, Part 1 and Part 2. 

3.     Dangers lurking in internal investigations? Mike Volkov in Corruption, Crime and Compliance. 

4.     What can ‘ethics refugees’ teach us about E&C? Richard Shell in CCI. 

5.     Running a design sprint. Carsten Tams with Part 4 of his 5-part series on Design Thinking in LinkedIn. 

6.     Amazon tagged for €746MM for GDPR violations.  Cordery Compliance news alert. 

7.     What are the factors driving change in the investigation process? Jaclyn Jaeger in Compliance Week. 

8.     The Achilles Heel of Compliance? Scott Moritz in LinkedIn. 

9.     Ted Lasso and corruption. Harry Cassin in the FCPA Blog.

10.  100 bottles of booze on the wall, 100 bottles of booze.  Jeff Kaplan in the Conflict of Interest Blog. 

Podcasts and Events

11.  Innovation in Compliance hits its 200th anniversary show. I celebrate with Dan Skolnick from Accuity. Check out the show here.

12.  On The Compliance Life, in August I visit with Kortney Nordrum CCO at Deluxe. In Episode 1, from Red Wing to Israel. 

13.  How do the Greek Timoleon and the Roman Aemilius inform compliance leadership today? Find out as Tom and Richard Lummis continue their exploration of Plutarch’s Lives in this episode of 12 O’Clock High, a podcast on business leadership.

14.  Compliance Week is having an open house this month as they have dropped their firewall. You can check out the entire publication for no charge. Check it out here. 

15.  K2 Integrity’s Sepideh Rowland will moderate an ABA Webinar: Managing Compliance Under Pressure, August 17. Register and information here.

16.  The Compliance Handbook, 2nd edition is released. Learn about it here. Purchase it here.

17.Each month Affiliated Monitors, Inc. introduces our readers and listeners to members of our AMI team. This month, in addition to our web Spotlight feature https://lnkd.in/g9aUbMaJ  we recorded a companion podcast with Deann Conroy, who is a Compliance Solutions Manager. She is an experienced attorney, leader, and educator of healthcare legal issues. Please follow the link in the show notes for this month's double shot of our colleague Deanne! https://lnkd.in/gfTdF5mq

Tom Fox is the Voice of Compliance and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

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 Stories

1. The First Energy domestic corruption scandal. Rick Messick in GAB. Matt Kelly in Radical Compliance.
2. Obstacles to compliance training. Dick Cassin in the FCPA Blog.
3. Should companies go into space? Mike Volkov says no in Corruption, Crime and Compliance.
4. Is your compliance relationship with HR unleavened? Then leaven it, says Amy Dufrane in CCI.
5. Can the Olympics be saved? Perhaps from the corruption angle. Andy Spalding in the FCPA Blog.
6. What’s it like to be a whistleblower? Aaron Nicodemus with a 5-part series in Compliance Week (sub req’d). Aaron discusses the series on this edition of From the Editor’s Desk. (No Sub Req’d)
7. What happens when a CCO acts like a GC? They ‘step in it’ says Matt Kelly in Radical Compliance.
8. Are you afraid of your own shadow? Michael Rasmussen says you might well should be in Navex Global’s Risk and Compliance Matters.
9. If you step in it, RAC it. Ngozi Okeh in PracticalESG.
10. Boards and Corporate Strategies in the post-pandemic world. Wachtell, Lipton lawyers in the Harvard Law School Forum on Corporate Governance.

Podcasts and Events

1. Jonathan Keller reviews the evolution of healthcare compliance in this episode of The Compliance Handbook.
2. Scott Moritz turns the tables on Tom by interviewing him about his recently released book The Compliance Handbook, 2nd edition on this week’s edition of Fraud Eats Strategy.
3. On The Compliance Life, in July I visited with Asha Palmer, CECO at Convercent. In Episode 1, from Claire Huxable to the DOJ. In Episode 2, ‘What do you think about Abu Dhabi?’ In Episode 3, she moves into compliance consulting and is surprised with what she observed. In Episode 4, Asha talks about moving into the CECO role and beyond.
4. How do the Greek Cleomenes and the Roman Giaus Graccus inform compliance leadership today? Find out as Tom and Richard Lummis continue their exploration of Plutarch’s Lives in this episode of 12 O’Clock High, a podcast on business leadership.
5. In Integrity Through Compliance, Episode 14, Joe Miller Returns to Discuss Anticipated Antitrust Enforcement Trends in the Biden Administration.
6. The Compliance Handbook, 2nd edition is released. Learn about it here. Purchase it here.

Tom Fox is the Voice of Compliance and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

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Stories

1. Why co-creation is key to design thinking in compliance. Carsten Tams continues his 5-part series on LinkedIn. Check out Tams Part 1 and Part 2 of his great 5-part series.
2. What’s going on with ESG in Europe. Vera Cherepanova in the FCPA Blog.
3. What is social risk? Lawrence Heim in com.
4. What’s the current job market for compliance professionals? Matt Kelly in Radical Compliance.
5. SFO secures two DPAs. Neil Hodge in Compliance Week (sub req’d)
6. Responding to parallel investigations. Nicole Sprinzen and Catherine Yun in CCI.
7. Auditing of SPACs. Francine McKenna takes a deep dive on The Dig. (Sub Req’d)
8. EU Whistleblower Initiative? Keith Taylor in Navex Global’s Risk and Compliance Matters.
9. FTC signals more aggressive enforcement. Alexander Paul Okuliar and David J. Shaw NYU’s Compliance and Enforcement
10. The Enactment of Purpose Initiative. Wachtell, Lipton lawyers in the Harvard Law School Forum on Corporate Governance.

Podcasts and Events

1. In a sponsored 6-part podcast series Tom visits with folks from Exiger on its ground-breaking TP&SCRM framework, the TRADES Framework. Part 1-Transparency; Part 2-Risk Mitigation; Part 3-Assessing Risk; Part 4-Determining Mitigations; Part 5-Evaluating Uplift; Part 6, Supplier Monitoring.
2. Tom and Megan Dougherty conclude their series on Loki, in Episode 6, For All Time. Always. They review the concluding episode of Season 1, look back over the entire series, review it in the context of the MCU series WandaVision and the Winter Soldier and Falcon and where the MCMultiverse may be headed.
3. A new month on The Compliance Life! In July I visit with Asha Palmer, CECO at Convercent. In Episode 1, from Claire Huxable to the DOJ. In Episode 2, ‘What do you think about Abu Dhabi?’ In Episode 3, she moves into compliance consulting and is surprised with what she observed.
4. Are you a #GWICee? If you are not you should be. Join the co-hosts Lisa Fine and Mary Shirley for their fan fav lightening-round of listener submitted questions in this episode of Great Women in Compliance.
5. What is the budget process for a corp compliance function? Kortney Nordrum lays it out for your in this episode of Survive and Thrive. Check out the video version on YouTube.
6. The Compliance Handbook, 2nd edition is released. Learn about it here. Purchase it here.

Tom Fox is the Voice of Compliance and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

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Stories

1. Tom takes up the call for Design Thinking to be used in compliance. Part 1-the steps in design thinking. Part 2-using design thinking to operationalize compliance. Part 3-into your compliance program.
2. I screen, You screen, We all screen (but not for ice cream). Szilvia Andriasik in the FCPA Blog.
3. The pandemic redefined the role of the GC. Did it do the same for the CCO. Abbott Martin and Rosie Griffin in
4. How to train managers in COI. Jeff Kaplan in COI Blog.
5. The Bribery Act at 10. Neil Hodge in Compliance Week (sub req’d)
6. Expanding your DD horizons for ESG. Alek Chance In Navex Global’s Risk and Compliance Matters.
7. Upgrading your compliance program in 5 steps. Joe Murphy in Compliance Week (Sub Req’d)
8. Is your training sticky? Gio Gallo in CCI.
9. Using data analytics to uncover anomalies. Jessica Ellsworth in CCI.
10. Internally communicating about cyber security issues. Davis Polk lawyers in the Harvard Law School Forum on Corporate Governance.

Podcasts and Events

1. Career Can Do, the latest edition to the Compliance Podcast Network, premiers this week. Recruiting guru Mary Ann Faremouth discusses all facets of the hiring process. In Episode 1, she interviews Jessica Levine.
2. In Integrity Through Compliance, AMI’s Dionne Lomaxspeaks with Joe Miller, the co-chair of Mintz Levin’s antitrust practice. They focus on recent developments in antitrust compliance — specifically, compliance with government consent decrees and what might be occurring behind the scenes at federal enforcement agencies once a company has settled antitrust charges.
3. This week on Greetings and Felicitations, Tom is joined by Ben Locwin to look at some of the science behind Star Trek, the Original Series. Mirror Mirror and Transporters, Where No Man Has Gone Before and Phasers; The Naked Time and Warp Drive; Tomorrow is Yesterday and Black Holes, White Holes, and Wormholes; and Journey to Babel and the Medicine of TOS.
4. A new month on The Compliance Life! In July I visit with Asha Palmer, CECO at Convercent. In Episode 1, from Claire Huxable to the DOJ. In Episode 2, ‘What do you think about Abu Dhabi?’
5. The tables are turned on Tom by the Brothers Gallo and Jason Mefford as they interview him for their respective pods. Nick and Gio on The Ethics Experts. Jason on Jamming with Jason.
6. The Compliance Handbook, 2nd edition is released. Learn about it here. Purchase it here.

Tom Fox is the Voice of Compliance and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

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Stories

1. The Compliance Handbook, 2nd edition is released. Learn about it here. Purchase it here.
2. Four ways to update you ABC compliance program right now. Ann-Maire Zell in the FCPA Blog.
3. John Wood Group DPA with SFO. Tom has a 2-part series on the FCPA Compliance Report. Part 1-deplorable conduct and Part 2-lessons learned.
4. Alex Cotoia takes a deep dive into the EU Whistleblower Directive in a 4-part series. On Compliance Crime and Corruption.
5. Emerging trends in 3rd Party Risk Management. Jaclyn Jaeger in Compliance Week (sub req’d)
6. Mengqi Sun interviews Sherron Watkins in the WSJ Risk and Compliance Journal.
7. Anti-trust concerns at the Board level. Elizabeth Ising, Stephen Weissman, Cassandra Tillinghast and Chris Wilson in NYU Compliance and Enforcement Blog.
8. How to avoid buying a FCPA issue. Valerie Charles, Jamen Tyler and Robert Johnston in CCI.
9. Compliance on the inside v. outside. Amy Landry in CCI.
10. Compliance officers are disciplinarians (at times). Dick Cassin in the FCPA Blog.

Podcasts and Events

1. How does history inform compliance? What are the leadership lessons from ancient Greeks and Romans? Find out in this special 10 part podcast series on famous Greeks and Romans from Plutarch’s Lives this week on 12 O’Clock High, a podcast on business leadership, hosted by Richard Lummis and Tom Fox. In Episode 5, they mined Plutarch about the lives of and leadership lessons from the Greek Epaminondas and the Roman Scipio Africanus.
2. A new month on The Compliance Life! In July I visit with Asha Palmer, CECO at Convercent. In Episode 1, from Claire Huxable to the DOJ.
3. Tom premiers a new podcast, Greetings and Felicitations. In the inaugural episode, CPN fan fav Dr. Ben Locwin is back to discuss the current state of the Covid-19 pandemic and where we might be headed.
4. Trekking Through Compliance Returns! Tom reviews all 79 episodes of Star Trek, the Original Series beginning June 1. Each day at 3 PM on the Compliance Podcast Network. This week’s offerings included The Apple, The Doomsday Machine, Catspaw, I, Mudd and Metamorphosis.
5. On July 13, join K2 Integrity for its Virtual Compliance Conference on Environment, Social, and Governance Compliance Risks for Financial Institutions. Information and Registration here.
6. Join Tom, Asha Palmer and Stephen Martin for a coming out webinar for The Compliance Handbook, 2nd We will focus on 3rd party risk management. Attendees will receive a special article and offer. Best of all, it’s at no charge. Details and registration here.

Tom Fox is the Voice of Compliance and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

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Stories

1. Trump Organization and CFO indicted on criminal charges. NYT, WSJ, FT, WaPo
2. How whistleblowers protect the bottom line. Bob Conlin in Navex Global’s Risk and Compliance Matters.
3. Amec Foster Wheeler, the first FCPA corp enforcement action in 2021. Tom takes a deep dive in a 3-part series on the FCPA Compliance and Ethics Blog. Tom and Matt Kelly take a deep dive in Compliance into the Weeds. Mike Volkov goes deep on Corruption Crime and Compliance. Harry Cassin (as usual) breaks the story on the FCPA Blog.
4. US government AML priorities. FinCen issues report, here. Kyle Brassuer in Compliance Week (sub req’d) Dylan Tokar in WSJ Risk and Compliance Journal.
5. Do lawyers make good gatekeepers? Sung Hui Kim says ‘perhaps’. Keith Bishop says you shouldn’t even ask the question.
6. Human-Centered Design: An Engaging Ethics & Compliance Program Serves Users’ Needs. Carsten Tams in Part 2 of his five-part series on LinkedIn.
7. Reducing your CCPA risk. Debevoise lawyers on NYU’s Compliance and Enforcement blog.
8. Was Amec Foster Wheeler afraid of its agents? Dick Cassin explores in the FCPA Blog.
9. Auditing your climate risk. Mark Texler in a two-part series on PracticalESG.
10. How do you evaluate the value of ethics? Henry Kronk in CCI.

 Podcasts and Events

1. How does history inform compliance? What are the leadership lessons from ancient Greeks and Romans? Find out in this special 10 part podcast series on famous Greeks and Romans from Plutarch’s Lives this week on 12 O’Clock High, a podcast on business leadership, hosted by Richard Lummis and Tom Fox. In Episode 1, they mined Plutarch about the lives of and leadership lessons from Themistocles and Camillus. In Episode 2, they looked at Solon and Popsicola. In Episode 3, Pericles and Fabius Maximus. In Episode 4, Alcibiades and Coriolanus.
2. Are you a MCU fan? If so check out the special series on the Disney streaming service Loki and Tom Fox and Megan Dougherty who return to review the entire series. They catch up on Episode 1-3 in this edition of Popcorn and Compliance.
3. Trekking Through Compliance Returns! Tom reviews all 79 episodes of Star Trek, the Original Series beginning June 1. Each day at 3 PM on the Compliance Podcast Network. This week’s offerings included Operation Annihilate, Amok Time, Who Mourns for Adonias, The Changeling and Mirror Mirror.
4. On this episode of Integrity Through Compliance, join Affiliated Monitor’s Rod Grandon, Jenner & Block Partner, David Robbins, and former Engility Holdings, Inc. General Counsel, Tom Miller, for an in-depth discussion focusing on crisis management from the perspectives of a General Counsel, outside legal counsel, and federal acquisition official.
5. On July 13, join K2 Integrity for its Virtual Compliance Conference on Environment, Social, and Governance Compliance Risks for Financial Institutions. Information and Registration here.
6. It is now HERE, the book you have all been waiting for, The Compliance Handbook, 2nd edition is available for purchase. The Compliance Handbook 2ndedition is available in both print and eBook editions. Available here.

Tom Fox is the Voice of Compliance and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

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Stories

1. Design Thinking returns to compliance as Carsten Tams begins a 5-part series on LinkedIn. Check out Part 1.
2. Ex-Goldman Sachs banker settles FCPA matter. Dylan Tokar in WSJ Risk and Compliance Journal.
3. Want a refresher in red flags, check out this FBI-produced multipart series, all available on YouTube. Red Flag Fraud Signs, Part 1, Red Flag Fraud Signs, Part 2, Red Flag Fraud Signs, Part 3, Red Flag Fraud Signs, Part 4, Red Flag Fraud Signs, Part 5, Red Flag Fraud Signs, Part 6
4. Tricky Dicky lives in FCPA enforcement. Dick Cassin explains why in the FCPA Blog.
5. Using captives to provide FCPA D&O Coverage? Daniel Chefitz and Sergio Oehninger in the FCPA Blog.  
6. Do we need to ban high-value currency? Sam Magaram in GAB.
7. Compliance opportunities in and after Covid. Stephen Naughton in Compliance Law Journal.
8. Building an effective AML action plan. Peter Fitzgerald, Scott Zucker and Tristan Souness-Wilson in CCI.
9. SEC settles pre-taliation case with Guggenheim Partners. Matt Kelly in Radical Compliance.
10. Will laws requiring Board diversity survive court scrutiny? Kevin LaCroix in the D&O Diary. 

Podcasts and Events

1. Microsoft Week on Innovation in Compliance. Alan Gibson on Legal Compliance for the Future, Abbas Kudration Innovation Through Info Security, Joseph Davis on A Progressive and Humble Leadership to Cybersecurity, Erica Toelle on Records Management and Information Governance, Jesus Fernandez on the Digital Transformation of Compliance.
2. How does history inform compliance? What are the leadership lessons from ancient Greeks and Romans? Find out in this special 10 part podcast series on famous Greeks and Romans from Plutarch’s Lives this week on 12 O’Clock High, a podcast on business leadership, hosted by Richard Lummis and Tom Fox. In Episode 1, they mined Plutarch about the lives of and leadership lessons from Themistocles and Camillus. In Episode 2, they looked at Solon and Popsicola. In Episode 3, Pericles and Fabius Maximus.
3. Trekking Through Compliance Returns! Tom reviews all 79 episodes of Star Trek, the Original Series beginning June 1. Each day at 3 PM on the Compliance Podcast Network. This week’s offerings included Space Seed, Return of the Archons, This Side of Paradise, Devil in the Dark and Errand of Mercy.
4. On July 1, join K2 Integrity’s Snezana Gebauer and Darren Matthews will present a webinar on asset tracing at the IBA Global Influencer Forum. Learn more and register here. 
5. On July 13, join K2 Integrity for its Virtual Compliance Conference on Environment, Social, and Governance Compliance Risks for Financial Institutions. Information and Registration here.
6. Compliance Week is looking at 3rd risk management in 2021 in a two-day virtual event on June 29 & 30. For information and registration click here. Use the Code Dave100 for a free ticket.
7. Tom announces his latest book, The Compliance Handbook, 2nd edition is available for presale purchase. Use the code FOX25 and go here. The Compliance Handbook 2ndedition will be available in both print and eBook editions.

Tom Fox is the Voice of Compliance and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

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Stories

1. This year’s cheating scandal in baseball. Stephanie Apstein and Alex Prewitt in SI. David Waldstein in NYT. Buster Olny in com. Tom takes a deep dive in three blog posts on the FCPA Compliance and Ethics Blog.
2. EU Prosecutor’s Office opens for business. Jon Rusch in Dipping Through Geometries.
3. Exxon BOD vote should be a wake up call. Jaclyn Jaeger in Complinace Week. (sub req’d)
4. Compliance when no one is watching. Julie DeMauro in the FCPA Blog.
5. What are 5 things CCOs can do to comply with Biden’s Statement on Corruption? Al Barbarino in Law360.
6. What do pirates teach us about leadership? Fransesca Gino in XpertsLeague.
7. Should CCOs run ESG? Mike Volkov say ‘No’ in Corruption, Crime and Compliance.
8. Is your Supply Chain ethical? Andrew Blasi and Nicolas Diamond in CCI.
9. What are some reasons for the lack of FCPA enforcement? Harry Cassin speculates in the FCPA Blog.
10. Get on one page for risk management. Sandar Erez in CCI.

Podcasts and Events

1. CPN premiers a new podcast, The ESG Report. In the first episode, Tom has a two-part series featuring Trysha Daskem, head of ESG at Silver. Check out Part 1 and Part 2.
2. How does history inform compliance? What are the leadership lessons from ancient Greeks and Romans? Find out in this special 10 part podcast series on famous Greeks and Romans from Plutarch’s Lives this week on 12 O’Clock High, a podcast on business leadership, hosted by Richard Lummis and Tom Fox. In Episode 1, they mined Plutarch about the lives of and leadership lessons from Themistocles and Camillus. In Episode 2, they looked at Solon and Popsicola.
3. Trekking Through Compliance Returns! Tom reviews all 79 episodes of Star Trek, the Original Series beginning June 1. Each day at 3 PM on the Compliance Podcast Network. This week’s offerings included The Conscience of a King, Balance of Terror, Shore Leave, The Galileo Seven and The Squire of Gothos.
4. Vin DiCianna turns the tables on Tom by interviewing him for this week’s Integrity Through Complaince. Check it out here.
5. Join Convercent for a Converge Innovation Forum, with a look into the future of compliance on risk visibility up, down, and across the businesson June 23 at 11 AM CT. for information and registration click here.
6. On July 1, join K2 Integrity’s Snezana Gebauer and Darren Matthews will present a webinar on asset tracing at the IBA Global Influencer Forum. Learn more and register: https://www.k2integrity.com/en/events/k2-integrity-webinar-at-iba-global-influencer-forum-fraud-debt-and-judgements-how-to-maximize-asset
7. Tom announces his latest book, The Compliance Handbook, 2nd edition is available for presale purchase. Use the code FOX25 and go here. The Compliance Handbook 2ndedition will be available in both print and eBook editions.

Tom Fox is the Voice of Compliance and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

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Stories

1. President Biden’s Statement and Memorandum on corrption. Tom takes a deep dive in four blog posts on the FCPA Compliance and Ethics Blog. Matt Kelly in Radical Compliance. Alexandra Wrage on the FCPA Blog. Rick Messick in GAB. Jessica Tillipman in the FCPA Blog.
2. Don’t get caught up in endless internal investigations. Lloydette Bai-Marrow in the FCPA Blog.
3. Biden Dumps PCAOB Board. Aaron Nicodemus and Kyle Brasseur in Complinace Week. (sub req’d)
4. More on Caremark. Jeff Kaplan in the Conflict of Ethics Blog.
5. What is conflict due diligence? Lawarence Heim in PracticalESG Blog.
6. Can you measure a ‘speak-up’ culture by the number of complaints? Martin Lønstrup in the FCPA Blog.
7. Two former Chadean diplomats indicted for corruption. Mike Volkov in Corruption, Crime and Compliance.
8. Are there smoking guns in your Board minutes? Terry Quimby in the Compliance Cosmos.
9. Do you need a People Committee on your BOD? Reshmi Paul and Jeff McLean in Compensation In Context.

Podcasts and Events

1. How does history inform compliance? What are the leadership lessons from ancient Greeks and Romans? Find out in this special 10 part podcast series on famous Greeks and Romans from Plutarch’s Lives this week on 12 O’Clock High, a podcast on business leadership, hosted by Richard Lummis and Tom Fox. In Episode 1, they mine Plutarch about the lives of and leadership lessons from Themistocles and Camillus.
2. Trekking Through Compliance Returns! Tom reviews all 79 episodes of Star Trek, the Original Series beginning June 1. Each day at 3 PM on the Compliance Podcast Network. This week included Mudd’s Women, What are Little Girls Made Of?, Miri, Dagger of the Mind and The Corbomite Maneuver.
3. AB InBev invites you to the Compliance Open House on June 15 at 10AM EST on the topic “Collaboration Framework for Democratizing Compliance Analytics – where are we and what is next." Registration and information here.
4. On July 1, join K2 Integrity’s Snezana Gebauer and Darren Matthews will present a webinar on asset tracing at the IBA Global Influencer Forum. Learn more and register: https://www.k2integrity.com/en/events/k2-integrity-webinar-at-iba-global-influencer-forum-fraud-debt-and-judgements-how-to-maximize-asset
5. What is the role of compliance in managing Environment, Social, and Governance (ESG) initiatives? Join this Convercent Global Forum to learn what’s ahead for ESG and what you should start thinking about now, to be prepared before regulations go into effect. On June 16, 11 AM ET. Registration and information here.
6. Tom announces his latest book, The Compliance Handbook, 2nd edition is available for presale purchase. Use the code FOX25 and go here. The Compliance Handbook 2ndedition will be available in both print and eBook editions.

Tom Fox is the Voice of Compliance and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com. 

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Stories

1. Compliance and goverance for NFTs. Ingrid Vasiliu-Feltes in XpertsLeague.
2. Compliance risks in post-acquisition integration. Jennifer Fondrevay in the FCPA Blog.
3. A collective response to ransomware attacks is needed. Jaclyn Jaeger reflects in Complinace Week. (sub req’d)
4. Using stories to make your values stick. Brett Beasley in Notre Dame Delloite Center for Ethical Leadership.
5. What is the cost of compliance? Thompson Reuters report, in CCI.
6. Is AI up to AML work? Mayze Teitler explores in the Global Anti-Corruption Blog.
7. Are echos of 2008 in the air? Mark Jensen and in Ian Roffman CCI.
8. More charges still coming down from the Odebrecht case. Mike Volkov in Corruption, Crime and Compliance.
9. Lessons for corp BODs from Exxon. Nell Minow the Havard Law School Forum on Corporate Governance.
10. What is the status of your financial crimes compliance program? Frank Staelens in Risk and Compliance Platform Europe. 

Podcasts and Events

1. Mikhail Reider-Gordon is back with a special two-part week on The Wirecard Saga. Check out the top podcast on Germany’s biggest financial scandal over the past 70 years. Listen to the ‘Know When to Hold ‘Em’ edition, Part 1 & Part 2. On the Compliance Podcast Network.
2. Compliance Man Returns with a New Season: True or False? Tom and emerging market compliance special Tim Khasanov-Batirov are back with a new 10-episode season. In Episode 2, they explore how whistleblowers are received in emerging markets. Can’t get out of your Ivory Tower, the check out Compliance Man to learn about compliance in emerging markets. The season’s episodes will post at 7AM each Friday over the next few months. Part 2 .
3. Trekking Through Compliance Returns! Tom reviews all 79 episodes of Star Trek, the Original Series beginning June 1. Each day at 3 PM on the Compliance Podcast Network. This week included The Man Trap, Charlie X, Where No Man Has Gone Before, and The Naked Time.
4. The Compliance Podcast Network premiers a new podcast, From the Editor’s Desk, with Dave Lefort, Editor in Chief of Compliance Week. In this Episode 1, we review some of the top stories from the CW 21 Conference, the top stories from CW in May and a special segment with Aly McDevitt, author of the CW special report on the VW monitorship. From the Editor’s Desk will appear on the first and last Friday of each month at 8 AM. 
5. Two great K2 Integrity events. On June 9, join K2 Integrity’s Lindsay Di Fede and Olivia Allison to hear about the benefits of taking a holistic and programmatic approach to preventing, detecting, responding to, and remediating insider threats. Learn more and register: https://www.k2integrity.com/en/events/insider-threats---taking-a-proactive-and-preventive-approach. On July 1, join K2 Integrity’s Snezana Gebauer and Darren Matthews will present a webinar on asset tracing at the IBA Global Influencer Forum. Learn more and register: https://www.k2integrity.com/en/events/k2-integrity-webinar-at-iba-global-influencer-forum-fraud-debt-and-judgements-how-to-maximize-asset
6. Tom announces his latest book, The Compliance Handbook, 2nd edition is available for presale purchase. Use the code FOX25 and go here. The Compliance Handbook 2ndedition will be available in both print and eBook editions.

Tom Fox is the Voice of Compliance and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

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 Stories

1. Big corruption trial and great lawyer gossip going on in London, as ENRC sues former lawyer and SFO. Check out these reports in Rueters, here, here and here.
2. Revisiting the FCPA Top 10. Harry Cassin in the FCPA Blog.
3. GDPR turns 3. Neil Hodge reflects in Complinace Week. (sub req’d) Tom and Jonathan Armstrong podcast on Life with GDPR.
4. More anti-trust troubling the world of chicken prodcuers. Mike Volkov in Corruption, Crime and Compliance.
5. What is the intersection of ESG and Compliance. Tom explores the role of compliance here and here. Matt Kelly weighs in on the SEC comments in Radical Compliance.
6. How to lessen extortionware attacks. Rob Shavell in CCI.
7. DFS fines two companies for data breachs. Paul Weiss lawyers in NYU’s Compliance and Enforcement Blog.
8. Internal reporting is down. What does it portend? Andrew Burt in Navex Global’s Ethics Matters.
9. Caremark Developments and the Imperative of Regular Risk Review. William Savittin the Havard Law School Forum on Corporate Governance.
10. What is Bizzaro Malware? Jonathan Rusch explains in Dipping Through Geometries.

Podcasts and Events

1. In this episode of The Compliance Handbook, Tom has a great discussion with Hui Chen about her thoughts on the evolution of compliance.
2. Compliance Man Returns with a New Season: True or False? Tom and emerging market compliance special Tim Khasanov-Batirov are back with a new 10-episode season. In Episode 1, they explore how whistleblowers are received in emerging markets. Can’t get out of your Ivory Tower, the check out Compliance Man to learn about compliance in emerging markets. The season’s episodes will post at 7AM over the next few months. Part 1 .
3. Trekking Through Compliance Returns! Tom reviews all 79 episodes of Star Trek, the Original Series beginning June 1. Each day at 3 PM CT on the Compliance Podcast Network.
4. Join K2 Integrity 9 June 2021 to hear a team of experts discuss the benefits of taking a holistic and programmatic approach to preventing, detecting, responding to, and remediating insider threats. Learn more and register here. 
5. Tom announces his latest book, The Compliance Handbook, 2nd edition is available for presale purchase. Use the code FOX25 and go here. The Compliance Handbook 2ndedition will be available in both print and eBook editions.

Tom Fox is the Voice of Compliance and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

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Stories

1. $28MM whistleblower award in FCPA case. Menqui Sun in the WSJ Risk and Compliance Journal. SEC Press Release.
2. Will investigations on China become even more difficult? Helen Hwang and Eric Carlson in the FCPA Blog.
3. Ephemeral messaging guidelines. Rebecca Cronin in JDSupra.
4. What is moral equilibrium? Vera Cherepanova in the FCPA Blog.
5. Great series on the VW monitorship. Aly McDevitt in Compliance Week Part 1, Part 2, Part 3, Part 4, Part 5 (sub req’d).
6. Using neuroscience in leadership. Dr. David Rock in Flexworks.
7. Corruption and soccer. In Risk and Compliance Platform Europe.
8. Underarmour settles EC charges. Mike Volkov in Corruption, Crime and Compliance.
9. How do you mind the data gap? SEC Commish Caroline Crenshaw in the Havard Law School Forum on Corporate Governance.
10. Judge admonishes Paul Wiess and Alex Oh. Mike Volkov comments in Corruption Crime and Compliance.

Podcasts and Events

1. In this episode of Survive and Thrive, Tom and Korney Nordum discuss how to naviage an SEC review of your Code of Conduct.
2. In the most recent episode of Integrity Through Compliance, recorded before the recent Colonial Pipeline Ransomware attack, Affiliated Monitors, Inc.’s MD Dionne Lomax, sat down with Dentons’ Kelly Graf to discuss Privacy and Cybersecurity Issues for 2021 and Beyond. Now that cybersecurity is in the news more than ever, this conversation couldn’t be more relevant. Check it out here.
3. In a special K2 Integrity Matters podcast, Tom visits with Gabe Hidalgo on the latest on cryptocurrencies and their issues.
4. Join K2 Integrity’s team on the latest DOLFIN Webinar: Ask an Expert FINQuiry on High-Risk Banking. Chip Poncy, Gabe Hidalgo, Gail Fuller, and Archana Bea will lead the discussion on high-risk banking, businesses, and products; emerging risks in the virtual assets space; and financial crime risk management for fintechs. Learn more and register here. 
5. Tom announces his latest book, The Compliance Handbook, 2nd edition is available for presale purchase. Use the code FOX25 and go here. The Compliance Handbook 2ndedition will be available in both print and eBook editions. This week on The Compliance Handbook podcast, Eric Young joins Tom for a deep dive into the role of internal controls in a best practices compliance program.

Tom Fox is the Voice of Compliance and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

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 Stories

1.     Of Elon Musk, Bitcoin and Uturns. Matt Kelly in Radical Compliance. Tom and Matt in Compliance into the Weeds. Andrew Ross Sorkin in Dealbook. On SNL here.

2.     Benchmark with the Walmart Global ABC policy.  Harry Cassin in the FCPA Blog. 

3.     Closing the moral hazard gap. Jeff Kaplan in the FCPA Blog. 

4.     Boards and cybersecurity oversight. Wachtell lawyers, John F. Savarese, Sarah K. Eddy, and Sabastian Niles in the NYU Corruption and Enforcement Blog.

5.     You are ready for th EU Whistleblower Directive? Neil Hodge in in Compliance Week (sub req’d)

6.     Are companies serious about Diversity & Inclusion? Henry Kronk in CCI. 

7.     Who are a CCOs most important resource (Hint: it’s customers). Steve Chapman in Navex Global’s Ethics and Compliance Matters Blog. 

8.     What happens when whistleblowers joust over an award? Matt Kelly in Radical Compliance.  

9.     Do you have a mindset of respect? Sam Silverstein in the Accountability Blog.

10.  How does ESG serve investors? Lawrence Heim in PracticalESG.com. 

 Podcasts and Events

11.  Check out the 5-part podcast series this week sponsored by K2 Integrity. We consider the intersection of Compliance, Diligence and M&A. Part 1-Core Diligence, Part 2-Current state of M&A; Part 3-Avoiding Reputational Issues, Part 4-Global M&A issues, Part 5-Post-acquistion integration. 

12.  In the most recent episode of Integrity Through Compliance, Jesse Caplan, Dionne Lomax and Jim Anilot discuss “From Business Opportunities to Compliance Risks: Health Expectations in 2021”. Check it out here. 

13.  In a special two-part series, Tom visits with Joey Seeber, CEO of Level Legal. They discuss alternative legal services providers and the Baylor Bears 2021 NCAA Men’s Basketball Championship. Part 1 and Part 2.

14.  CCI releases a new eBook, The FCPA Year in Review by the Compliance Evangelist, Tom Fox. You can obtain a copy here.  Best of all its available at no charge. 

15.  Tom announces his latest book, The Compliance Handbook, 2nd edition is available for presale purchase. Use the code FOX25 and go here. The Compliance Handbook 2nd edition will be available in both print and eBook editions. This week on The Compliance Handbook podcast, Eric Young joins Tom for a deep dive into the role of internal controls in a best practices compliance program. 

Tom Fox is the Voice of Compliance and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

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Stories

1.     SAP trade sanction enforcement action. Matt Kelly with two pieces in Radical Compliance. Mike Volkov takes a deep dive in a 4 part series on Corruption Crime and Compliance. 

2.     Should compliance make folks uncomfortable?  Anna Romberg explores in the FCPA Blog. 

3.     Has FCPA enforcement stopped? Of course not and Dick Cassin explains why on the FCPA Blog. 

4.     Scott Moritz synthesizes the FCPA Resource Guide and Evaluation of Corp Compliance Programs. On LinkedIn.

5.     The Zombie idea of corruption risk? Matthew Stephenson in the Global AntiCorruption Blog.

6.     What does Solar Winds mean for businesses? Dan Verton in CCI. 

7.     On the intersection of governance, fraud and culture. Jonathan Marks in Board and Fraud. 

8.     Compliance and Supply Chain Risk Management. Josh Reed in Navex Global’s Ethics and Compliance Matters Blog.

9.     DNB fined $48.1MM for AML violations. Aaron Nicodemus in Compliance Week (sub req’d)

10.  Compliance officers taking the lead in corp ESG. Dylan Tokar in WSJ Risk and Compliance Journal. 

Podcasts and Events

11.  Check out the newest addition to the Compliance Podcast Network, Survive and Thrive. In this podcast, co-hosted by Tom Fox and Kortney Nordrum, we unpack some compliance disasters and more importantly how to avoid them. Check out Episode 1 here, where we unpack the risk of timing. 

12.  In this episode of Integrity Through Compliance, Jesse Caplan, Dionne Lomax and Jim Anilot discuss “From Business Opportunities to Compliance Risks: Health Expectations in 2021”. Check it out here. 

13.  Join Jay and Tom at Compliance Week 2021. For information and registration, click here. Listeners to this podcast can receive a discount of $200 by using the code PODCAST599 at check out. 

14.  CCI releases a new eBook, The FCPA Year in Review by the Compliance Evangelist, Tom Fox. You can obtain a copy here.  Best of all its available at no charge. 

15.  Tom announces his latest book, The Compliance Handbook, 2nd edition is available for presale purchase. Use the code FOX25 and go here. The Compliance Handbook 2nd edition will be available in both print and eBook editions. This week on The Compliance Handbook podcast, Eric Young joins Tom for a deep dive into the role of internal controls in a best practices compliance program. 

16.  Special Treat-Grace Slick opens the Jefferson Airplane’s Woodstock set with “It’s a New Dawn.”

Tom Fox is the Voice of Compliance and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

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Stories

1.  Alex Oh resigns. Matt Kelly in Radical Compliance.
2. What are 3 top BOD priorities? Maria Motes in CCI.
3. Why compliance must understand business process. Mike Volkov in Corruption Crime and Compliance.
4. Post pandemic business resiliance. Jim Deloach in CCI.
5. What is location risk? Atul Vashistha in CCI.
6. Investor due diligence on modern slavery. Subodh Mishra in the Havard Law School Forum on Corp Governance.
7. ComEd as a wake up call. Vincent Wu in the Global AntiCorruption Blog.
8. May is Internal Auditors Month. Navez Global’s Ethics and Compliance Matters Blog.
9. German ups its AML game. Risk and Compliance Platform Europe.
10. Want insight in WFH procrastion? Dick Cassin says look to writers, in the FCPA Blog.

Podcasts and Events

1. Tom and Megan Dougherty are doing a special podcast series around The Falcon and The Winter Soldier, currently streaming on Disney+. Check out Episodes 1&2, Episode 3, Episode 4, Episode 5. Episode 6 drops next week.
2. This month on The Compliance Life, Tom welcomes Jonathon Kellerman. In Episode 1, Jonathon discusses the path he took to compliance. In Episode 2, he talked about his early professional career in healthcare compliance consulting. In Episode 3, he moves to the CCO Chair. In Episode 4, Jonathon looks down the road for what’s next in compliance.
3. Join K2 Integrity on 6 May 2021 for a webinar, presented in Spanish, “Reputational Due Diligence for Companies and Investment Firms.” The team will discuss scenarios and cases in which reputational due diligence helped uncover hidden areas of risk and opportunities for our clients. Learn more and register here. 
4. Join Tom and Jay at Converge21, the Workshop Edition, click here. Best of all, its free.
5. Join Jay and Tom at Compliance Week 2021. For information and registration, click here. Listeners to this podcast can receive a discount of $200 by using the code PODCAST599 at check out.
6. CCI releases a new eBook, The FCPA Year in Review by the Compliance Evangelist, Tom Fox. You can obtain a copy here. Best of all its available at no charge.
7. Tom announces his latest book, The Compliance Handbook, 2nd edition is available for presale purchase. Use the code FOX25 and go here. The Compliance Handbook 2ndedition will be available in both print and eBook editions. This week on The Compliance Handbook podcast, Eric Young joins Tom for a deep dive into the role of internal controls in a best practices compliance program.

Tom Fox is the Voice of Compliance and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

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 Stories

1. SEC whistleblower program big award and news. Mengqi Sun in WSJ Risk and Compliance Journal. Matt Kelly in Radical Compliance. How did compliance manage reporting during Covid-19. Jaclyn Jaeger in Compliance Week. (sub req’d)
2. Human capital management. Paul Washington and Rebecca Ray in the Harvard Law School Forum on Corporate Governance.
3. NYDFS cybersecurity enforcement action against National Securities. In NYU Compliance and Enforcement Blog.
4. Post pandemic business resiliance. Jim Deloach in CCI.
5. The cost of unethical requests. Isaac H. Smith, Maryam Kouchaki, and Justin Wareham in the MIT Sloan Management Review. (sub req’d)
6. To Russia with Love. Mike Volkov on the US ramping up sanctions on Russia. For a deeper dive check out this week’s episode of Embargoed! On the Compliance Podcast Network.
7. ComEd as a wake up call. Vincent Wu in the Global AntiCorruption Blog.
8. Making your values stick. Brett Beasley in Center for Ethical Leadership.
9. The role of complexity in compliance. Risk and Compliance Platform Europe.
10. Can the government make us more ethical? Jeff Kaplan explores in the Conflict of Interest Blog.

Podcasts and Events

1. Tom and Megan Dougherty are doing a special podcast series around The Falcon and The Winter Soldier, currently streaming on Disney+. Check out Episodes 1&2, Episode 3, Episode 4, Episode 5.
2. Affiliated Monitors, Inc.’s Donald Sternand Eric Feldman CFE, CIG, CCEP-I host special guest Rod J. Rosenstein, former Deputy Attorney General and currently a partner at King & Spalding, for part two of an engaging discussion on "The Past, Present and Future of Monitoring”. Rod and Eric conclude with key takeaways at the end of this podcast.
3. This month on The Compliance Life, Tom welcomes Jonathon Kellerman. In Episode 1, Jonathon discusses the path he took to compliance. In Episode 2, he talked about his early professional career in healthcare compliance consulting. In Episode 3, he moves to the CCO Chair.
4. For more information on the Converge21, the Workshop Edition, click here.
5. CCI releases a new eBook, The FCPA Year in Review by the Compliance Evangelist, Tom Fox. You can obtain a copy here. Best of all its available at no charge.
6. Tom announces his latest book, The Compliance Handbook, 2nd edition is available for presale purchase. Use the code FOX25 and go here. The Compliance Handbook 2ndedition will be available in both print and eBook editions. This week on The Compliance Handbook podcast, Eric Young joins Tom for a deep dive into the role of internal controls in a best practices compliance program.

Tom Fox is the Voice of Compliance and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

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Stories

1. Environmental crime enforcement under the Biden Administration. Mike Volkov in Corruption Crime and Compliance.
2. Jason Meyer on what the Masters means to him, on LinkedIn.
3. Policies and Procedures not enough in compliance. Klaus Moosemeyer in the FCPA Blog.
4. PCAOB charged with discrimination in suit. Aaron Nicodemus in Compliance Week. (sub req’d)
5. AI in compliance. Shurti Shah and Joanthan Rusch in NYU’s Compliance and Enforcement Blog.
6. What is audit fieldwork. Dr. Herman Murdock in XpertsLeague.
7. DOJ to increase cross-border enforcement? Jon New and Patrick Campbell in CCI.
8. Is moral leadership an art? Brett Beasley in Center for Ethical Leadership.
9. FTC gearing up on enforcement. Get ready. Jaclyn Jaeger in Compliance Week. (sub req’d)
10. More on ESG. Jonathan Marks in BoardandFraud. 

Podcasts and Events

1. Tom and Megan Dougherty are doing a special podcast series around The Falcon and The Winter Soldier, currently streaming on Disney+. Check out Episodes 1&2, Episode 3, Episode 4.
2. Check out the 5-part podcast series, sponsored by Lextegrity on the most cutting edge use of data analytics in compliance. All on the Compliance Podcast Network.
3. This month on The Compliance Life, Tom welcomes Jonathon Kellerman. In Episode 1, Jonathon discusses the path he took to compliance. In Episode 2, he talks about his early professional career in healthcare compliance consulting.
4. This week on The Compliance Handbook, I visit with AMI’s Vin DiCianni and Eric Feldman on the role of culture in compliance. Check outthe video podcast here.
5. CCI releases a new eBook, The FCPA Year in Review by the Compliance Evangelist, Tom Fox. You can obtain a copy here. Best of all its available at no charge.
6. Join Tom and Jay at ECI’s IMPACT 2021, which will be held virtually April 20-22. Listeners to this podcast will receive a 20% discount to the event. For more information and registration details click here. Use the code Tom20for your discount.
7. Join K2 Integrity’s financial crimes compliance professionals on Thursday, 22 April 2021, at 10 AM ET for DOLFIN’s “Ask an Expert FINQuiry” webinar, for a discussion on the impact of ongoing developments in the financial integrity community. Information and Registration here. Third-party due diligence, through creative and comprehensive gathering of information and intelligence, can help organizations better assess the third-party and associated risks and identify areas of potential concern or opportunity that would otherwise have gone uncovered. Join K2 Integrity’s Anna Gumowska and Shannon Rainey on Wednesday, 21 April as they discuss scenarios in which third-party due diligence helped uncover areas of risk and opportunity for clients. Information and Registration here.
8. Tom announces his latest book, The Compliance Handbook, 2nd edition is available for presale purchase. Use the code FOX25 and go here. The Compliance Handbook 2ndedition will be available in both print and eBook editions. This week on The Compliance Handbook podcast, the ladies from #GWIC join Tom for a deep dive into written standards.

Tom Fox is the Voice of Compliance and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

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Stories

1. Credit Suisse feels the pain of poor risk management. Matt Kelly in Radical Compliance. Dylan Tokar in the WSJ Risk and Compliance Journal. Tom Smith in the Financial Times.
2. Jason Meyer sees a win for compliance and ethics, on LinkedIn.
3. Is a SOX whistleblower required to prove fraud? Jason Zuckerman in the Whistleblower Protection Blog.
4. Karen Woody named Herndon Fellow. Peter Jettons in The Columns.
5. Accountability: it’s all of us. Sam Sliverstein in LinkedIn.
6. Time for a national privacy law. Steven Cavey in CCI.
7. Is what you need Goldilocks compliance? Jeff Kapan in CEP.
8. Ready to move into compliance or risk management? Dick Cassin says asks some questions first, in the FCPA Blog.
9. How to protect whistleblowers? Alexander Ghavinian in the FCPA Blog. Six principles of whistleblower protection. František Nonnemann the Risk and Compliance Platform Europe.
10. As int’l anti-corruption evolves, is the US losing its place. Robert Clark explores in the FCPA Blog. 

Podcasts and Events

1. On Integrity Through Compliance, Don Stern and Eric Feldman host former DAG Rod Rosenstein for a two-part series on the past, present and furture of compliance and independent monitoring. Check out Part 1 here.
2. Tom and Megan Dougherty are doing a special podcast series around The Falcon and The Winter Soldier, currently streaming on Disney+. Check out Episodes 1&2 and Episode 3.
3. This month on The Compliance Life, Tom welcomes Jonathon Kellerman. In Episode 1, Jonathon discusses the path he took to compliance.
4. CCI releases a new eBook, The FCPA Year in Review by the Compliance Evangelist, Tom Fox. You can obtain a copy here. Best of all its available at no charge.
5. Join Tom and Jay at Ethisphere’s 2021 Global Ethics Summit, which will be held virtually April 13-15. Listeners to this podcast will receive a 15% discount to Ethisphere’s Global Ethics Summit For more information and registration details click here. Use the code tomfox15 for your discount.
6. Join K2 Integrity’s financial crimes compliance professionals on Thursday, 22 April 2021, at 10 AM ET for DOLFIN’s “Ask an Expert FINQuiry” webinar, for a discussion on the impact of ongoing developments in the financial integrity community. Information and Registration here.
7. Tom announces his latest book, The Compliance Handbook, 2nd edition is available for presale purchase. Use the code FOX25 and go here. The Compliance Handbook 2ndedition will be available in both print and eBook editions. This week on The Compliance Handbook podcast, the ladies from #GWIC join Tom for a deep dive into written standards.

Tom Fox is the Voice of Compliance and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

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Stories

1. Tom takes a deep dive into Ethisphere’s WME awards and reports. Part 1-WME awards. Part 2-managing a global workforce. Part 3-managing third-party risks. Part 4-communications and training.
2. What is the price of nice? Mary Shirley explores in CCI.
3. Criminalization of sports corruption. Ubong Udoeyo in GAB.
4. Are you FARA compliant? Jonathan Marks in Board and Fraud.
5. James Comey channels Bette Davis (and Jim Deloach). Aly McDevitt in Compliance Week. (sub req’d)
6. How to prevent money-laundering. Alia Noor in XpertsLeague.
7. Where to start with ESG reporting. MaryAnn Rains in Risk and Compliance Matters.
8. Should compliance have outside competition? Dick Cassin opines in the FCPA Blog.
9. Are you curious? (Not in a blue or yellow way) Joe Murphy channels Tim Harford in LinkedIn.
10. Are you tone deaf from the top. Jon May in LinkedIn. 

Podcasts and Events

1. The Great Women in Compliance has its 100th anniversary edition. Mary and Lisa reflect back on their journey. Join us in congratulating them. Listen in on the Compliance Podcast Network.
2. MoFo joins the Compliance Podcast Network. Check out this week’s episode where Morrison & Foerster partner James Koukios speaks with fellow partner Brandon Van Grack about what to expect in the National Security space under the new Biden Administration.
3. Coffee & Regs joins the Compliance Podcast Network. In this episode, host Natalie Silverman, former Chief Compliance Officers Matt Calabro and Allison Fraser sit down to discuss public pension fund independent compliance reviews.
4. CCI releases a new eBook, The FCPA Year in Review by the Compliance Evangelist, Tom Fox. You can obtain a copy here. Best of all its available at no charge.
5. Join Tom and Jay at Ethisphere’s 2021 Global Ethics Summit, which will be held virtually April 13-15. Listeners to this podcast will receive a 15% discount to Ethisphere’s Global Ethics Summit For more information and registration details click here. Use the code tomfox15 for your discount.
6. Tom announces his latest book, The Compliance Handbook, 2nd edition is available for presale purchase. Use the code FOX25 and go here. The Compliance Handbook 2ndedition will be available in both print and eBook editions. This week on The Compliance Handbook podcast, the ladies from #GWIC join Tom for a deep dive into written standards.

Tom Fox is the Voice of Compliance and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

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Stories

1.     Universities behaving badly. Tom looks at the KU hiring and firing of Les Miles in a four-part blog post series on the FCPA Compliance and Ethics Blog. 

2.     Bette Davis and Jim Deloach both say fasten your seatbelts. Jim Deloach in CCI. 

3.     Do you have a Money Laundering Reporting Officer? Alia Noor in XpertsLeague.

4.     How to avoid an OIG investigation. Sara Kropf in Grand Jury Blog. 

5.     Why do SPACs give compliance fits? Aaron Nicodemus in Compliance Week. (sub req’d)   

6.     Risk Management and IT Security in WFH. Sam Abadir in Risk and Compliance Matters.  

7.     Building bridges between compliance and BD. Mike Volkov in Crime Corruption and Compliance. 

8.     Three significant CCO hires. What does it mean? Nicholas Trutanich to Fox Corp (WSJ); David Searle to Tesla (Bloomberg) and Antonio Fernández to FirstEnergy (WSJ).

9.     Why ignoring red flags around Iran is bad. Doug Cornelius in Compliance Building. 

10.  Paucity of FCPA enforcement in Q1, good or bad? Harry Cassin explore in the FCPA Blog. 

Podcasts and Events

11.  On The Compliance Life, Rob Chesnut joins me for the month of March.  In the first episode, In Episode 1, Rob talks about his academic career at UVA and how its Honor Code influenced his thinking about ethics in his professional career and his his career as an AUSA. In Episode 2, Rob moves cross country to join eBay. In Episode 3, Rob talks about moving into the Chief Ethics Officer role at Airbnb. In Episode 4, Rob looks down the road for compliance. 

12.  Microsoft has joined the Compliance Podcast Network, with two podcasts, Voice of Data Protection and Uncovering Hidden Risks. In Episode 5 of Voices of Data Protection, Bhavanesh Rengarajan discusses your information governance and records management journey.  In Episode 5 of Uncovering Hidden Risks, Raman Kalyan Talhah Mir how far insider risk programs have come.

13.  Coffee & Regs joins the Compliance Podcast Network. In this week’s episode, hosts Natalie Silverman visits with Alison Taylor and Victoria Olsen to discuss the compliance playbook for regulagtory change. 

14.  AMI’s Mikhail Reider-Gordon and Eric Feldman continue their discussion on trends in independent monitoring in this episode of Integrity Through Compliance. 

15.  Tom announces his latest book, The Compliance Handbook, 2nd edition is available for presale purchase. Use the code FOX25 and go here. The Compliance Handbook 2nd edition will be available in both print and eBook editions. This week on The Compliance Handbook podcast, the ladies from #GWIC join Tom for a deep dive into written standards. 

Tom Fox is the Voice of Compliance and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

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Stories

1.     Retaliation against whistleblowers on the rise. Tom interviews Pat Harned on the FCPA Compliance Report. 

2.     Novaris announces a new ABC compliance program. Harry Cassin in the FCPA Blog. 

3.     Expect closer cooperation between DOJ and SFO. Neil Hodge in Compliance Week. (sub req’d)   

4.     Developments in state of New York antitrust law. WilmerHale lawyers in NYU Compliance and Enforcement Blog.

5.     NatWest facing criminal charges in UK over money-laundering. Mengqi Sun in WSJ Risk and Compliance Journal.

6.     Due Diligence and SCRM. Matt Kelly in Navex Global’s Risk and Compliance Matters Blog. 

7.     Braskem investigates bribery of Pemex official in Mexico. Dylan Tokar in WSJ Risk and Compliance Journal.

8.     Here be the Dragon for Internal Audit. Ali Noor in XpertsLeague. 

9.     Continuous monitoring through continuous auditing. Jonathan Marks in Board and Fraud. 

10.  What do BODs and senior execs see as the top risks for 2021. Jim Deloach in CCI. Charles Mitchell in the Harvard Law School Forum on Corp Governance.

Podcasts and Events

11.  On The Compliance Life, Rob Chesnut joins me for the month of March.  In the first episode, In Episode 1, Rob talks about his academic career at UVA and how its Honor Code influenced his thinking about ethics in his professional career and his his career as an AUSA. In Episode 2, Rob moves cross country to join eBay. In Episode 3, Rob talks about moving into the Chief Ethics Officer role at Airbnb.

12.  Microsoft has joined the Compliance Podcast Network, with two podcasts, Voice of Data Protection and Uncovering Hidden Risks. In Episode 3 of Voices of Data Protection, Bhavanesh Rengarajan discusses the value of information governance.  In Episode 3 of Uncovering Hidden Risks, Raman Kalyan Talhah Mir consider using HR data to uncover insider risk.

13.  Check out some hoops and ethics in the 2021 Ethics Madness during the first day of March  Information and registration here. 

14.  In a special five-part podcast series, I visited with Pat Harned, President of Ethics & Compliance Initiative (ECI), about the organization’s 2021 Global Business Ethics Survey. In Episode 1, we review some of the key trends. In Episode 2, we review the key findings. In this Episode 3, we take up the most troubling finding in the GBES; that being the huge uptick in retaliation. In Episode 4, we consider the impact of Covid-19 on compliance. We conclude with Episode 5 on Conclusions and Recommendations. Full series available on iTunes here.

15.  Tom announces his latest book, The Compliance Handbook, 2nd edition is available for presale purchase. Use the code FOX25 and go here. The Compliance Handbook 2nd edition will be available in both print and eBook editions. This week on The Compliance Handbook podcast, the ladies from #GWIC join Tom for a deep dive into written standards. 

Tom Fox is the Voice of Compliance and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

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 Stories

1. Increase in SEC penalties coming? Matt Kelly in Radical Compliance.
2. Why don’t more employees speak up? Vera Cherepanova in the FCPA Blog.
3. What happens when you have a regulartory sand box? Neil Hodge in Compliance Week. (sub req’d)  
4. First DFS cyber breach resolution. Debevoise lawyers in NYU Compliance and Enforcement Blog.
5. The continuing wreckage of the Solar Winds hack. Mike Volkov in Crime Corruption and Compliance.
6. What is the state of your DEI program. Chai Feldblum and Emily Cuneo DeSmedt in Navex Global’s Risk and Compliance Matters Blog.
7. Are you too old to be in compliance? Dick Cassin the FCPA Blog.
8. DOJ ramps up FCPA enforcement fire power. Dylan Tokar in the WSJ Risk and Complaince Journal.

Podcasts and Events

1. On The Compliance Life, Rob Chesnut joins me for the month of March. In the first episode, In Episode 1, Rob talks about his academic career at UVA and how its Honor Code influenced his thinking about ethics in his professional career and his his career as an AUSA. In Episode 2, Rob moves cross country to join eBay.
2. Microsoft joins the Compliance Podcast Network, with two podcasts, Voice of Data Protection and Uncovering Hidden Risks. In Episode 2 of Voices of Data Protection, Bhavanesh Rengarajan discusses information protection strategies. In Episode 2 of Uncovering Hidden Risks, Raman Kalyan Talhah Mir consider how to determine your next insider risk.
3. Cordery Compliance joins the Compliance Podcast Network with its Cordery Head to Head podcast. In this episode, Jonathan Armstrong visits with Prof. Eric Sinrod as they look ahead at what 2021 might mean for the world of technology. Check it out here.
4. Episode 4 of Integrity Through Compliance.This podcast will focus on the role of an independent monitor. You will hear from two of my AMI colleagues who are experts in corporate compliance and ethics, Senior Vice President, Eric Feldman and Managing Director, Mikhail Reider-Gordon who provide practical advice about the benefits of having an independent monitor. Check it out here.
5. Join K2 Integrity's financial crimes risk and compliance experts on March 18 as they discuss the impact of ongoing developments in the financial integrity community. Topics will include: Regulatory trends and predictions for 2021 and beyond, Changes in the AML/CFT and ABC landscape, and Implications of evolving OFAC sanctions programs. Information and registration here.
6. Tom announces his latest book, The Compliance Handbook, 2nd edition is available for presale purchase. Use the code FOX25 and go here. The Compliance Handbook 2ndedition will be available in both print and eBook editions. This week on The Compliance Handbook podcast, the ladies from #GWIC join Tom for a deep dive into written standards.

Tom Fox is the Voice of Compliance and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

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Stories

1. Apple announces a compliance website. Harry Cassin in the FCPA Blog. Matt Kelly in Radical Compliance.
2. What are some principles for victim remediation in ABC enforcement action. Sam Hickey in Global Anticorruption Blog.
3. ESG is ‘having a moment’. Dave Lefort in Compliance Week. (sub req’d)  
4. Global trends on ABC enforcement. Stephanie Yonekura and Ann Kim on CCI.
5. Ex-SBM Offshore Executive convicted in UK SFO Bribery Case. Jonathan Armstrong in Cordery Compliance.
6. FCPA themes from 2020. Jonathan Marks in Board and Fraud.
7. Board liability increases around compliance programs. Mike Volkov in Crime Corruption and Compliance.
8. Global trends in corporate governance. In the Harvard Law School Forum on Corporate Goverance.

Podcasts and Events

1. On The Compliance Life, Rob Chesnut joins me for the month of March. In the first episode, Rob talks about his academic career at UVA and how its Honor Code influenced his thinking about ethics in his professional career and his his career as an AUSA. Check out Episode 1.
2. Microsoft joins the Compliance Podcast Network, with two podcasts, Voice of Data Protection, hosted by Bhavanesh Rengarajan Protection and Uncovering Hidden Risks, hosted by Raman Kalyan Talhah Mir. Episode 1 of Voices of Data Protection is available here. Episode 1 of Uncovering Hidden Risks is available here.
3. Convercent rolls out a new podcast this week on the Compliance Podcast Network, The Ethics & Compliance Library, hosted by Lauren Siegel. Check out Episode 1 where Siegel takes a deep dive into Blind Spots by Ann Tenbrunsel and Max Bazerman.
4. Join K2 Integrity's financial crimes risk and compliance experts on March 18 as they discuss the impact of ongoing developments in the financial integrity community. Topics will include: Regulatory trends and predictions for 2021 and beyond, Changes in the AML/CFT and ABC landscape, and Implications of evolving OFAC sanctions programs. Registration and Information here.
5. Join K2 Integrity for a webinar, “Libya: New Government—Opportunities for the Construction Industry” on March 11, where Paul Ryan and Sabrine Hassen will be joined by guest speaker John Davie of Altra Capital to discuss the opportunities and risks in post-conflict Libya for the construction industry. Registration and information here.
6. Tom announces his latest book, The Compliance Handbook, 2nd edition is available for presale purchase. Use the code FOX25 and go here. The Compliance Handbook 2ndedition will be available in both print and eBook editions. This week on The Compliance Handbook podcast, the ladies from #GWIC join Tom for a deep dive into written standards.

Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

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1. Ethisphere announces 2021 World’s Most Ethical Company awards. In CCI. In Radical Compliance.
2. Data Privacy under Biden. Colin Rahill in Jolt.
3. What the NDAA did regarding the SEC and disgorgement. David Levintow in the FCPA Blog. 
4. SFO wants companies to invest more in compliance. Dylan Tokar in the WSJ Risk and Compliance Journal. 
5. Board lessons from a crisis. Stephen Davis and Sandra Guerra in the Harvard Law School Forum on Corporate Governance.
6. A Texas transplant reflects on weather and lessons learned. Dick Cassin in the FCPA Blog.
7. Of Citibank and Black Swan events. Tom Explores in a 3-part blog post series on the FCPA Compliance and Ethics blog. Tom and Matt take a deep dive in Compliance into the Weeds.
8. On The Compliance Life, Natalia Shehadeh, CCO at ABB joins me this month. In the first episode, Natalia explained why she choose the compliance profession. Check out the Episode 1 and Episode 2. In Episode 3, Natalia discussed moving into the CCO chair. This week is Episode 4.
9. The Compliance Handbook, a podcast on the nuts and bolts of compliance premiered this month. In Episode 1, Tom is joined by Stephen Martin to talk about how to best think through a comprehensive compliance program. In Episode 2, Tom was joined by Mike Volkov to discuss the Board’s role in Compliance. In Episode 3, Ronnie Feldman and Ricardo Pelleton talked about training and communications from their own very unique perspective. It is also available on the traditional audio formats.
10. A new AMI podcast is out, Integrity Through Compliance. It has AMI’s expert observations and guidance in the fields of ethics, antitrust, healthcare, government contracting, corporate governance, cybersecurity, construction, telecommunications, consumer protection and more. In the Episode 1, AMI founder Vin DiCianni visited with AMI MD Jerry Coyne the future of telehealth & home healthcare during a pandemic and beyond. In Epsiode 2, Brenda Morris and Dionne Lomax visited with Jennifer Newton. In Episode 3, Joseph K. West, Partner & Chief Diversity and Inclusion Officer, Duane Morris joined the podcast to talk about the benefits of D&I.
11. Interested in podcasting? Want to be a part of a Guiness World Record attempt? PodFest Global Summit is a gathering for those who are passionate about sharing their voice and message with the world through audio and video. Join Tom and others at Podfest Global Summit at any time during March 1-5. Best all of listeners to this podcast can attend at no charge. Register here, using promo code CPN.
12. Tom announces his latest book, The Compliance Handbook, 2nd edition is available for presale purchase. Use the code FOX25 and go here. The Compliance Handbook 2ndedition will be available in both print and eBook editions.

Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

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1. How does weather inform compliance? Tom explores from an undisclosed power and water free location in Texas. Managing Risk, Root Cause Analysis and Continuous Risk Assessments.
2. What is the ‘Baader-Meinhof phenomenon’ and how does it inform compliance? Dick Cassin explores in the FCPA Blog.
3. Embezzlement and corruption? CISCO discloses both in a filing. Dylan Tokar in the WSJ Risk and Compliance Journal. 
4. Former Braskem CEO in talks to plead out. Dylan Tokar in the WSJ Risk and Compliance Journal. 
5. Hiring and screening in a pandemic. Matt Jaye in CCI.
6. How does Tom Brady (TB12) inform compliance? Jay explores in this LinkedIn
7. Where is SEC enforcement going under Biden. Dylan Tokar in the WSJ Risk and Compliance Journal. 
8. On The Compliance Life, Natalia Shehadeh, CCO at ABB joins me this month. In the first episode, Natalia explained why she choose the compliance profession. Check out the Episode 1 and Episode 2. In Episode 3, Natalia discusses moving into the CCO chair.
9. New podcasts out on the Compliance Podcast Network this month. In ComTech, Valerie Charles joins Tom for an exploration of the intersection of compliance and technology. Episode 2 which posted Monday, February 8, featured Parth Chanda, the Skywalker of Compliance. In Big Brains in Compliance, Tom is joined by Stephen Martin to visit with some of the top thinkers and doers in compliance. It premiered February 22. Finally Tom premiers a new video podcast (PodTube) on YouTube. The Compliance Handbook, a podcast on the nuts and bolts of compliance. In Episode 1, he is joined by Stephen Martin to talk about how to best think through a comprehensive compliance program. In Episode 2, Tom was joined by Mike Volkov to discuss the Board’s role in Compliance.
10. A new AMI podcast is out, Integrity Through Compliance. It will have AMI’s expert observations and guidance in the fields of ethics, antitrust, healthcare, government contracting, corporate governance, cybersecurity, construction, telecommunications, consumer protection and more. In the Episode 1, AMI founder Vin DiCianni visits with AMI MD Jerry Coyne the future of telehealth & home healthcare during a pandemic and beyond. In Epsiode 2, Brenda Morris and Dionne Lomax visit with Jennifer Newton. In upcoming Episode 3 on February 24, Joseph K. West, Partner & Chief Diversity and Inclusion Officer, Duane Morris joins the podcast.
11. On Thursday, February 25, join the “Ask an Expert FINQuiry” webinar on DOLFIN: K2 Integrity’s financial crimes compliance experts will respond to your AML/CFT, sanctions, and other financial-integrity-related questions. Information and Registration here.
12. Join the Baker Tilly Fraud 1st Annual Fraud and Compliance Summit, Tuesday, Feb 23, 2021, to Thursday, Feb 25, 2021. Details and registration here.
13. Interested in podcasting? Want to be a part of a Guiness World Record attempt? PodFest Global Summit is a gathering for those who are passionate about sharing their voice and message with the world through audio and video. Join Tom and others at Podfest Global Summit at any time during March 1-5. Best all of listeners to this podcast can attend at no charge. Register here, using promo code CPN.
14. Tom announces his latest book, The Compliance Handbook, 2nd edition is available for presale purchase. Use Use the code FOX25 and go here. The Compliance Handbook 2ndedition will be available in both print and eBook editions.

Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

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1. What is the state of the CCO in 2021? Mike Volkov takes a deep dive on the Crime Corruption and Compliance. Part 1-Looking Back and Looking Forward, Part 2-Troubling Trends, Part 3-a Coming Storm?
2. What is the intersection of compliance, culture and covid? Calvin London explores in CCI.
3. What comes next for ABC enforcement in Brazil? Sean Hecker, Marshall Miller, and Ana Frischtak in NYU’s Compliance and Enforcement
4. 4 steps to building out a business continuity plan. Matt Kelly in Navex Global’s Risk and Compliance Matters.
5. SEC reverts and allows more to do investigations. Aaron Nicodemus in Compliance Week. (sub req’d)
6. Wirecard red flags missed. Dylan Tokar interviews former Wirecard CCO/CEO in the WSJ Risk and Compliance Journal.
7. Retrieving WhatsApp messaging for an internal investigation. Andrew Reeves and David Harris asks in the FCPA Blog.
8. The virtual Boardroom. Andrew Lepczyk and Barton Edgerton on the Harvard Law School Forum on Corporate Goverance.
9. On The Compliance Life, Natalia Shehadeh, CCO at ABB joins me this month. In the first episode, Natalia explained why she choose the compliance profession. Check out the Episode 1. In Episode 2, Natalia talks about her professional jouney to the CCO chair, from Capitol Hill to Big Law to corporations.
10. New podcasts out on the Compliance Podcast Network this month. In ComTech, Valerie Charles joins Tom for an exploration of the intersection of compliance and technology. Episode 2 posted Monday, February 8 and featured Parth Chanda, the Skywalker of Compliance. In Big Brains in Compliance Tom is joined by Stephen Martin to visit with some of the top thinkers and doers in compliance. It premiers February 22. Finally Tom premiers a new video podcast (PodTube) on YouTube. The Compliance Handbook, a podcast on the nuts and bolts of compliance. In Episode 1, he is joined by Stephen Martin to talk about how to best think through a comprehensive compliance program.
11. A new AMI podcast is out, Integrity Through Compliance. It will have AMI’s expert observations and guidance in the fields of ethics, antitrust, healthcare, government contracting, corporate governance, cybersecurity, construction, telecommunications, consumer protection and more. In the Episode 1, AMI founder Vin DiCianni visits with AMI MD Jerry Coyne the future of telehealth & home healthcare during a pandemic and beyond.
12. On Thursday, February 25, join the “Ask an Expert FINQuiry” webinar on DOLFIN: K2 Integrity’s financial crimes compliance experts will respond to your AML/CFT, sanctions, and other financial-integrity-related questions. Information and Registration here.
13. Compliance Week is accepting nominations for its Excellence in Compliance Award. Submit your nominee here.
14. Join the Baker Tilly Fraud 1st Annual Fraud and Compliance Summit, Tuesday, Feb 23, 2021, to Thursday, Feb 25, 2021. Details and registration here.
15. Interested in podcasting? Want to be a part of a Guiness World Record attempt? PodFest Global Summit is a gathering for those who are passionate about sharing their voice and message with the world through audio and video. Join Tom and others at Podfest Global Summit at any time during March 1-5. Best all of listeners to this podcast can attend at no charge. Register here, using promo code CPN.
16. Tom announces his latest book, The Compliance Handbook, 2nd edition is available for presale purchase. Use Use the code FOX25 and go here. The Compliance Handbook 2ndedition will be available in both print and eBook editions.

Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

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1. What does GameStop portend for compliance? Toms take a deep dive on the FCPA Compliance and Ethics Blog. Part 1-Background, Part 2-the Shorts, Part 3-the Squeeze, Part 4-the Regulators, Part 5-Final Thoughts. Tom and Matt Kelly take a deep dive on Compliance into the Weeds.
2. Enterprise risks going forward. Matt Kelly looks down the road in Radical Compliance.
3. Solar Winds turning into a Pandora’s Box? Jaclyn Jaeger explores in Compliance Week. (sub req’d)
4. Risk culture in the digital age. Jim DeLoach explores in CCI.
5. What does the CFTC settlement with Vitol portend for enforcement (and compliance). Gibson Dunn lawyers in NYU’s Compliance and Enforcement.
6. Top regulatory trends to watch under the Biden Administration. Rachel Wooley in CCI.
7. Is your compliance team too big? Dick Cassin asks in the FCPA Blog.
8. Can compliance help with a workplace morale crisis? Richard Bistrong opines in the FCPA Blog.
9. On The Compliance Life, Natalia Shehadeh, CCO at ABB joins me this month. In this first episode, Natalia explains why she choose the compliance profession. Check out the Episode 1.
10. New podcasts out on the Compliance Podcast Network this month. In ComTech, Valerie Charles joins Tom for an exploration of the intersection of compliance and technology. Check out Episode 1. Episode 2 posts Monday, February 8. In Big Brains in Compliance Tom is joined by Stephen Martin to visit with some of the top thinkers and doers in compliance. It premiers February 22. Finally Tom premiers The Compliance Handbook, a podcast focusing on the nuts and bolts of compliance. In Episode 1, he is joined by Stephen Martin to talk about how to best think through a comprehensive compliance program. It premiers Tuesday, February 10.
11. A new AMI podcast is out, Integrity Through Compliance. It will have AMI’s expert observations and guidance in the fields of ethics, antitrust, healthcare, government contracting, corporate governance, cybersecurity, construction, telecommunications, consumer protection and more.In this first episode, AMI founder Vin DiCianni visits with AMI MD Jerry Coyne the future of telehealth & home healthcare during a pandemic and beyond. Check it out here.
12. Join K2 Integrity and the AIBACP for a webinar on February 17—National Defense Authorization Act: AML Compliance Implications and Priorities for the Banking Industry. Information and Registration here. On Thursday, February 25, join the “Ask an Expert FINQuiry” webinar on DOLFIN: K2 Integrity’s financial crimes compliance experts will respond to your AML/CFT, sanctions, and other financial-integrity-related questions. Information and Registration here.
13. Compliance Week is accepting nominations for its Excellence in Compliance Award. Submit your nominee here.
14. Join the Baker Tilly Fraud 1st Annual Fraud and Compliance Summit, Tuesday, Feb 23, 2021, to Thursday, Feb 25, 2021. Details and registration here.

Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

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1. Beny Steinmetz found guilty for corruption in Guinea mining concession. Imogen Foulkes in the com. Tom take a deep dive on the FCPA Compliance and Ethics Blog. Part 1-Background, Part 2-the Trial, Part 3-the Vale JV, Part 4-Final Thoughts.
2. Do compliance officers need a peer review? Dick Cassin explores in the FCPA Blog.
3. Should you have reps and warranties in your compliance terms and conditions? Bill Steinman considers in the FCPA Blog.
4. 7 key changes to CA privacy laws. Andrew Burt in Navex Global’s Risk and Compliance Matters.
5. A Significant ruling on HIPPA out of the 5th David Saunders and Allison Glover in NYU’s Compliance and Enforcement.
6. Is an increase in SEC enforcement coming? Morgan Lewis lawyers in Harvard Law School Forum on Corporate Goverance.
7. Why is FCA compliance so critical? Mike Debernardis in CCI.
8. How to investigate a 60MM document case? Michael Dempsey in the BBC.
9. On The Compliance Life, Gwen Hassan- Director of Compliance at CNH Industrial is back for her fourth and final episode. In it, Gwen explains her passion around fighting the international scrourge of human trafficking. Check out the episode here.
10. This month, on 31 Days to a More Effective Compliance Program, I look back over 2020 and set out some of the key enhancements you need to do for your compliance program in 2021. Day 23 | Assessing compliance internal controls; Day 24 | Updates and feedback; Day 25 | CCO authority and independence; Day 26 | the role of compliance in an organization; Day 27 | operationalizing compliance though payroll; Day 28 | Continuous Improvement; Day 29 | Internal Reporting. Note 31 Days to a More Effective Compliance Program now has its own iTunes channel.
11. A new AMI podcast is out, Integrity Through Compliance. It will have AMI’s expert observations and guidance in the fields of ethics, antitrust, healthcare, government contracting, corporate governance, cybersecurity, construction, telecommunications, consumer protection and more.In this first episode, AMI founder Vin DiCianni visits with AMI MD Jerry Coyne the future of telehealth & home healthcare during a pandemic and beyond. Check it out here.
12. Join K2 Integrity and the AIBACP for a webinar on February 17—National Defense Authorization Act: AML Compliance Implications and Priorities for the Banking Industry. Information and Registration here.
13. Compliance Week is accepting nominations for its Excellence in Compliance Award. Submit your nominee here.
14. Join the Baker Tilly Fraud 1st Annual Fraud and Compliance Summit, Tuesday, Feb 23, 2021, to Thursday, Feb 25, 2021. Details and registration here.

Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

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1. What does the FinCEN enforcement action against Capital One mean for compliance? Jaclyn Jaeger in Compliance Week. (sub req’d) Matt Kelly explores on Radical Compliance. Tom and Matt take a deep dive on Compliance into the Weeds.
2. The OFAC year in review. Mike Volkov takes a deep dive in Corruption Crime and Compliance.
3. The Boeing Fraud enforcement action? Tom take a deep dive in the FCPA Compliance and Ethics Blog. Dylan Tokar in the WSJ Risk and Compliance Journal.
4. Poaching now legal? Paul Weiss lawyers on NYU’s Compliance and Enforcement Blog.
5. Wells Fargo ex-GC spanked. Jaclyn Jaeger in Compliance Week. (sub req’d)
6. UAE to fight money-laundering. Jon Rausch (returns) in Dipping Through Geomotries.
7. More Caremark claims coming? Kevin LaCroix in the D&O Diary.
8. Are you an introverted compliance professional? Now may be the time for you. Dick Cassin explores on the FCPA Blog.
9. A new month is here and a new guest on The Compliance Life. Gwen Hassan- Director of Compliance at CNH Industrial. In this month’s third episode, Gwen explains why every compliance professional needs to stay culturally curious. Check out the episode here.
10. This month, on 31 Days to a More Effective Compliance Program, I look back over 2020 and set out some of the key enhancements you need to do for your compliance program in 2021. Day 16 | 3Rd Party Risk Management Process; Day 17 | Managing Your 3rd parties; Day 18 | Levels of Due Diligence; Day 19 | The Investigation Protocol; Day 20 | Responding to Investigative Findings; Day 21 | Continuous Improvement; Day 22 | Internal Reporting. Note 31 Days to a More Effective Compliance Program now has its own iTunes channel.
11. Join K2 Integrity on January 27 to hear Olivia Allison and Joanne Taylor discuss the latest E
12. U regulatory developments in whistleblowing programs and investigations. Information and Registration here.
13. Compliance Week is accepting nominations for its Excellence in Compliance Award. Submit your nominee here.

Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

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1.     Recidivist Deutsche Bank settles a second FCPA matter. Tom takes a 5-part deep dive on the FCPA Compliance and Ethics Blog. Matt Kelly looks at red flags and internal controls on Radical Compliance. Tom and Matt take a deep dive on Compliance into the Weeds. 

2.     How the FCPA is big business. Harry Cassin explains in the FCPA Blog.

3.     Is an industry sweep headed your way? Dick Cassin explains in the FCPA Blog. 

4.     Why you should welcome the NDAA? Matthew Stephenson in GAB. Jonathan Marks on Board and Fraud.

5.     How to use KPIs in your compliance program. Vera Cherapanova in the FCPA Blog. 

6.     What are your Board resolutions for 2021? Steve Durbin in CCI. 

7.     2020 was a year of ethical challenges. Mike Volkov explains in Corruption Crime and Compliance.

8.     What are the C-Suite challenges brought on by Coivd-19? Shanil Williams in CCI.

9.     A new month is here and a new guest on The Compliance Life. Gwen Hassan- Director of Compliance at CNH Industrial. In this month’s second episode, In this second episode, we take up the tricky issue of balancing a role as a legal eagle for the company as well as her role in compliance. We also explore the different skill set needed for each of these careers and how it is possible to have both in one person. Check out the episode here. 

10.  This month, on 31 Days to a More Effective Compliance Program, I look back over 2020 and set out some of the key enhancements you need to do for your compliance program in 2021. Day 9 | 360 Degrees of Compliance Communications; Day 10 | The Use of Social Media in Compliance; Day 11 | What is Effective Compliance Training?; Day 12 | Financial Incentives for Compliance; Day 13 | Institutional Justice and Fairness; Day 14 | Risk Assessments; and Day 15 | How do you evaluate a risk assessment?. Note 31 Days to a More Effective Compliance Program now has its own iTunes channel. 

11.  Join Tom on the Convercent event, “Future-proof your compliance program for 2021”, on Wednesday, January 20th | 11:00 am -1:00 pm ET. For details and registration, click here. 

12.  Join K2 Integrity on January 27 to hear Olivia Allison and Joanne Taylor discuss the latest E

U regulatory developments in whistleblowing programs and investigations. Information and Registration here.

13.  Compliance Week is accepting nominations for its Excellence in Compliance Award. Submit your nominee here. 

Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

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1. A game-changer in compliance-the AMLA Law of 2020. Tom takes a deep dive in a 5-part blog post series and podcast series on the FCPA Compliance Report.
2. Why you need a compliance ‘Victory Plan’ for 2021. Dick Cassin explains in the FCPA Blog.
3. CFTC’s foray into FCPA enforcement creates new risk factors. Aaron Nicodemus in Compliance Week (sub req’d)
4. Was the Goldman Sachs FCPA resolution ‘just and appropriate’? Jenny Kline in GAB.
5. Is your digital culture mature? Jim DeLoach in CCI.
6. What are your compliance resolutions for 2021? Andrew Burt in Navex Global’s Risk & Compliance Matters
7. First SolarWinds shareholder action filed. Kevin LaCroix in the D&O Diary.
8. Rethinking corporate enforcement. John Coffee in Harvard Law School Forum on Corporate Goverance.
9. A new month is here and a new guest on The Compliance Life. Gwen Hassan- Director of Compliance at CNH Industrial. In this month’s first episode, Gwen talks about the twisting road which introduced her to compliance. Check out the episode here.
10. This month, on 31 Days to a More Effective Compliance Program, I look back over 2020 and set out some of the key enhancements you need to do for your compliance program in 2021. Day 1 | What 2020 Brought To Compliance Programs; Day 2 | Continuous Monitoring and Continuous Improvement; Day 3 | Leadership’s Conduct At The Top; Day 4 | Moving Compliance Tone Down Through An Organization; Day 5 | The Board and Operationalizing Compliance; Day 6 | The Code of Conduct; Day 7 | Policies and Procedures; and Day 8 | Internal Controls and Compliance. Note 31 Days to a More Effective Compliance Program now has its own iTunes channel.
11. Join Tom on the Convercent event, “Future-proof your compliance program for 2021”, on Wednesday, January 20th | 11:00 am -:00 pm ET. For details and registration, click here.
12. Join K2 Integrity on Thursday, January 14, 2021 at 10 AM ET, when financial crimes compliance experts respond to your AML/CFT, sanctions, and other financial integrity-related questions. Submit your questions and register here.

Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

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1. The Good, the Bad and the Missing. Dick Cassin with his three top stories in 2020 on the FCPA Blog.
2. Are you ready for the EU Whistleblower Directive? Cédric Dubar considers in the FCPA Blog.
3. Using data analytics for the BOD and still satisfying the regulators. 6 CCOs opine in Compliance Week (sub req’d)
4. What are 7 principles of ethical leadership? Yonason Goldson in CCI.
5. Leadership failures around sexual harassment at Ft. Hood. Matt Kelly on Radical Compliance. Tom and Matt take gut-wrenching deep dive on Compliance into the Weeds, with special guest Diane St. Ives, who relates her experiences from 40 years ago.
6. The SEC and SARs. Thomas Gorman on SEC Enforcement
7. Congress approves new AML law. Jack Hagel in the WSJ Risk & Compliance Journal.
8. Ephemeral messaging. Debevoise and Plimpton Data Blog.
9. A new month is here and a new guest on The Compliance Life. Kim Yapchai, Chief Counsel - Environmental, Social & Governance at Tenneco Inc. In this week’s third episode, Kim moves into the CCO chair. Check out the episode here. Check out the full series here.
10. My podcast with Mikhail Reider-Gordon on Wirecard was so popular we spun it out into its own series, The Wirecard Saga. Check out the latest episode, Who Watches the Watchers.  
11. On 31 Days to a More Effective Compliance Program, we consider Training and Communications. Monday, Communication through persuasion; Tuesday- Multiplying the influence of compliance; Wednesday- Communicating Across Cultural Boundaries; Thursday- Asking questions to boost your compliance program; Friday- Twitter and 360-degrees of communication. Note 31 Days to a More Effective Compliance Program now has its own iTunes channel.
12. Interested in podcasting? Find out the top trends with this replay of Tom and Megan Dougherty of One Stone Creative in their webinar on the State of Podcasting 2020. Listen to the full webinar here. Want some pointers on designing and starting a podcast, check out this great new report from Megan Dougherty, co-founder of my producing team at One Stone Creative, The State of Business Podcasts, 2020.

Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

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1. Are compliance certifications worth it? Jeff Kaplan thinks so and says so in the FCPA Blog.
2. Does Zoom portend more FTC enforcement actions? Matt Kelly thinks so in Radical Compliance.
3. More issues in domestic corruption for pharma? Mike Volkov takes a look in Corruption Crime and Compliance.
4. Avoiding COIs during the holidays. Rick Burt in Navex Global’s Risk and Compliance Matters.
5. Did France make U-turn on corporate liability? Lawyers from Debevoise explore in NYU’s Compliance and Enforcement Journal.
6. Swiss begin SBM Offshore corruption investigation? Jaclyn Jaeger in Compliance Week. (sub req’d)
7. What is the scope of the FCPA Internal Controls provisions? Lawyers from Shearman & Sterling discuss in JDSupra.
8. How can a Board of Directors use data? James Howard in the Harvard Law School Forum on Corporate Governance.
9. A new month is here and a new guest on The Compliance Life. Kim Yapchai, Chief Counsel - Environmental, Social & Governance at Tenneco Inc. In this week’s first episode we consider Kim’s undergraduate degree in economics and how this informed her decisions which led her down the path to the CCO chair. Check out the series here.
10. My podcast with Mikhail Reider-Gordon on Wirecard was so popular we spun it out into its own series, The Wirecard Saga. Check out the latest episodes here.
11. On 31 Days to a More Effective Compliance Program, we consider Training and Communications. Tuesday- Introduction to Training and Communications.Wednesday- Social media is a 360-degree communication strategy; Thursday-Using social media to innovate in compliance; Friday- the D&B experience with social media and 360 degrees of communications. Note 31 Days to a More Effective Compliance Program now has its own iTunes channel. If you want to binge out and listen to only these episodes, click here. 

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1.     OECD finds big success in US anti-corruption efforts. Menqgi Sun in the WSJ Risk and Compliance Journal. To read the full report, click here.

2.     Clawbacks in FCPA enforcement. Dick Cassin explores in the FCPA Blog. 

3.     Investor protection at the PCAOB? J. Robert Brown in the NYU Compliance and Enforcement Blog.

4.     Can lawyers be CCOs? Only if you rewire your legal brain. Nicole Di Shino in Corporate Compliance Insights.

5.     Och-Ziff pays cheated investors (finally). Dylan Tokar in the WSJ Risk and Compliance Journal.

6.     The scrourge of human trafficking. Mike Volkov takes a 2-part look in Corruption Crime and Compliance. Part 1. Part 2.  

7.     Getting rid of corruption enablers. Rick Messick in GAB.

8.     Corporate governance under the Biden Adminisration. Michael Peregrine in the D&O Diary.

9.     Katie Smith is back with Part 3 of her four episode month on The Compliance Life. This week’s episode is knowing when its time to go.

10.  Interested in sports, the Boston Celtics or leadership. Check out my podcast with Compliance Week Editor in Chief, Dave Lefort with our reflections of Tommy Heinsohn. 

11.  On the Compliance Podcast Network, on 31 Days to a More Effective Compliance Program, we into compliance in the 2020s and beyond.  Monday-innovation through KPIs; Tuesday-Compliance at the table; Wednesday- Consistency as a Compliance best practice; Thursday- creating an inventory of metrics; Friday- Leveraging AI in Complinace Investigations. Note 31 Days to a More Effective Compliance Program now has its own iTunes channel. If you want to binge out and listen to only these episodes, click here.  

12.  Join K2 Integrity MD Anna Gumowska and Director Shannon Rainey as they discuss investigative due diligence to help uncover areas of risk and opportunity in the acquisition context. Webinar will be Wednesday, December 2 at 1600 GMT, 10 AM CT, 11 AM ET. Registration and details are available here. 

Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

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1.  Mike Volkov revisits the Herbalife FCPA settlement. On Corruption Crime and Compliance.
2. Did culture shock contribute to the severity of the Beam Suntory FCPA enforcement action. Dick Cassin explores in the FCPA Blog.
3. What might compliance look like under a Biden Administration? Matt Kelly considers in Radical Compliance. Tom and Matt take a deep dive in Compliance into the Weeds.
4. COSO says risk and compliance need to be more aligned. Jack Hagel in the WSJ Risk and Compliance Journal.
5. CCOs and personal liability. Jonathan Marks in Board and Fraud.
6. Are companies undervaluing their potential FCPA exposures? Bill Steinmann considers in the FCPA Blog.
7. Proseucuting Trump. Rick Messick in GAB.
8. The uncertainty and risk of doing business with Chinese companies. Dick Cassin reivews in the FCPA Blog.
9. On the Compliance Podcast Network, on 31 Days to a More Effective Compliance Program, we continue our exploration of compliance for Business Ventures.  Monday-the future of compliance training; Tuesday-Compliance Practitioners skills; Wednesday- Compliance Profession Talents; Thursday- data as compliance advantage; Friday- Connected Compliance. Note 31 Days to a More Effective Compliance Program now has its own iTunes channel. If you want to binge out and listen to only these episodes, click here. 
10. Join K2 Integrity (formerly K2 Intelligence FIN) for a November 18 webinar, on combatting the financing of terrorism in the domestic context. Learn more and register here.
11. Next week, join the Internation Federation of Compliance Institutes for its first International Congress. November 16 to 20, registration and information here. Join myself ECI’s Pat Harned and a host of others at this great event.

Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

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1.     Goldman Sachs settles FCPA enforcement action involving Tom with a five-part series on FCPA Compliance and Ethics Blog, Mike Volkov with a 3-part series on Corruption, Crime and Compliance, Tom and Matt on Compliance into the Weeds and the Everything Compliance gang with their first emergency video podcast. 

2.     The Beam Suntory FCPA enforcement action. Harry Cassin breaks the story in the FCPA Blog. Matt Kelly provides some lessons in Radical Compliance. 

3.     What can investigators learn from Wirecard? Llyodette Bai-Marrow in the FCPA Blog. 

4.     TLI President sentenced to 48 months in prison. Dylan Tokar in the WSJ Risk and Compliance Journal.

5.     Why the Exit Interview is such a useful exercise. Jonathan Marks in Board and Fraud.

6.     It’s Halloween. What are your (corp) skeletons? Michael Toebe in CCI.   

7.     Experian to appeal ICO fine. Jaclyn Jaeger in Compliance Week.

8.     Channel you inner Sherlock Holmes to determine UBOs. Alia Noor on xpertsleague.com.

9.     On the Compliance Podcast Network, on 31 Days to a More Effective Compliance Program, we  continue our exploration of compliance for Business Ventures.  Monday-Franchisor Liability; Tuesday-Franchisor compliance; Wednesday- Following the money thru distributors; Thursday- Distributor liability; Friday- Why Business Ventures are Different than 3rd Parties. Note 31 Days to a More Effective Compliance Program now has its own iTunes channel. If you want to binge out and listen to only these episodes, click here.  

10.  Join K2 Intelligence FIN for a November 5 webinar, highlighting scenarios in which investigative due diligence can help uncover areas of risk and opportunity in the wake of COVID-19. Learn more and register here. 

11.  Virtual book launch for Sending the Elevator Back Down. Thursday, November 5, 4:30 ET. Information and registration here.

Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

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1.     Goldman Sachs settles FCPA enforcement action involving 1MDB. See, DOJ Press Release and Remarks of Acting Assistant Attorney General Brian Rabbitt. 

2.     What have we learned? Team #GWIC (Mary Shirely and Lisa Fine) publish their first book, Sending the Elevator Back Down. Annoucement on CCI.    

3.     What are the lessons of J&F Investments? Tom takes a deep dive in a 5-Part series on the FCPA Compliance and Ethics Blog. Part 1-Introduction, Part 2-the Bribery Scheme, Part 3-the SEC Order, Part 4-the Plea Agreement, Part 5-Final Thoughts. Mike Volkov does as well in a 4-Part series on Corruption Crime and Compliance. Part 1, Part 2, Part 3, Part 4. Tom and Matt Kelly go into the weeds on Compliance into the Weeds. 

4.     World Bank to put more resources into evaluating compliance programs. Joshua Ray in the FCPA Blog.

5.     Do DPAs and NPAs encourage recidivism? Dylan Phillips continues the debate in the FCPA Blog.

6.     Is there more corruption now in college sports? Pat Forde in SI.com.  

7.     What is the future of financial fraud? Jonathan Karpoff in the Harvard Law School Forum on Corporate Goverance.

8.     Will FinTech be the great enabler of the next Industrial Revolution? Ingrid Vasiliu-Feltes on xpertsleague.com.

9.     The Everything Compliance gang is back. In this episode, they consider what enforcement might look like under a Trump or Biden Administration. Listen here. 

10.  On the Compliance Podcast Network, on 31 Days to a More Effective Compliance Program, we  continue our exploration of compliance for Business Ventures.  Monday-Tying it all together for JVs; Tuesday-Know Your Customer; Wednesday- the Corporate Controller and Business Ventures; Thursday- Financial review of your business venture partner; Friday-Distributors as Business Venture Partners. Note 31 Days to a More Effective Compliance Program now has its own iTunes channel. If you want to binge out and listen to only these episodes, click here.  

11.  Join Tom and Sam Silverstein for an Executive Forum on Ethics and Accountability on October 28, 2020 12-1 PM CT. Check at the agenda and register here. 

12.  Join Tom, Holly Sais Phillippi, Head of Americas Risk Sales, Refinitiv and Kelly M. Slavitt in a Refinitiv sponsored webinar, The Future of Due Diligence: Third-Party Risk in the Era of COVID-19, Tuesday, October 27, 1-2 PM CT. Check at the agenda and register here. 

13.  Check out the replay of the Navex Next 9th Annual Risk & Compliance Virtual Conference event Beyond the Moment. For more information, go here. 

Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

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1. J&F Investments settles FCPA criminal case. Harry Cassin (as usual) breaks the story in FCPA Blog.
2. Why third-party due diligence is an ongoing exercise. Mike Volkov in Corruption Crime and Compliance. Jim Nortz takes a deep dive into 3rd party risk management in Part 1 of a six-part series on CCI.
3. Citigroup spanked for $400MM by OCC and the Fed. Matt Kelly with a double dive on Radical Compliance (Part 1 & Part 2). Matt and Tom take a deep dive on Compliance into the Weeds.
4. Ephemeral messaging frowned upon by SEC. Jonathan Marks in Board and Fraud.
5. The WEF’s ESG reporting now includes anti-corruption metrics. Worth MacMurray and Elaine Dezenski in the FCPA Blog.
6. Supply Chains under more scrutiny. Vera Cherepanova in Navex Global’s Risk and Compliance Matters.
7. Some open-door tales. Richard Leisner with a guest post on the D&O Diary.
8. Do the FinCen Papers show we need an AM whistleblower protection program? Hamsa Mahendranathan in NYU Compliance and Enforcement Blog.
9. On the Compliance Podcast Network, on 31 Days to a More Effective Compliance Program, we continue our exploration of compliance for Business Ventures. Monday-Safe Harbor in M&A; Tuesday-Pre-acquisition DD, the business perspective (with special guest Vin DiCianni); Wednesday- Pre-acquisition risk assessment; Thursday- Pre-acquisition due diligence; Friday-Integrating post acquisition (with special guest Eric Feldman). Note 31 Days to a More Effective Compliance Program now has its own iTunes channel. If you want to binge out and listen to only these episodes, click here. 
10. Join Tom and Sam Silverstein for an Executive Forum on Ethics and Accountability on October 28, 2020 12-1 PM CT. Check at the agenda and register here.
11. Join Tom, Holly Sais Phillippi, Head of Americas Risk Sales, Refinitiv and Kelly M. Slavitt in a Refinitiv sponsored webinar, The Future of Due Diligence: Third-Party Risk in the Era of COVID-19, Tuesday, October 27, 1-2 PM CT. Check at the agenda and register here.
12. Check out the Navex Next 9th Annual Risk & Compliance Virtual Conference event Beyond the Moment October 22 from 10 AM to 4 PM. Check at the agenda and register here.

Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

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1. JPMorgan pays $920 million fine for spooking. Matt Kelly looks at it in Radical Compalince. Tom and Matt take a deep dive in Compliance into the Weeds. Mike Volkov considers on Corruption Crime and Compliance.
2. What is ‘efficient patent infringement’ (sort of like being ‘just a little bit’ pregnant)? Jon Rusch in Dipping Through Geometries.
3. Of donut holes and cyber attacks. Jonathan Marks in Board and Fraud.
4. What is effective discipline? Jeff Kaplan in CEP Magazine.
5. Is the SEC moving to increase its penalties in light of Lui? Robert Cohen and Stefani Johnson Myrick in NYU’s Compliance and Enforcement Blog.
6. Mobile devices and internal investigations. David Carns in CCI.
7. What is a Grand Jury subpoena? Sara Kropf in Grand Jury Target.
8. The Everything Complaince gang takes a dive into the Herbalife FCPA resolution. Monday-Mike Volkov on what he would have done; Tuesday-Jay Rosen on the lack of a monitorship; Wednesday-Matt Kelly on the role of Internal Audit; Thursday-Jonathan Marks on the role of gatekeepers; Friday-Jonathan Armstrong on the UK perspective.
9. On the Compliance Podcast Network, on 31 Days to a More Effective Compliance Program, we continue our exploration of compliance for Business Ventures. Monday-Dis-linking illegal conduct; Tuesday-JV Risks Under the FCPA; Wednesday- JV Due Diligence; Thursday-Compliance T&C’s in JV agreements; Friday-Auditing JVs .Note 31 Days to a More Effective Compliance Program now has its own iTunes channel. If you want to binge out and listen to only these episodes, click here. 
10. Join Tom (and Matt Kelly) for Home Stretch 2020, a webinar sponsored by Complaince Line. Check at the agenda and register here.

Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

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1.  Sara Kropf admitted to American College of Trial Lawyers. On how she became a lawyer in Grand Jury Target.
2. Calling a bribe a facilitation payment doesn’t make it legal. Dick Cassin explains in the FCPA Blog.
3. Tom takes a deep dive into the Sargeant Marine FCPA enforcement action. Part 1-Intro, Part 2-the Enforcement Action, Part 3-the Penalty, Part 4-the Individual Guilty Pleas, and Part 5-Lessons Learned.
4. Compliance risk around collaboration tools. Matt Kelly in Radical Compliance. Tom and Matt take a deep dive in Compliance into the Weeds.
5. Can VW change its culture? Mengqi Sun and Jack Hagel in the WSJ Risk and Compliance Journal.
6. Is your company (and you as well) ready for the future. Jim DeLoach on how to do so in CCI.
7. NYC Bar releases recommendation on CCO liability in regulated industries. NYU Compliance and Enforcement Blog.
8. Jonathan Marks asks “Quis Custodiet Ipsos Custodes”? In his Board and Fraud blog.
9. This month on The Compliance Life, I am joined by DeAnna Nwankwo. In this week’s Part 4, DeAnna talks about standing your ground when you have to do so as a CCO. 
10. On the Compliance Podcast Network, on 31 Days to a More Effective Compliance Program, we conclude this month focuses on internal controls. This week saw the following offerings: Monday- Aseessing internal controls; Tuesday- Gap Analysis; Wednesday- Culture as an internal control. Join us in October for Business Ventures. Note 31 Days to a More Effective Compliance Program now has its own iTunes channel. If you want to binge out and listen to only these episodes, click here. 
11. Join Jay and Tom at Converge20. Convercent’s top compliance conference is going virtual this year. Check at the agenda and register here.

Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

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1. The FinCen Papers. Banks and SARs. (NYT) HSBC allowed Ponzi scheme. (BBC) Cache of FinCen docs made public. (BBC) Aaron Nicodemus says it puts compliance in a bad light in Compliance Week (Sub Req’d). Martin Woods on the breach of trust in Compliance Week (Sub Req’d). Jaclyn Jaeger says look at the banks, In Compliance Week (Sub req’d). Matt Kelly weighs in on Radical Compliance.
2. More data analytics tools for compliance. Dylan Tokar in the WSJ Risk and Compliance Journal.
3. What makes a ‘Great Woman in Compliance’. Mary Shirley reports on her journey as co-host of #GWIC in CCI.
4. What does doing more with less mean for compliance? Matthew McFillin and Amanda Rigby in the FCPA Blog.
5. What are the 7 sins of ESG Management? FTI in the Harvard Law School Forum on Corporate Governance.
6. The largest AML case in Hong Kong history. Jon Rausch in Dipping Through Geometries.
7. Oil trader cops to FCPA violation. Harry Cassin breaks the story on the FCPA Blog
8. Why the Board needs a separate Compliance Committee. Mike Volkov in Corruption Crime and Compliance.
9. This month on The Compliance Life, I am joined by DeAnna Nwankwo. In this week’s Part 3, DeAnna talks about building trust as a CCO. 
10. On the Compliance Podcast Network, on 31 Days to a More Effective Compliance Program, this month focuses on internal controls. This week saw the following offerings: Monday- Objective I; Tuesday- Objective II;Wednesday- Objective III; Thursday- Objective IV; and Friday- Objective 5. Note 31 Days to a More Effective Compliance Program now has its own iTunes channel. If you want to binge out and listen to only these episodes, click here. 
11. Join Jay and Tom at Converge20. Convercent’s top compliance conference is going virtual this year. Check at the agenda and register here.
12. Join K2 Intelligence FIN, on September 30 for a webinar with the AIBACP, "Strategies for Surviving an Offsite Regulatory Examination," featuring Koby Bambilia, K2 FIN Managing Director, and a panel of experts, from banks to regulators. Registration and information here. 

Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

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1. How does Bluebell apply to cyber claims against a Board of Directors? Paul Ferllio, Bob Zukis and Christophe Veltsos in the Harvard Law School forum on Corp Governance.
2. VW Monitor closes out monitorship. Jack Ewing in the NYT. Mengqi Sun in the WSJ Risk and Compliance Journal.
3. Tom takes a deep dive into Herbalife. Part 1, Part 2, Part 3 and Part 4.
4. The intersection of anti-human trafficking and ABC compliance. Vanessa Hans in the FCPA Blog.
5. Does the DOJ have to turn in SEC investigative material in a criminal FCPA trial? Matt Kelly goes legal in Radical Compliance.
6. The intersection of compliance and internal audit? Mike Volkov in Corruption Crime and Compliance.
7. Who is a PEP? Dick Cassin considers a plethora of definitions in the FCPA Blog.
8. Has Covid-19 changed the relationship between senior management and the Board? Dottie Schindlinger and Kira Ciccarelli in CCI.
9. This month on The Compliance Life, I am joined by DeAnna Nwankwo. In this week’s Part 2, DeAnna talks about some of the skills she needed in the CCO chair. 
10. On the Compliance Podcast Network, on 31 Days to a More Effective Compliance Program, this month focuses on internal controls. This week saw the following offerings: Monday- Internal controls for 3rd parties; Tuesday- Internal controls for GTE; Wednesday- BOD oversight as an internal control; Thursday- Code of Conduct as an internal control; and Friday- What is the COSO Internal Controls Framework. The month of August is being sponsored by Affiliated Monitors. Note 31 Days to a More Effective Compliance Program now has its own iTunes channel. If you want to binge out and listen to only these episodes, click here. 
11. Join Jay and Tom at Converge20. Convercent’s top compliance conference is going virtual this year. Check at the agenda and register here.
12. Join a great upcoming K2 Intelligence FIN webinar. Robin Henry on how investigators can use social media, Thursday, 9-24 at 1600 GMT. Registration and information here.
13. Join Tom, Charlie Voelker, Legal Compliance Solutions, Skillsoft and Stephen Martin, Partner, StoneTurn for a joint Skillsoft/StoneTurn webinar on evolving your compliance program under the 2020 Update to the Evaluation of Corporate Compliance Programs. Wednesday, September 23, from 12 PM - 1 PM EDT. Information and registration here.

Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

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We continue to brave the surge in Covid cases by staying safe at home. We are back to look at top compliance articles and stories which caught their eye this week. 

1. Lebanon, Corruption and a Bomb. NYT reporters: Ben Hubbard, Maria Abi-Habib, Mona El-Naggar, Allison McCann, Anjali Singhvi, James Glanz and Jeremy White.
2. Are today’s CCO ‘Super Execs’? Dick Cassin explores in the FCPA Blog.
3. Time for a compliance housecleaning? Dylan Tokar in the WSJ Risk and Compliance Journal.
4. A turning point in AML enforcement? Jack Hagel in the WSJ Risk and Compliance Journal.
5. HerabLife settles long standing FCPA matter. Mike Volkov goes deep in a 3-part series. Part 1, Part 2and Part 3.
6. Does HerbalLife portend the end of monitors? Robert Anello in com.
7. DOJ charges former Uber CISO for lying about data breach. Lawyers from Cleary Gottlieb in NYU’s Compliance and Enforcement Blog.
8. Deutsche Bank fined yet again (twice). Matt Kelly reports in Radical Compliance.
9. This month on The Compliance Life, I am joined by Deanna Nwankwo. She came to the CCO chair after a stint at QA in NASA. In this week’s Part 1, the message ‘The good news is you’re the new CCO. The bad news is you’re the new CCO.’
10. On the Compliance Podcast Network, on 31 Days to a More Effective Compliance Program, this month focuses on internal controls. This week saw the following offerings: Tuesday- Assessing internal controls in international operations; Wednesday-risk assessments and internals controls; Thursday- mapping internal controls; and Friday- Implementing internal controls. The month of September is being sponsored by Affiliated Monitors. Note 31 Days to a More Effective Compliance Program now has its own iTunes channel. If you want to binge out and listen to only these episodes, click here. 
11. Join Jay and Tom at Converge20. Convercent’s top compliance conference is going virtual this year. Check at the agenda and register here.
12. Two great K2 Intelligence FIN webinars upcoming. 1. Kevin Mullins and Yomi Peirce on procurement fraud during Covid-19, September 16, 2020; 1:00 PM ET. Registration and information here. 2. Robin Henry on how investigators can use social media, Thursday, 9-24 at 1600 GMT. Registation and information here.

Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

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1. What is monitoring and oversight? Matt Kelly draws compliance inspiration from Jerry Falwell who (allegedly) likes to watch his wife having sex with another man.
2. What is risk-based due diligence? Financial regulators opine. Mengqi Sun in the WSJ.
3. Bank/government partnership to fight financial crime. Dylan Tokar in WSJ.
4. Why fraud matters, the Steve Bannon indictment. Mike Volkov.
5. Why does the Palantir S-1 appear to be like the children of Lake Wobegon — stronger, better-looking, and above average? Francine McKenna explains on The Dig. Lucenda Shen sees a flag-waving, in Term Sheet.
6. How bad was the sexual harassment on the Washington Football Club? Very Bad. Expose in the Washington Post.
7. Are we losing the war on AML? Martin Woods says yes.
8. More on McDonald’s suit against its former CEO? Fenwick West lawyers.
9. This month on The Compliance Life, I am joined by Louis Sapirman. In Part 1, we looked at Louis personal and professional journey into compliance. In Part 2, we discussed the qualities of a successful CCO. In Part 3, communication as a driver of compliance. In this month’s final episode Part 4, Sapirman takes a look at the CCO role down the road.
10. On Compliance and Coronavirus we had a week of Exiger. Tuesday had Brandon Daniels on Data Management and Data Security Moving out of Covid-19, Michael Beber on on M&A, IPOs and SPACs During and After Covid-19; and Anna Osborn on managed services and outsourced compliance.
11. On the Compliance Podcast Network, on 31 Days to a More Effective Compliance Program, this month focuses on the role of the Board in compliance. This week saw the following offerings: Monday- BOD and succession planning; Tuesday-incorporating compliance strategy into long-term BOD planning; Wednesday-areas of BOD inquiry into compliance; Thursday- special guest Vin DiCianni on 3 specific BOD inquiries on compliance; and Friday-20 questions. The month of August is being sponsored by Affiliated Monitors. Note 31 Days to a More Effective Compliance Program now has its own iTunes channel. If you want to binge out and listen to only these episodes, click here. Please join us in September where I take a deep dive into Internal Controls.
12. Join Jay and Tom at Converge20. Convercent’s top compliance conference is going virtual this year. Check at the agenda and register here.
13. There’s a place where True Crime meets Compliance, and its name is Fraud Eats Strategy. Check out this new show by Scott Moritz of FTI consulting, and catch all the episodes, notes, resources and more on the Compliance Podcast Network! We’d love to hear what you think of the show, and we’d love it even more if you shared it with a friend, colleague or that one guy you think might be a secret oligarch. Check out this great new podcast series here.
14. This week on the FCPA Compliance Report, some of the top commentators in compliance have joined Tom to discuss some of the top developments in compliance over the past 10 years. The schedule for this week is as follows:

• Monday, Aug. 24 – Episode 495 - Mike Volkov on changes in FCPA enforcement;
• Tuesday, Aug. 25 - Episode 496 - Matt Kelly on changes in compliance from the business journalist perspective;
• Wednesday, Aug. 26 - Episode 497 - Jonathan Armstrong in changes in data protection/data privacy compliance;
• Thursday, Aug. 27 - Episode 498 - Jay Rosen in changes to proactive monitoring from the business development perspective; and
• Friday, Aug. 28 - Episode 499 - Jonathan Marks on how changes in internal audit both mirror and even foreshadow some of the changes he has seen in compliance.

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1.     First DOJ Opinion Release in 6 years. What is the significance? Tom explains it all in the FCPA Compliance and Ethics Blog. 

2.     FCPA enforcement action involving international adoptions. Harry Cassin in the FCPA Blog.

3.     Bank/government partnership to fight financial crime.  Dylan Tokar in WSJ Risk and Compliance Journal. 

4.     Once a cheater, always a cheater? Daimler pays $2bn fine. Aaron Nicodemus in Compliance Week(sub req’d)

5.     At the one year anniversary of the Business Roundtable’s Statement on the Purpose of a Corporation, Mike Volkov reviews Board performance in a 4-part series on Corruption, Crime and Compliance. Part 1, Accountability. Part 2, diversity. Part 3, challenges for Board decision-making.  Part 4, steps to advance corp governance. 

6.     Is ‘Failure to Prevent’ the next big crime in the UK? Cordery Compliance alert. 

7.     When can you use a corruption defense in litigation?  VE lawyers in the State Bar of Texas Int’l Law Journal.

8.     Does the McDonald’s suit against its former CEO implicate D&O coverage? Kevin LaCroix opines in the D&O Diary. 

9.     This month on The Compliance Life, I am joined by Louis Sapirman. In Part 1, we looked at Louis personal and professional journey into compliance.  In Part 2, we discussed the qualities of a successful CCO. In this week’s Part 3, communication as a driver of compliance. 

10.  On Compliance and Coronavirus we had a week of AMI. Tuesday had Eric Feldman discussing culture and compliance during Covid-19, Vin DiCianni on using compliance ambassadors during Covid; and Deb Waugh on challenges in the health care profession. 

11.  On the Compliance Podcast Network, on 31 Days to a More Effective Compliance Program, this month focuses on the role of the Board in compliance. This week saw the following offerings: Monday-what leads to a successful BOD investigation; Tuesday- Board metrics for compliance;Wednesday-BOD failures with special guest Vin Dicianni; Thursday- BOD & doing business in China; and Friday-the Board’s role in hiring. The month of August is being sponsored by Affiliated Monitors.  Note 31 Days to a More Effective Compliance Program now has its own iTunes channel. If you want to binge out and listen to only these episodes, click here.  

12.  Join Jay and Tom at Converge20. Convercent’s top compliance conference is going virtual this year. Check at the agenda and register here. 

13.  Join Tom and Vince Walden (host of The Walden Pond) for a webinar on the ROI of Compliance, Tuesday August 25, 10 AM CT. Registration and Information here. 

14.  Join Tom and AMI’s Don Stern for a review of the 2020 Update to the Evaluation of Corporate Compliance Programs as a part of Navex Global’s quarterly MasterClass on Thursday, August 27. Information and registration here. 

15.  Join K2 Intelligence FIN’s Bernard Factor for a webinar entitled “Examining the Nuances of Correspondent Banking to Address BSA/AML Compliance Risk”. Registation and Information here. 

16.  Join Tom next week on the FCPA Compliance Report, as he leads up to the 500th episode. All next week some of the top commentators in compliance will join Tom to discuss some of the top developments in compliance over the past 8 year. It is all leading up to the 500th anniversary episode which will run Monday, August 31. 

Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

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1. World Acceptance bribed with bags of cash. Mike Volkov in Crime Corruption & Compliance.
2. Implications from the end of Privacy Shield. Lawyers from Debevoise & Plimpton in NYU’s Compliance and Enforcement blog.
3. NRA shoots itself in foot over non-compliance? Kyle Brausser in Compliance Week. (sub req’d)
4. Using lessons learned. Jeff Kaplan and Rebecca Walker in CCI.
5. Dick Cassin asks ‘are agents ever legal under the FCPA?’ in the FCPA Blog.
6. Applying 2020 Updates to anti-trust compliance. Matt Kelly writing in Navex Global’s Ethics and Compliance Matters.
7. What is a metric’s inventory and why do you need one? Tom explains in the FCPA Complaince and Ethics Blog.
8. Follow on corruption litigation is expensive. Kevin LaCroix in the D&O Diary.
9. This month on The Compliance Life, I am joined by Louis Sapirman. In Part 1, we looked at Louis personal and professional journey into compliance. In this week’s Part 2, we discussed the qualities of a successful CCO.
10. On Compliance and Coronavirus this week, we had John Fanning discusses the increased need for due diligence during Covid-19, Andy Goldstrom on compliance adaptations during Covid; and Jed Gardner on business as usual.
11. On the Compliance Podcast Network, on 31 Days to a More Effective Compliance Program, this month focuses on the role of the Board in compliance. This week saw the following offerings: Monday-BOD’s inquiring up and down; Tuesday- the BOD’s role in internal controls; Wednesday-BOD as an internal control; Thursday- BOD governance and risk oversight; and Friday-what is your Board’s investigative protocol. The month of August is being sponsored by Affiliated Monitors. Note 31 Days to a More Effective Compliance Program now has its own iTunes channel. If you want to binge out and listen to only these episodes, click here. 
12. Join Jay and Tom at Converge20. Convercent’s top compliance conference is going virtual this year. Check at the agenda and register here.

Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

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1. OFAC focusing on screening errors. Mike Volkov with a 3-part series on Corruption Crime and Compliance. Part 1, Part 2 and Part 3
2. There is no single panacea for stopping corruption. Matthew Stephenson in GAB.
3. 5 top steps for data transfer after Schrems III. Neil Hodge in Compliance Week. (sub req’d)
4. What’s the cost of non-compliance? For Wells Fargo, a staggering $15.8 Billion. Matt Kelly explores on Radical Compliance.
5. Fahrenheit 451, compliance and German regulators? Rosemary Lark considers in the FCPA Blog.
6. Coronavirus Comeback planner. Navex Global’s Ethics and Compliance Matters.
7. A compliance approach to excessive force in policing. Joseph Murphy and Emil Moschella in NYU’s Compliance and Enforcement
8. Crisis preparedness and the BOD? Joydip Day explores in CCI.
9. This month on The Compliance Life, I am joined by Louis Sapirman. In Part 1, we looked at Louis personal and professional journey into compliance.
10. AMI week on Compliance and Coronavirus as Maurice Gilbert discusses the compliance hiring scene Covid-19, Andy Goldstrom on business sustainability; and Laura Petrolino on storytelling for communications.
11. On the Compliance Podcast Network, Tom begins a new month on 31 Days to a More Effective Compliance Program, this month focusing on the role of the Board in compliance. This week saw the following offerings: Monday-legal obligations of the BOD; Tuesday- prudent discharge of BOD obligations; Wednesday-BOD Compliance Committees; Thursday- OIG guidance for BODs; and Friday-Compliance expertise on the BOD. The month of July is being sponsored by Affiliated Monitors. Note 31 Days to a More Effective Compliance Program now has its own iTunes channel. If you want to binge out and listen to only these episodes, click here. 
12. Join Jay and Tom at Converge20. Convercent’s top compliance conference is going virtual this year. Check at the agenda and register here.

Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

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1. Goldman Sachs settles with Malaysia for nearly $4bn. Ben Otto and Chester Tay report in the WSJ. Former Malaysia PM convicted in 1MDB scandal, Harry Cassin reports in the FCPA Blog.
2. Mike Volkov reports on two big enforcement actions in Pharma. Indivior and illegal marketing of opioid products. Taro Pharma and price-fixing.
3. What are the shared elements in a best practices compliance program? Jaclyn Jaeger explores in Compliance Week. (sub req’d)
4. How can you test your hotline? Matt Kelly explores on Radical Compliance.
5. Why is Germany soft of corporate crime? Dick Cassin considers in the FCPA Blog.
6. Whistleblower management in the EU. Frank Staelens in CCI.
7. How can you audit AI? James Bone explores in CCI.
8. What should be the goal of effective internal controls? Alex Movchan interviews Edmund Sanders in Risk and Compliance Platform Europe.
9. This month on The Compliance Life, I am joined by Scott Sullivan, Chief Integrity and Compliance Officer at Newport Mining. In Part 1, we discussed the need for empathy in a CCO. In Part 2, we looked at reading the tea leaves and staying ahead of the (corp) wolf pack. In Part 3, we considered who a CCO needs on their compliance team. In this concluding Part 4, we look at the CCO and compliance function down the road.
10. AMI week on Compliance and Coronavirus as Jerry Coyne discusses telemedicine and Covid-19, Don Stern on how Covid-19 will impact federal prosecutors and Mikhail Reider-Gordon compliance issues during the business reopenings.
11. On the Compliance Podcast Network, Tom concludes the topic of 3rd party risk management. This week saw the following offerings: Monday-freight forwarders; Tuesday- risk ranking in the Supply Chain; Wednesday-data and 3rd party risk management (Vin DiCianni as guest); Thursday-enforcement actions; and Friday-wrap up. The month of July is being sponsored by Affiliated Monitors. Note 31 Days to a More Effective Compliance Program now has its own iTunes channel. If you want to binge out and listen to only these episodes, click here. Join us in August for the role of the Board of Directors.
12. Upcoming Webinars:

K2-FIN, Windward, and C4ADS Webinar—New Sanctions Developments in the Maritime Sector: UK Sanctions Shipping Guidance and Venezuelan Shipping in Focus, August 5, 2020 at 10:45 to 11:45 AM EST; with Juan Zarate and Eric Lorber. Registration and Information here.

Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is      Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

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1.     More compliance guidance from OFAC. Dick Cassin reports in the FCPA Blog.

2.     First ComEd fined $200MM in Illinois, then Speaker of Ohio House charged in massive state corruption probes. Matt Kelly in Radical Compliance on Illinois. Julie Wernau and Katherine Blunt in WSJ on Ohio.

3.     Was Willie Nelson or Patsy Cline crazy? Bill Steinmann says it’s the FCPA year 2020 in the FCPA Blog.

4.     Mike Volkov goes Old Testament about Amazon OFAC sanctions. In Corruption Crime and Compliance.

5.     From 3 Lines of Defense to the 3 Lines Model as the IIA updates its model. Matt Kelly back with a rare double double for This Week in FCPA in Radical Compliance.

6.     Compliance really is a journey. Mary Shirley in CCI.

7.     How is Covid-19 impacting compliance? Jennifer Sun explores in CCI.

8.     The Ethical Revolution in Business. Philip Winterburn and Jane Mitchell in Converge.

9.     This month on The Compliance Life, I am joined by Scott Sullivan, Chief Integrity and Compliance Officer at Newport Mining. In Part 1, we discussed  the need for empathy in a CCO. In Part 2, we looked at reading the tea leaves and staying ahead of the (corp) wolf pack. This week in Part 3, we considered who a CCO needs on their compliance team.

10.  On the Compliance Podcast Network, Tom continues the topic of 3rd party risk management this month.This week saw the following offerings: Monday-the ROI of 3rd party compliance (Linda Justice as guest); Tuesday- 3rd parties as innovation partners (Eric Feldman as guest), Wednesday-3rd party risk expansion; Thursday-termination of 3rd parties; and Friday-distributor compensation. The month of July is being sponsored by Affiliated Monitors.  Note 31 Days to a More Effective Compliance Program now has its own iTunes channel. If you want to binge out and listen to only these episodes, click here.

11.  Great Upcoming Webinars:

K2 Intelligence Fin Webinar with AIBACP: Pandemics to Recession—Finding AML and ABC Synergies in Tough Times, July 30, 2020 at 1:30 PM - 2:30 PM EST; with JoAnn Taylor and Adam Frey. Registration and Information here.

ECI's Best Practice Forum, a Q&A Session with Brian Rabbitt, Acting Assistant Attorney General for the Criminal Division on the FCPA Resource Guide, 2nd edition, Thursday, July 30, 2:00 - 4:00 p.m. EDT. Registration and Information here.

Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

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1.  SFO finally garners convictions. Susan Hawley reports in the FCPA Blog. Did the SFO get played? Kristen Ridley considers in Reuters.
2. EU Court of Justice invalidates Privacy Shield. Catherine Stupp in WSJ Risk and Compliance Journal. Cordery Compliance with a client alert.
3. The SEC and its China Problem. Francine McKenna in The Dig.
4. The biggest gold scandal ever? Jon Rausch in Dipping Through Geometries.
5. UK imposes Magnitsky sanctions. Dick Cassin in the FCPA Blog.
6. SEC has $3.8MM whistleblower payout. SEC Press Release.
7. Is compliance in the need for a digital transformation? Adam Shinder shows the way in CCI.
8. How to conduct an audit engagement in a high risk region. Alex Movchan in Risk and Compliance Platform Europe.
9. How much did ego and greed lead to Wirecard scandal? Michael Tobee in CCI.
10. This month on The Compliance Life, I am joined by Scott Sullivan, Chief Integrity and Compliance Officer at Newport Mining. In Part 1, we discussed the need for empathy in a CCO. In Part 2, we look at reading the tea leaves and staying ahead of the (corp) wolf pack.
11. On the Compliance Podcast Network, Tom started the topic of 3rd party risk management this month.This week saw the following offerings: Monday-the how question in due diligence; Tuesday-metrics on 3rd party management, Wednesday-managing 3rd parties; Thursday-auditing of 3rd parties; and Friday-ongoing monitoring of 3rd parties. The month of July is being sponsored by Affiliated Monitors. Note 31 Days to a More Effective Compliance Program now has its own iTunes channel. If you want to binge out and listen to only these episodes, click here.
12. Great Upcoming Webinars:

Navigating the Risks of Prescribing Opioids for Chronic Pain in the COVID-19 Era, Wednesday, July 22, 2020 12:00 PM EDT; with Jesse Caplan, Deb Waugh and Amy Fogelman, M.D. Registration and Inforamtion here.

Computer Say ‘No’: Mitigating Legal & Ethical Risks in Public Agency Use of Automated Decision-Making Tools, Tuesday, July 28, 2020 12:00 PM EDT; with David Shonka, Mikhail Reider-Gordon and Jonathan Redgrave. Registration and Information here.

ECI's Best Practice Forum, a Q&A Session with Brian Rabbitt, Acting Assistant Attorney General for the Criminal Division on the FCPA Resource Guide, 2nd edition, Thursday, July 30, 2:00 - 4:00 p.m. EDT. Registration and Information here.

Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

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1.  FCPA Resource Guide, 2nd edition released. Tom takes a deep dive in a 5-part blog post series on the FCPA Complinace and Ethics Blog. Part 1-The New Hallmark, Part 2-FCPA Corporate Enforcement Policy, Part 3- the Accounting Provisions, Part 4- Policy and Case Law Updates, Part 5-What does it all mean? Jonathan Marks on Borad and Fraud. Tom and Matt Kelly in Compliance into the Weeds.
2. After its FCPA settlement, Novatris pays another $678MM for corruption inside the US. Mike Volkov in Corruption Crime and Compliance.
3. A plan to restore trust in South Africa ABC enforcement. Larry Kirsch guest posts in GAB.
4. A reassessment of due diligence in China? Jenny Liang opines in the FCPA Blog.
5. Venezuela can’t get its gold out of England. Jon Rausch in Dipping Through Geometries.
6. Amazon settles OFAC sanctions enforcement action. Mengqui Sun in the WSJ Risk and Compliance Journal.
7. How can you make a risk management committee effective? Jim DeLoach shows the way in CCI.
8. Is Deutsche Bank the world’s most corrupt? Matt Kelly digs in on Radical Compliance.
9. Going from disaster recovery to business continuity? Carrie Penman in Ethics and Compliance Matters.
10. On Compliance and Coronavirus, I was joined this week by Paul Mueller on how to reset, restart and accelerate your business in the era of Coronavirus; Ian Denis on employment and communication during Covid-19 and Breeda Miller on caregiving in the era of Covid-19.
11. On the Compliance Podcast Network, Tom started the topic of 3rd party risk management this month.This week saw the following offerings: Monday-Questionniare; Tuesday-Due Diligence,Wednesday-levels of DD; Thursday-evaluating DD and clearing red flags; and Friday-compliance terms and conditions. The month of July is being sponsored by Affiliated Monitors. Note 31 Days to a More Effective Compliance Program now has its own iTunes channel. If you want to binge out and listen to only these episodes, click here.
12. Great Upcoming Webinars:

Navigating the Risks of Prescribing Opioids for Chronic Pain in the COVID-19 Era, Jul 22, 2020 12:00 PM in Eastern Time (US and Canada); with Jesse Caplan, Deb Waugh and Amy Fogelman, M.D. Registration and Inforamtion here.

Computer Say ‘No’: Mitigating Legal & Ethical Risks in Public Agency Use of Automated Decision-Making Tools, Jul 28, 2020 12:00 PM in Eastern Time (US and Canada); with David Shonka, Mikhail Reider-Gordon and Jonathan Redgrave. Registration and Information here.

ECI's Best Practice Forum, a Q&A Session with Brian Rabbitt, Acting Assistant Attorney General for the Criminal Division on the FCPA Resource Guide, 2nd edition, Thursday, July 30 2:00 - 4:00 p.m. EDT. Registration and Information here.

Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

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1.  The Novartis FCPA settlement. Tom has a 5 part series Part 1-Introduction, Part 2-the Bribery Schemes,Part 3-Internal Controls, Part 4-Fines, Penalties and Recidivism; Part 5-Data Analytics. Matt Kelly with Radical Compliance. Mike Volkov has a 3 part series on Corruption Crime and Compliance. Matt and Tom take a deep dive on Compliance into the Weeds. After all this Novatris pays another $678MM for corruption inside the US, see DOJ Press Release.
2. Why you need a plan for distributors under the FCPA. Bill Steinman opines in the FCPA Blog.
3. Alexion settles FCPA enforcement action. Dick Cassin breaks the story in the FCPA Blog.
4. Banks facing increased compliance risks. Mengqi Sun in the WSJ Risk and Compliance Journal.
5. The DOJ 2020 Update to the Evaluation of Corporate Compliance Programs with a new emphasis on middle management. Dylan Tokar and Jack Hegal in the WSJ Risk and Compliance Journal.
6. How badly did EY botch the Wirecard audit? Michael Rapaport guest posts on Francine McKenna’s The Dig.
7. CCPA went live on July 1. Were you ready? Jessica Wilburn on Navex Global’s Ethics Matters.
8. What is the role of compliance in the future of work? Neta Meidav in CCI.
9. On Compliance and Coronavirus, I was joined this week by Ryan Schonfeld to discuss IT and physical security in the era of Coronavirus; Cindy Flynn on employment law issues and Bill Sanderson business change in the era of Covid-19.
10. On the Compliance Podcast Network, Tom concluded his one month look at the role of HR in compliance on 31 Days to a More Effective Compliance Program and started a new month of looking at 3rdThis week saw the following offerings: Monday-the parameters of attorney/client privilege; Tuesday-Miranda warnings in internal investigations. On July 1, the new month brought the new topic of 3rd party risk management. Wednesday-the 3rdParty risk management process; Thursday-the business rationale. The month of July is being sponsored by Affiliated Monitors. Note 31 Days to a More Effective Compliance Program now has its own iTunes channel. If you want to binge out and listen to only these episodes, click here.

Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

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1.  Supreme Court rules on profit disgorgement. Harry Cassin breaks the story in the FCPA Blog. Tom and Matt Kelly discuss in this week’s Compliance into the Weeds. Mengqi Sun opines it could shrink whistleblower awards, on the WSJ Risk and Compliance Journal.
2. What are 5 ways to use a risk assessment? Jeff Kaplan in the FCPA Blog.
3. Is the SEC on a rampage around internal controls? Bill Steinman thinks so, in the FCPA Blog.
4. What are some of the problems with foreign issuers? Alissa Kole Amico on the Harvard Law School Forum on Corporate Governance.
5. Covid-19 issues and compliance, all on CCI. David England on 3rd Party Risk Management; Chris Jeffrey on your control environment; and Casey Pozarowszczky on fraud risk.
6. What do global ABC enforcement agencies look like? Jon Rausch explores on Dipping Through Geometries.
7. Wirecard is the first and biggest fraud of the 20’s. Reports in the WSJ-CEO Arrested & Missing $2bn, NYT-CEO Resigns, FT-the Reckoning.
8. Novartis settles massive FCPA enforcement action. WSJ Risk and Compliance Journal.
9. Interested in moving to the CCO chair? Check out my latest podcast series The Compliance Lifewhere I interview one CCO type for a month on their journey to the CCO chair and beyond. In on this month’s edition I visit with Ryan Rabalais. In this concluding Part 4, he reflects on the role of coprorate culture. The Compliance Life is now available on iTunes.
10. On Compliance and Coronavirus this week, a week of AMI: Rod Grandon on government bailouts and PPP compliance issues; Jesse Caplan on health care issues during crisis; Dionne Lomax joins me to M&A issues that may be coming down the road. Compliance and Coronavirus is available on iTunes here.
11. On the Compliance Podcast Network, on 31 Days to a More Effective Compliance Program, this month’s topic has been internal reporting and investigations. This week’s offerings: Monday-How an investigation informs remediation; Tuesday-Asking some tough questions; Wednesday-Board investigative protocols; Thursday- how to have a successful Board investigation; Friday- how the Yates Memo changed investigations. Note 31 Days to a More Effective Compliance Program now has its own iTunes channel.
12. Join Tom and Convercent’s Philip Winterburn to look at hotline reporting data during Covid-19 and what it means for compliance practitioners going forward. Tuesday June 30 at 10 AM CT. Registration and information are available here. It’s free.

Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

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1.  Mike Volkov takes the chickens out to roost in a 3-part series on the DOJ Antitrust Division charges of price-fixing and bid-rigging conspiracy. In Corruption Crime & Compliance. Jon Rausch weighs in on Dipping Through Geometries.
2. How will WFH change business? Alison Taylor opines on the World Economic Forum
3. What are the three ‘R’s’ of a speak up culture? Lloydette Bai-Marrow on the FCPA Blog.
4. GOP stymies data privacy/data protection legislation yet again. Dave Uberti reports in the WSJ.
5. It’s your culture stupid. Jim Nortz in CCI.
6. How is Covid-19 changing internal audit. Matt Kelly explores in Radical Compliance.
7. Viva La France. Dylan Tokar reports in the WSK Risk and Compliance Journal.
8. Making sure compliance is not marginalized during financial dislocation. A plethora of authors contribute on NYU’s Compliance and Enforcement Blog.
9. The ethical upside to WFH. In the Center for Ethical Leadership
10. Interested in moving to the CCO chair? Check out my latest podcast series The Compliance Lifewhere I interview one CCO type for a month on their journey to the CCO chair and beyond. In on this month’s edition I visit with Ryan Rabalais. In this Part 3, he details some of key skills of a CCO. The Compliance Life is now available on iTunes.
11. On Compliance and Coronavirus this week,: Scott Price on cyber security risks going forward; Gabe Gumbs data privacy and data protection during the economic dislocation and Covid-19; David McLaughlin joins me to discuss increasing automation to enhance compliance. Compliance and Coronavirus is available on iTunes here.
12. On the Compliance Podcast Network, this month topic: internal reporting and investigations; all on 31 Days to a More Effective Compliance Program. This week’s offerings: Monday-The Investigative Team; Tuesday-investigative challenges; Wednesday-the witness interview; Thursday- issues in cross-border investigations; Friday- who and when to suspend. Note 31 Days to a More Effective Compliance Program now has its own iTunes channel.
13. How does the Hundred Acre Wood inform compliance? Check out Tom’s 5-part blog post series on the FCPA Compliance and Ethics Blog. Monday-Tigger and Sales; Tuesday-Kanga, Roo & Ombudsman; Wednesday-Eeyore and corp legal; Thursday-Piglet and Finance; Friday-Winnie the Pooh as CECO.

Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

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1.  Final thoughts on the DOJ 2020 Update to the Evaluation of Corporate Compliance Programs. Tom summarizes the highlights on the FCPA Compliance and Ethics Blog. Mike Volkov gives his five top takeaways.
2. Want to see examples of ham-fisted leadership. Matt Kelly on Radical Compliance. Tom and Matt take a deep dive in Compliance into the Weeds.
3. Why does WFH raise compliance risks? Vera Cherapanova on the FCPA Blog.
4. How did Jho Low use Kuwait to continue his fraud? Reporting in the WSJ.
5. Common features of corruption and police brutality. Matthew Stephenson opines in GAB.
6. How can you sharpen your cyber security? Jim DeLoach in CCI.
7. How can you build a listen up culture? Bob Conlin on Navex Global’s Ethics and Compliance Matters
8. Managing risk in compliance staffing. Kathryn Reimann on NYU’s Compliance and Enforcement Blog.
9. Brian Benczkowski bails the DOJ. Dylan Tokar on the WSJ Risk and Compliance Journal.
10. Interested in moving to the CCO chair? Check out my latest podcast series The Compliance Lifewhere I interview one CCO type for a month on their journey to the CCO chair and beyond. In on this month’s edition I visit with Ryan Rabalais. In this Part 2, he details why the corp compliance function can be seen as a Black Box. The Compliance Life is now available on iTunes.
11. On Compliance and Coronavirus this week, I feature three podcasts from the folks at K2 Intelligence FIN: Gabe Hidalgo on lessons for financial institutions during the time of Covid-19; Sepideh Rowland on PPP and changing risks for financial institutions; Ray Dookhie joins me to discuss evolving fraud risk during the time of Covid-19. Compliance and Coronavirus is available on iTunes here.
12. On the Compliance Podcast Network, this month topic: internal reporting and investigations; all on 31 Days to a More Effective Compliance Program. This week’s offerings: Monday-internal reporting and whistleblowers during layoffs; Tuesday-triage of allegations; Wednesday-the investigation protocol; Thursday- preparing for an investigation; Friday- selection of investigative counsel. Note 31 Days to a More Effective Compliance Program now has its own iTunes channel.
13. Join Tom and Jonathan Marks for a webinar on the 2020 Update to the Evaluation of Corporate Compliance Programs. Thursday, June 18 at noon CT. Registration and information available here.
14. Join Jay’s AMI colleagues Dionne Lomax and Jesse Caplan for a webinar entitled, “The DOJ’s New Guidance for Antitrust Compliance Programs + Special Considerations During the COVID Pandemic”. This webinar will discuss the U.S. Department of Justice Antitrust Division’s recently announced initiative to encourage corporations to develop and implement effective antitrust compliance programs. Our panel will discuss the new guidance and special considerations during the COVID pandemic and provide practical tips for developing a comprehensive program, including tips on how to handle a federal and/or state antitrust investigations. The event will be held next Tuesday, June 16th, at 12P EST/9A PST. Registration and information can be found here.

Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

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1. Tom Fox goes through a multipart deep dive. Part 1-Overall Themes, Part 2-Data and Continuous Improvement, Part 3-Third parties and M&A, Part 4-CCO and the Complaince Function, Part 5-Conclusion.
2. Matt Kelly explores on Radical Compliance.
3. Matt Kelly goes Pizza Pizza with another article in Navex Global’s Ethics and Compalince Matters.
4. Dylan Tokar reports in WSJ Risk and Compliance Journal.
5. Mike Volkov has a 3-part exploration on Corruption Crime and Compliance. Part 1, Part 2 and Part 3.
6. Dick Cassin explores organizational justice in the FCPA Blog.
7. Jonathan Marks looks at it from the forensic perspective in Board and Fraud.
8. Interested in moving to the CCO chair? Check out my latest podcast series The Compliance Lifewhere I interview one CCO type for a month on their journey to the CCO chair and beyond. In on this month’s edition I visit with Ryan Rabalais. In this Part 1, he details his journey into compliance and the winding road which took him to the CCO Chair. The Compliance Life is now available on iTunes.
9. On Compliance and Coronavirus this week: David Wolf on using podcasting and audio white papers as communication tools during the time of Covid-19; James Green on operationalizing risk management during this health crisis; Eden Gillott joins me to discuss crisis communication during the time of Covid-19. Compliance and Coronavirus is available on iTunes here.
10. On the Compliance Podcast Network, this month topic: internal reporting and investigations; all on 31 Days to a More Effective Compliance Program. This week’s offerings: Monday-intro to internal reporting and investigations; Tuesday-Advantages of an internal reporting system; Wednesday-Internal reporting case study; Thursday- Internal Reporting Best Practices; Friday- Answering DOJ questions on internal reporting. Note 31 Days to a More Effective Compliance Program now has its own iTunes channel.

Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

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1. Andrew Weissmann says DOJ needs dedicated compliance resource. Dylan Tokar reports in WSJ Risk and Compliance Journal.
2. What will the economic downturn mean for compliance departments and compliance budgets? Kristen Broughton reports in WSJ Risk and Compliance Journal.
3. How does WFH trigger new compliance concerns? Lloydette Mai-Barrow in the FCPA Blog.
4. Did OFAC create a giant compliance headache? Dick Cassin explores in the FCPA Blog.
5. What steps can you take to refresh your whistleblower system? Lawyers from Wachtell Lipton opine in NYU’s Compliance and Enforcement Blog.
6. When does cooperation become collusion? David Cross and Margaret Webb explore CCI.
7. Five ideas for compliance officers in the new normal. Robert Biskup explains in CCI.
8. Why is the Fraud Pentagon even more important in age of coronavirus? Jonathan Marks in Board and Fraud.
9. What does Blue Bell mean for executive liability? Michael Peregrine and David Rosenbloom in Harvard Law School Forum on Corporate Governace.
10. Interested in moving to the CCO chair? Check out my latest podcast series The Compliance Life where I interview one CCO type for a month on their journey to the CCO chair and beyond. In on this month’s edition I visit with Ellen Hunt, CCO at AARP. In this concluding Part 4, Hunt discusses what options are available to a CCO after leaving the CCO chair. Join me for the June series, which will feature Ryan Rabalais. The Compliance Life is now available on iTunes.
11. On Compliance and Coronavirus this week: Julie Myers Wood data privacy in the time of Covid-19; Melissa Koch on platformizing compliance during in this health crisis; Mary Ann Faremouth joins me to discuss what you can do if you are economically disolcated. Compliance and Coronavirus is available on iTunes here.
12. On the Compliance Podcast Network, this month topic: written standards; all on 31 Days to a More Effective Compliance Program. This week’s offerings: Tuesday-Enforcement actions featuring facilitation payments; Wednesday-Policies facilitation payments; Thursday- Policies for third parties;Friday- policies on extortion payments. Note 31 Days to a More Effective Compliance Program now has its own iTunes channel.

Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

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1. How can you assess a conflict of interest risk? Jeff Kaplan in the Conflict of Interest blog.
2. Deemed exports rears its ugly head in Higher Ed. Matt Kellyexplains in Radical Compliance. 
3. Mike Volkov takes a deep dive into beneficial ownership in a four-part series on Corruption Crime and Compliance.
4. What were the top anti-compliance enforcement developments from this decade. James Koukios and Amanda Aikman in CCI.
5. What steps can you take to refresh your whistleblower system? Lawyers from Wachtell Lipton opine in NYU’s Compliance and Enforcement Blog.
6. What does a modern bank heist look like? Jon Rusch explores in Dipping Through Geometries.
7. What are some old school fraud schemes? Francine McKenna discusses in The Dig.
8. How can company’s win the trust of whistleblowers back? Jonathan Marks in Board and Fraud.
9. Three more (former) KPMG partners go down in the firm’s test cheating scandall. Aaron Nicodemus in Compliance Week. (sub req’d)
10. Interested in moving to the CCO chair? Check in on this month’s edition of The Compliance Life where Tom visits with Ellen Hunt, CCO at AARP. In this Part 3, Hunt discusses what happens when you finally sit in CCO chair. New episodes appear each Tuesday in May at 1 PM CST. The Compliance Life is now available on iTunes.
11. On Compliance and Coronavirus this week: John Shegerian explains why data is the new oil in the time of Covid-19; Matt Whitteker on supply chain risks in this health crisis; Matt Kelly joins me to discuss the requirement for Covid-19 health attestation by Massachusetts businesses reopening in Phase 1 of the state’s reopening. Compliance and Coronavirus is available on iTunes here.
12. On the Compliance Podcast Network, this month topic: written standards; all on 31 Days to a More Effective Compliance Program. This week’s offerings: Monday-Charitable donation enforcement actions; Tuesday-Opinion Release guidance on charitable donations; Wednesday-Policies and procedures on charitable donations; Thursday- Policies on political contributions; Friday- the problems with Facilitation Payments. Note 31 Days to a More Effective Compliance Program now has its own iTunes channel.

Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

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1. Former Wal-Mart lawyer sues for allegedly refusing to change internal investigation report on FCPA. Matt Kelly in Radical Compliance. Dylan Tokar in the WSJ Risk & Compliance Journal.
2. How to mobilize for an internal investigation. In the WSK Risk & Compliance Journal.
3. What is trade based money laundering? Jon Rausch in Dipping Through Geometries.
4. Moving towards a more agile compliance and internal audit. Alex Movchan interviews Alkistis Gkiosi for the Risk and Compliance Platform Europe.
5. What steps can you take to safeguard a compliance program during Covid-19? Kara Brockmeyer, Andrew M. Levine and Philip Rohlikin opine in NYU’s Compliance and Enforcement Blog.
6. Should the role of the CCO be expanded? Klaus Moosemeyer says yes in the FCPA Blog.
7. Using data analytics in a compliance regime. Szilvia Andriasik in the FCPA Blog.
8. A new cyber-compliance playbook? Rod Rosenstein & Sumon Dantiki in Compliance Week. (sub req’d)
9. How to handle an internal investigation in during Covid-19? Lara Burke & Dominique Strieder in Compliance Week. (sub req’d)
10. Interested in moving to the CCO chair? Check in on this month’s edition of The Compliance Life where Tom visits with Ellen Hunt, CCO at AARP. In this Part 2, Hunt relates how to move towards the CCO chair. New episodes appear each Tuesday in May at 1 PM CST. The Compliance Life is now available on iTunes.
11. On Compliance and Coronavirus this week: Megan Dougherty explains why you should be pod-curious; AndrewRawson on the new normal of employee relations during and after Covid-19; JohnPetrovski and Jim Belin on how the economy may reopen and the markets play out. Compliance and Coronavirus.
12. On the Compliance Podcast Network, this month topic: written standards; all on 31 Days to a More Effective Compliance Program. This week’s offerings: Monday-Operationalization of your Code of Conduct; Tuesday-Introduction to policies and procesures; Wednesday-Revising your policies and procedures; Thursday- Policies and procedures on gifts and business entertainment; Friday- Policies and procedures on travel. Note 31 Days to a More Effective Compliance Program now has its own iTunes channel.

Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

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1. Blue Bell Ice Cream pleads guilty to two misdemeanor counts of distributing adulterated ice cream products. Mike Volkov blogs and podcasts about it in on Corruption Crime and Compliance. Tom intones on the FCPA Compliance and Ethics Blog. Jon Rausch on Dipping Through Geometries. More from Tom on the former CEO and Chairman of the Board criminally indicted for lying about it. Tom further reports with a two-part blog on the Board’s corporate governance failures, Part-1 COIs and Part 2-Caremark failures.
2. Rough sailing ahead for CCOs in cruise line industry. Matt Kelly weighs in on Radical Compliance. Tom and Matt take a deep dive in this week’s Compliance into the Weeds
3. The SEC responds to criticism and ramps up its whistleblower awards. Dave Michaels reports in the WSJ.
4. Moro resigns in Brazil, setting off a political crisis. Jessie Bullock In the Global Anti-corruption Blog.
5. NY DFS files action against opioid mfg for insurance fraud. Lawyers from Paul Weiss in NYU’s Compliance and Enforcement blog.
6. Lost in a sea of regulations? Kristy Grant-Hart explains how to navigate it in a guest post on Ethics and Compliance Matters.
7. Another Caremark case survives in Delaware. Kevin LaCroix in the D&O Diary.
8. Did US gov purchase from sanctioned entity? Geert Vermuelean in Risk and Compliance Platform Europe.
9. Should it be decision-making instead of risk management? Norman Marks in Governance, Risk Management and Audit.
10. Interested in moving to the CCO chair? Check in on this month’s edition of The Compliance Life where Tom visits with Ellen Hunt, CCO at AARP. In this Part 1, Hunt discusses the start of your journey. New episodes appear each Tuesday in May at 1 PM CST. The Compliance Life is now available on iTunes.
11. Tom has a wide ranging discussion with Nick Gallow on Compliance Lines’ new podcast, The Ethics Experts. Available on the Complaince Podcast Network.
12. On Compliance and Coronavirus this week: James Gellert on financial health of 3rd parties as a key DD inquiry; Ben Wolf on the new normal of doing business after Covid-19; Fry Wernick  on ephemeral messaging and video conferencing under the FCPA. Compliance and Coronavirus in sponsored by SAI Global.
13. On the Compliance Podcast Network, Tom explores written standards; all on 31 Days to a More Effective Compliance Program. This week’s offerings: Monday-Clearly articulated written standards; Tuesday-the Code of Conduct; Wednesday-Code of Conduct: Structure and Format; Thursday- Design of your Code of Conduct; Friday- Training on your Code of Conduct. Note 31 Days to a More Effective Compliance Program now has its own iTunes channel.

Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

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1.     Five questions for a Board in the time of Coronavirus. Muel Kaptein on LinkedIn.

2.     FCPA enforcement to remain robust. Mengqi Sun reports in the WSJ Risk and Compliance Journal. 

3.     Mike Ward on how tech can assist compliance during Covid-19. Dylan Tokar reports in the WSJ Risk and Compliance Journal. 

4.     Is it time for a new approach to business integrity? Alison Taylor explores in the Ethical Systems blog. 

5.     Will Coronavirus take down any big public companies? Francine McKenna explore in The Dig.

6.     Contact tracing for employees and its compliance issues. Lawyers from Debevoise & Plimpton  in NYU’s Compliance and Enforcement Blog. 

7.     Stakeholder principles during Covid-19. Members of the World Economic Forum in the Harvard Law School Forum on Corporate Governance.

8.     Using red flags to uncover fraud and corruption. Jonathan Marks on his Board & Fraud blog.

9.     How does playing golf enhance a compliance program? Keith Hennessee on the FCPA Blog. 

10.  Elon Musk indemnifies Tesla Board. Can you spell COI? Kevin LaCroix in the D&O Diary.

11.  AMI webinar on Crisis and Compliance in the Federal Marketplace. May 5 at noon EST. Registration and information here.

12.  On Compliance and Coronavirus this week: Jeffrey Hayzlett  on five key actions to take during Coronavirus; Mari Ryan on employee wellness; Brenda Ferraro on JumpStarting your 3rd party risk management program during Covid-19.   

13.  In a special series with the Brazilian law firm of Azevedo Sette, we explore the current compliance scene in Brazil. Part 1-Isabel Franco on how CarWash changed a culture; Part 2-Luis Salles on investigations and anti-trust compliance; Part 3-Glaucia Ferreira on due diligence and background investigations; Part 4-Ingrid Santos and Guiliana Bohia on #MeToo in Brazil; Part 5-Lucas Bianchinni on environmental compliance in Brazil. 

14.  On the Compliance Podcast Network, Tom concludes his month of exploring continuous improvement and introduces May’s topic: written standards; all on 31 Days to a More Effective Compliance Program. This week’s offerings: Monday-tech upgrades fostering continuous improvement;  Tuesday-using email sweeps for continuous improvement; Wednesday-using social media for continuous improvement; Thursday-conclusion to continuous improvement to a compliance program;  Friday-Introduction to written standards. Note 31 Days to a More Effective Compliance Program now has its own iTunes channel. If you want to binge out and listen to only these episodes, click here. This month’s sponsor is Affiliated Monitors, Inc. 

Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

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1. For the SEC drops a Friday Happy Hour FCPA enforcement action involving ENI. Matt Kelly breaks the story in Radical Compliance. Tom provides lessons learned in the FCPA Compliance and Ethics Blog. Tom and Matt take a deep dive in their podcast Compliance into the Weeds. Harry Cassin in the FCPA Blog. Dylan Tokar reports in the WSK Risk and Compliance Journal.
2. Tenacious whistleblower awarded $27MM. Kevin LaCroix in the D&O Diary.
3. Some post COVID-19 scenarios. Gemma Aiolfi explores in the FCPA Blog.
4. Leaders, dirty hands and COVID-19. Muel Kaptien in Risk and Compliance Platform Europe.
5. Data and security requirements are here to stay. William Schildknecht in NYU’s Compliance and Enforcement Blog.
6. Why companies should leave compliance alone. Jenna Voss, Christina Arianna and Chase Goldstein In CCI.
7. EY takes a brand beating. Martin Woods in Compliance Week. (Sub Req’d)
8. Where was, and is, and will be your Board? Carrie Penman asks in Navex Global’s Ethics and Compliance Matters
9. Can the government forgfeit a defense lawyers fees? Sara Kropf explores in Part 2 on Grand Jury Target.
10. On Compliance and Coronavirus this week: Fizza Khan on financial regulation during COVID-19; Gordon Firemark on force majeure; Sundar Narayanan on a CCO using empathy during the coronavirus crisis.
11. On the Compliance Podcast Network, Tom continues his month of exploring continuous improvement, all on 31 Days to a More Effective Compliance Program. This week saw the following offerings:Monday-keeping track of current events for continuous improvement; Tuesday-big data and continuous improvement; Wednesday-using big data; Thursday-measuring the effectiveness of a compliance program; Friday-Proactive monitoring for continuous improvement. Note 31 Days to a More Effective Compliance Program now has its own iTunes channel. If you want to binge out and listen to only these episodes, click here. This month’s sponsor is Affiliated Monitors, Inc.

Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

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1.     Former Goldman exec charged with FCPA violations. Harry Cassin breaks the story in the FCPA Blog. Matt Kelly says Goldman Sachs got a great outcome, in Radical Compliance. 

2.     How beliefs impact mindset. Jaclyn Jaeger reviews both angles in Compliance Week. 

3.     What will happen to ‘Made in China”? Dick Cassin explores in the FCPA Blog.

4.     What steps can be taken to fight corruption in the response to Coronavirus. Sarah Steingrüber in the Global Anti-Corruption Blog.

5.     What FCPA landmines are lurking beneath COVID-19? Scott Roybal in National Law Review. 

6.     Does the Coronavirus health crisis hobble monitors? Mengqi Sun in the WSJ Risk and Compliance Journal.

7.     BAT under investigation for export control violation.  Mengqi Sun in the WSJ Risk and Compliance Journal. 

8.     What might a national US privacy law look like? Logan Finucan in CCI.

9.     What do scam PACs and Coronavirus have in common? Sara Kropf explores on Grand Jury Target.

10.  On Compliance and Coronavirus this week: Abikoff and Huneke on why neither enforcement nor compliance ever sleep; Ryan Wilkins on corp governance issues during COVID-19; Tricia Cornell on why new and different time horizons during the coronavirus crisis.

11.  The Everything Compliance gang is back with a look at compliance and coronavirus. Check it out on iTunes here.  

12.  On the Compliance Podcast Network, Tom concludes a month of looking at the role of innovation in compliance And opens a month of exploring continuous improvement, all on 31 Days to a More Effective Compliance Program. This week saw the following offerings: Monday-the Culture Audit;  Tuesday-the Fraud Audit; Wednesday-the Integrity Audit; Thursday-the Mock Audit;  Friday-Monitoring for continuous improvement. Note 31 Days to a More Effective Compliance Program now has its own iTunes channel. If you want to binge out and listen to only these episodes, click here. This month’s sponsor is Affiliated Monitors, Inc. 

Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

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1.     Mike Volkov with a two-part tribute to his great mentor, Stanley Sporkin. On Corruption Crime and Compliance, Part 1 and Part 2. 

2.     How beliefs impact mindset. Linda Henman in CCI.

3.     Some coronavirus considerations. For Board, on the D&O Diary and from the front lines on the FCPA Blog.

4.     Stepping up your DD game during coronavirus. Jason Chang in the FCPA Blog. 

5.     FINMA reports highlights AML risk. Jonathan Rusch in Dipping Through Geometries. 

6.     Don’t be a Covidiot engaging in Covidocity. Matt Kelly in Radical Compliance. Tom and Matt take a deep dive in Compliance into the Weeds.  

7.     Compliance Week announces finalists for Excellence in Compliance Awards. Round One and Round Two. Special congrats to Carrie Penman. 

8.     Man update on COVID-19 and D&O Insurance. Kevin LaCroix on the D&O Diary.

9.     Be careful out there, the bad guys are watching. Ahsan Habib in Risk and Compliance Platform Europe. 

10.  On Compliance and Coronavirus this week: Peter Eyre on navigating the choppy legal and regulatory waters; Eric Feldman on the importance of culture assessments during COVID-19; Mike Cherkasky on why coronavirus truly is a crisis; Mary Shirley and Lisa Fine ruminate on their professional and personal lives.

11.  The Compliance Life premiers on the Compliance Podcast Network. 

12.  On the Compliance Podcast Network, Tom concludes a month of looking at the role of innovation in compliance And opens a month of exploring continuous improvement, all on 31 Days to a More Effective Compliance Program. This week saw the following offerings: Monday-designing a process for continuous monitoring;  Tuesday-Auditing of 3rd Parties; Wednesday-Continuous Improvement in Compliance; Thursday-the Compliance Audit;  Friday-Supply Chain audits. Note 31 Days to a More Effective Compliance Program now has its own iTunes channel. If you want to binge out and listen to only these episodes, click here. This month’s sponsor is Affiliated Monitors, Inc. 

Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

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1.     What were the FCPA enforcement highlights from Q1? Harry Cassin reports in the FCPA Blog. 

2.     Instilling trust in uncertain times. Bob Conlin in Navex Global’s Ethics and Compliance Matters blog. 

3.     Can 2008 be used as a guide for Boards in this economic downturn? Mark Gerstein and Christopher Drewery in the Harvard Law School Forum on Corporate Goverance. 

4.     Why must you be ever vigilent about fraud during an economic downturn. Jonathan Marks on Board and Fraud. 

5.     Managing digital disruption, part 2. Jim DeLoach in CCI.

6.     Morrisons skates massive data breach liability in UK. Cordery Compliance Client Alert. 

7.     Trump evisceration of EPA puts companies in ethical dililemma. Jaclyn Jaeger in Compliance Week. 

8.     Marriott has data breach of 5.2MM guests. Aaron Nicodemus in Compliance Week. 

9.     A whistleblower award goes to a compliance professional. Matt Kelly in Radical Compliance. 

10.  On the Compliance Podcast Network, Tom concludes a month of looking at the role of innovation in compliance And opens a month of exploring continuous improvement, all on 31 Days to a More Effective Compliance Program. This week saw the following offerings: Monday-Innovation in Compliance Leadership; Tuesday-What Does Innovation in Compliance Look Like?; Wednesday-Continuous Improvement in Compliance; Thursday-the Compliance Audit;  Friday-Internal Audit and Continuous Improvement. Note 31 Days to a More Effective Compliance Program now has its own iTunes channel. If you want to binge out and listen to only these episodes, click here. This month’s sponsor is Affiliated Monitors, Inc. 

Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

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1.     Mike Volvok says ethical business decisions are even more important now. In Corruption Crime and Compliance. 

2.     Matt Kelly has a trilogy of articles on coronavirus. What we are missing; A Tale from Frank; and 8 Objectives to Manage Pandemic Risks.

3.     Testing Compliance. A new approach by Brandon Garrett and Gregory Mitchell. Download the paper here. 

4.     Coronavirus could make ESG more important. Kristin Broughton and Maitane Sardon in the WSJ Risk & Compliance Journal. 

5.     Allen Overy poaches Jonathan Lopez and Billy Jacobson from Orrick. Inex Kagubare in GIR.

6.     What is time and attendance fraud in the time of coronavirus? Sara Kropf explains on Grand Jury Target. 

7.     Mike Volkov talks about sanctions compliance in the era of Trump and the int’l financial war. In Navex Global’s Risk and Compliance Matters. 

8.     More WOW moments in compliance. Geert Vermeulen in Risk & Compliance Platform Europe. 

9.     Looking at incentives and compliance. Jeff Walker and Rebecca Kaplan in CCI.

10.  The Affiliated Monitors Expert Podcast joins the Compliance Podcast Network.

11.  Tom premiers a new podcast series, Compliance and Coronavirus.

12.  On the Compliance Podcast Network, Tom opens a new month by looking at the role of innovation in compliance on 31 Days to a More Effective Compliance Program. This week saw the following offerings: Monday-Using innovation to break through silos; Tuesday-Originating a compliance ecosystem; Wednesday-Moving Data Science the last mile; Thursday-the Regional Compliance Committee;  Friday-Innovation in investigative due diligence. Note 31 Days to a More Effective Compliance Program now has its own iTunes channel. If you want to binge out and listen to only these episodes, click here. This month’s sponsor is Affiliated Monitors, Inc. 

Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

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1.     Compliance Week has a plethora of articles relating to Coronavirus. Aaron Nicodemus considers why ethics pays; Jaclyn Jaeger on designing a crisis management plan and Dave Lefort on why ethical leadership is even more critical now. 

2.     Chilling from home? Dick Cassin offers some good compliance-related movies for socially distanced compliance professionals in the FCPA Blog. 

3.     Revisiting inherent conflicts of interest. Jeff Kaplan in the Conflict of Interest Blog. 

4.     Coronavirus is no excuse for not being vigilant. Kevin Abikoff and Mike Huneke in the  FCPA Blog.

5.     Charles Middleton says we should stop blackballing whistleblowers. In CCI.

6.     What are MLATs and are they abused? Dave Michaels and Aruna Viswanatha in the WSJ Risk and Compliance Journal. 

7.     Mike Volkov takes a deep dive into an Anti-Trust Compliance Program in a 3-part series on Corruption, Crime & Compliance. Part 1-Risk Assessments, Part 2- Ethical Culture and Monitoring, Part 3- Training and Speak Up and Reporting Systems.

8.     What’s the Board’s role in the coronavirus crisis? Jonathan Marks in the BoardandFraud Blog. 

9.     Is Managerial Entrenchment Always Bad and Corporate Social Responsibility Always Good? In the Harvard Law School Forum on Corporate Governance. 

10.  Reflections on the Golden Boy from Jay. 

11.  On the Compliance Podcast Network, Tom opens a new month by looking at the role of innovation in compliance on 31 Days to a More Effective Compliance Program. This week saw the following offerings: Monday-the Digital Twin and P&L of One; Tuesday-Superforecasting; Wednesday-blockchain for compliance; Thursday-Design Thinking for compliance;  Friday-AI as a competitive advantage. Note 31 Days to a More Effective Compliance Program now has its own iTunes channel. If you want to binge out and listen to only these episodes, click here. This month’s sponsor is Affiliated Monitors, Inc. 

Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

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1.     Compliance Week has a plethora of articles relating to Wells Fargo. Aaron Nicodemus considers the testimony of Charlie Scharf; Jaclyn Jaeger on Lessons Learned and Board resignations. (Even though a subscription is required for these articles, if you go to Compliance Week site and register for a free account to view four articles at no charge.)

2.     John Wood Group reserves $46MM for anti-corruption settlement. Dylan Tokar in the WSJ Risk and Compliance Journal.

3.     Is unified transaction monitoring a paneca? Sujata Dasgupta explains in CCI.

4.     Is every email a FCPA violation? Bill Steinman asks in the FCPA Blog.

5.     OCC issues some excellent guidance around 3rd parties. Matt Kelly considers in Radical Compliance. 

6.     Wow moments in compliance, Part 4. Geert Vermeulen continues his 5-part series in Risk and Compliance Platform Europe. 

7.     What are the dangers of a hyper-focused sales culture? Mike Volkov explores in Corruption, Crime & Compliance.

8.     Supply Chain and coronavirus. Global Supply Chain Blog. 

9.     Economic crime levy in UK. Jonathan Rausch considers in Dipping Through Geometries. 

10.  Banks behaving badly, parts 3088 and 3089. SwedBank and Fifth Third. 

11.  On the Compliance Podcast Network, Tom opens a new month by looking at the role of innovation in compliance on 31 Days to a More Effective Compliance Program.This week saw the following offerings: Monday-Compliance capabilities needed to use AI programs; Tuesday-4 practices for delivering an AI solution; Wednesday-Finding compliance patterns in raked leaves; Thursday-Using AI in compliance contracting;  Friday-taming complexity in compliance. Note 31 Days to a More Effective Compliance Program now has its own iTunes channel. If you want to binge out and listen to only these episodes, click here. This month’s sponsor is Affiliated Monitors, Inc. 

Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

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1.     The Cardinal Health FCPA enforcement action. 

2.     Is your compliance program effective? 

3.     The Astros sign stealing scandal and breach of fiduciary duty. 

4.     CRO fined $450,000 individually for failures in compilance. 

5.     Does conflict rob you of success? 

6.     Wow moments in compliance, Part 3. 

7.     Are you under pressure as a compliance professional. 

8.     How can you manage digital disruption? 

9.     On the Compliance Podcast Network, Tom opens a new month by looking at the role of innovation in compliance on 31 Days to a More Effective Compliance Program.This week saw the following offerings: Monday-What is Innovation in Compliance; Tuesday-Welcome to ComTech; Wednesday-skills needed for innovation; Thursday-the advantage of data in compliance;  Friday-strategies for and with AI in compliance. Note 31 Days to a More Effective Compliance Program now has its own iTunes channel. If you want to binge out and listen to only these episodes, click here. This month’s sponsor is Affiliated Monitors, Inc. 

10.  Join Tom in Houston on March 10 as Convercent is hosting a Roundtable, from 12-2 at Steak 48. Our featured speaker will be Philip Winterburn and featured guest is Terri Springer from HP. We will focus on key KPIs for compliance. Information and Registration here. 

11.  Join Tom in NYC on Thursday, March 12 as Convercent is hosting an Innovation Forum from 3:30-7 PM at Santina. This event will allow you to network with like-minded individuals within the ethics and compliance space and hear from Thomas Fox and Philip Winterburn as well. For more information and registration click here. 

12.  If not Houston or NYC, how about joining Tom in Philly? Join Baker Tilly and the Philadelphia Chapter of the Institute of Internal Auditors for the 2020 Fraud and Ethics Symposium. Information here and registration here. 

Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is       Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

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As President Trump says coronavirus is no big deal and cuts CDC funding because ‘who needs scientists or facts’, Jay and Tom suspend their breathing masks shopping to consider some of the top compliance articles and stories which caught their eye this week. 

1.     The Wells Fargo DOJ/SEC settlement. 

2.     Lawrence Hoskins FCPA verdicts overturned by trial court. 

3.     The Ethisphere 2020 WME awards are out. Even better news this year. 

4.     Compliance Week takes a deep dive into coronavirus and its impacts. 

5.     NY state Shield Act coming into effect shortly. Is your company ready? 

6.     Wow moments in compliance, Part 2. Geert Vermeulen continues his 5-part series. 

7.     What is cognitive diversity and why does it matter? Vera Cherepanova reports.  

8.     Will corruption cost Equatorial Guinea its IMF bailout? Rick Messick in the Global Anti-Corruption Blog. 

9.     On the Compliance Podcast Network, Tom concludes his one month look at the role of HR in compliance on 31 Days to a More Effective Compliance Program.This week saw the following offerings: Monday-using promotion to encourage compliance; Tuesday-tone in the middle of an organization; Wednesday-tone at the bottom of an organization; Thursday-Gap Analysis for HR;  Friday-10 questions to pose to HR. Note 31 Days to a More Effective Compliance Program now has its own iTunes channel. If you want to binge out and listen to only these episodes, click here. 

10.  Join Tom in Houston on March 10 as Convercent is hosting a Roundtable, from 12-2 at Steak 48. Our featured speaker will be Philip Winterburn and featured guest is Terri Springer from HP. We will focus on key KPIs for compliance. Information and Registration here. 

11.  Join Tom in NYC on Thursday, March 12 as Convercent is hosting an Innovation Forum from 3:30-7 PM at Santina. This event will allow you to network with like-minded individuals within the ethics and compliance space and hear from Thomas Fox and Philip Winterburn as well. For more information and registration click here. 

12.  If not Houston or NYC, how about joining Tom in Philly? Join Baker Tilly and the Philadelphia Chapter of the Institute of Internal Auditors for the 2020 Fraud and Ethics Symposium. Information here and registration here. 

Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

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1.     Airbus still making news. Asher Miller provides 5 key takeaways for the compliance practitioner in the FCPA Blog. Dylan Tokar reports on more follow on investigations in the WSJ Risk & Compliance Journal. Joanne Taylor joins Tom on the FCPA Compliance Report to consider the UK perspective. Tom considers the French enforcement perspective in the FCPA Compliance and Ethics Blog.

2.     Another sentencing in the PdVSA ongoing bribery scandal. See the DOJ Press Release.

3.     What are WOW moments in compliance? Geert Vermeulen begins a 5-part series in Risk and Compliance Platform Europe. 

4.     How do compliance officers show their worth? Dick Cassin explain in the FCPA Blog. 

5.     Is it time to rebalance your 3rd party risk management strategy? Mike Volkov reports in Corruption Crime and Compliance. Mike writes about the importance of classifying your 3rd parties in Navex Global’s Ethics & Compliance Matters blog. 

6.     Is the tide turning against whistleblowers? Aaron Nicodemus explores in Compliance Week. (sub req’d)

7.     Civil damages for corruption claims? Rick Messick considers on the Global Anti-Corruption Blog.

8.     New round of Alstom employee indictments. Dick Cassin reports in the FCPA Blog.  

9.     What is a moral hazard moment? Jeff Kaplan explains on the Conflict of Interest blog. 

10.  On the Compliance Podcast Network, Tom begins a one month look at the role of HR in compliance on 31 Days to a More Effective Compliance Program.This week saw the following offerings: Monday-succession planning and compliance; Tuesday-compliance performance appraisal review; Wednesday-Hiring a CCO: developing a job profile; Thursday-sales incentives and compliance; Friday-the exit interview. Note 31 Days to a More Effective Compliance Program now has its own iTunes channel. If you want to binge out and listen to only these episodes, click here. 

11.  Join Tom to watch Jay on the panel with other compliance experts in the Dow Jones Refining Compliance Risk event in Hosuton on Tuesday, February 25 from 10 AM to 12 PM. For information and registration click here.  

12.  Join Tom in NYC on Thursday, March 12 as Convercent is hosting an Innovation Forum from 3:30-7 PM at Sabrina. This event will allow you to network with like-minded individuals within the ethics and compliance space and hear from Thomas Fox and Philip Winterburn as well. For more information and registration click here. 

Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

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1.     Trump orders DOJ to cut Roger Stone sentence recommendation. Eileen Sullivan in the NYT. Sara Kropf considers the legal angle for defense attorney’s in Grand Jury Target.  

2.     Is data privacy a lifestyle? Jessica Wilburn explores in Navex Global’s Ethics and Culture Matters blog. 

3.     Compliance budgets are getting tighter. Matt Kelly considers in Radical Compliance. Tom and Matt take a deep dive in Compliance into the Weeds. 

4.     Britain and France’s cooperation in the Airubs investigation and enforcement action. Branislav Hock in Risk and Compliance.

5.     Game changes in compliance training. Jaclyn Jaeger in Compliance Week. (sub req’d)

6.     What is the power of proactive monitoring? Jay explores in CCI.

7.     Worried about CCO liability? Matt Kelly explores on Radical Compliance.

8.     Wistful thinking that FCPA enforcement going away. Bill Steinman in the FCPA Blog.  

9.     Why Board governance around compliance must change. Mike Volkov on Corruption Crime and Compliance. 

10.  On the Compliance Podcast Network, Tom begins a one month look at the role of HR in compliance on 31 Days to a More Effective Compliance Program.This week saw the following offerings: Monday-6 core principles for compliance incentives; Tuesday-designing comp to incentivize compliance; Wednesday-exec comp and compliance incentives; Thursday-sales incentives and compliance;  Friday-instituional justice and fair process. Note 31 Days to a More Effective Compliance Program now has its own iTunes channel. If you want to binge out and listen to only these episodes, click here. 

Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

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1.     Airbus commentary is out. Dick Cassin on the FCPA Blog, Mike Volkov on Corruption Crime and Compliance, Tom Fox on the FCPA Compliance and Ethics Blog and Jonathan Armstrong on Cordery Compliance all lead the discussion. 

2.     COSO warns of siloed compliance. Kristin Broughton in the WSJ Risk and Compliance Journal. 

3.     Odebretch extends monitorship 9 months. Will that be enough? Mengqi Sun explores. 

4.     What about small annual changes in the TI-CPI? Matthew Stephenson goes diadic.  

5.     Is new DOJ Guidance a sword or shield or both? Jay continues his series. 

6.     How to grow your compliance program as your company scales. Gio Gallo explains.  

7.     Worried about CCO liability? Matt Kelly explores.

8.     Bernie Ebbers passes. A moment of silence for his role in compliance. 

9.     Speaker programs and big pharma. WilmerHale lawyers opine. 

10.  On the Compliance Podcast Network, Tom begins a one month look at the role of HR in compliance.This week saw the following offerings: Monday-introduction to the role of HR in compliance; Tuesday-the role of HR in creating an ethical culture; Wednesday-the hiring process; Thursday-the reference check. Friday-incentivizing compliance. Note 31 Days to a More Effective Compliance Program now has its own iTunes channel. If you want to binge out and listen to only these episodes, click here. 

11.  Join Tom for the webinar, The Houston Astros: Ethics, Compliance and Sign Stealing on  Thursday February 13, at 2 PM CST. Registration and information here. 

Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

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1. Airbus to settle corruption charges for nearly $4bn.
2. Ericsson executives acted in ‘bad faith’. Dick Cassin reports.
3. What are 5 takeaways from the Luanda Leaks? Allison Taylor explains.
4. Should we worry about the Trump Administration gutting the FCPA? Matthew Stephenson opines.
5. How can you use external resources to bolster your compliance program? Jay continues his series.
6. The SEC provides some pointers on cyber-security. Matt Kelly explores.
7. Why is sponsorship important in compliance? Mary Shirley explains.
8. What role did corrupt play in the coronavirus? Gretta Fenner and Monica Guy explore.
9. A more comprehensive look at the SFO’s thoughts on compliance programs.
10. On the Compliance Podcast Network, Tom concludes his 31 Days to a More Effective Compliance Program series and announces he is extending it out for the year. This week saw the following offerings: Day 27 considers pre-acquisition due diligence in M&A ; Day 28 looks at requirements in post-acquisition integration; Day 29 looks at root case analysis; Day 30 details how to use a root cause analysis to remediate; Day 31 concludes with a look at the 3 levels of due diligence. Note 31 Days to a More Effective Compliance Program now has its own iTunes channel. If you want to binge out and listen to only these episodes, click here.

Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is      Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

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1.     Africa’s richest woman, Isabel Dos Santos, accused of massive looting of Angola during her father’s reign. 

2.     Tom wraps up his multipart series on the Astros sign stealing scandal; Part 4-The Truth of the Game, Part 5-the Whistleblower and Amensty and Part 6-the Scarlet C. Tom and Matt take a deep dive in this week’s Compliance into the Weeds. 

3.     Mike Volkov takes a look at the year in OFAC enforcement. 

4.     How can you use the Benczkowski Memo internally? Jay explores in his CCI series. 

5.     Latest Edleman Report shows trust going down. Matt Kelly explores in Radical Compliance. 

6.     How does the DOJ draft new policies? Clara Hudson reports on Matthew Miner speech in GIR.

7.     Five men indicted in massive crypto-currency scheme. Jonathan Marks on the lessons learned in his Board and Fraud blog. 

8.     Lawyers from Skadden Arps compare and contrast UK and French guidance on cooperation. In NYU’s Compliance and Enforcement Blog. 

9.     Was the SFO’s internal guidance a missed opportunity? Aziz Rahmen thinks so, in the FCPA Blog. 

10.  On the Compliance Podcast Network, Tom continues his 31 Days to a More Effective Compliance Program series. 31 Days to a More Effective Compliance Program now has its own iTunes channel. If you want to binge out and listen to only these episodes, click here. 

Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

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1.     MLB lays down the hammer on the Astros. Are the Red Sox next? Tom’s multipart series. His cognitive dissonance is explored in the FCPA Blog. 

2.     Mike Volkov says its time to move from reactive to proactive compliance, in a 3-part series on Corrruption Crime and Compliance. 

3.     What do DOJ changes mean for the compliance practitioner? Jay explores in his CCI series. 

4.     What is the SEC Enforcement Network? Verity Winship explains in NYU’s Compliance and Enforcement Blog. 

5.     Will the Fraud Section now refocus on commodities trading cases? Aitan Goelman in NYU’s Compliance and Enforcement Blog. 

6.     What are Red Flags? Gini Dietrich explains in Spin Sucks. Harry Cassin says look out for expensive watches, in the FCPA Blog. 

1. Corporate governance and behavioral ethics in the Harvard Law Review on Corporate Governance. 

8.     The trouble with transparency. Vera Cherepanova explains in the FCPA Blog. 

9.     How Queen informs your compliance program (Hint: Pressure). Matt Kelly, the coolest guy in compliance in Radical Compliance. 

10.  On the Compliance Podcast Network, Tom continues his 31 Days to a More Effective Compliance Program series.This week saw the following offerings: Day 13 reviews institutional justice ; Day 14considers risk assessments; Day 15 looks at evaluating a risk assessment; Day 16 details the 3rd party risk management process; Day 17 explains how to manage a 3rd party. Note 31 Days to a More Effective Compliance Program now has its own iTunes channel. If you want to binge out and listen to only these episodes, click here. 

Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

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1. Tom goes all in on looking back and looking forward. DOJ year in review. SEC year in review. Issues for compliance professionals for 2020. Bribery schemes from 2019, and responses to these bribery schemes.
2. Matt Kelly provides his take on 7 issues for 2020. Tom and Matt go into the weeds for Part 1 on a 2-part podcast series on the veiled land of the future in Compliance into the Weeds.
3. Mike Volkov does a podcast on the FCPA review in review. He also has three blog post, -1-a record setting year, 2-FCPA Enforcement Highlights and 3-Carnac the Magnificent.
4. Ten top D&O stories from 2019. Kevin LaCroix on the D&O Diary.
5. 2020 will see the convergence of ABC and human rights compliance. Allison Taylor in the FCPA Blog.
6. The year in export trade control (and a look forward).
7. Dave Lefort weighs in from the EIC perspective. In Complaince Week (sub req’d)
8. The Gibson Dunn 2019 FCPA Review is out.
9. On the Compliance Podcast Network, Tom continues his 31 Days to a More Effective Compliance Program series.This week saw the following offerings: Day 6 details the Code of Conduct ; Day 7considers policies and procedures; Day 8 looks at internal controls; Day 9 looks at 360 degrees of compliance communications; Day 10looks at the use of social media in compliance.
10. Is the Patriots Dynasty over? Does Jay come to mourn TB12 or to praise him. Our thoughts on the greatest professional football dynasty of all time.

Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

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1.     Carlos Ghson flees captivity in Japan. Who will buy the movie rights. (Early candidate to write the screenplay-Jay Rosen?)

2.     What were some of the top compliance failures for 2019? Jaclyn Jaeger weighs in on Compliance Week. (Sub Req’d)

3.     Who were some of the compliance winners from 2019? Kyle Brassur opines in Compliance Week. (Sub Req’d)

4.     Does compliance have a dark side? Jeff Kaplan considers in the Conflict of Interest blog. 

5.     What is the combination of monitoring and compliance. Jay explores in CCI.

6.     What is the danger of fraudulent access requests under the CCPA? Davis Polk in the NYU Compliance and Enforcement blog. 

7.     What is the difference in public company governance and JV governance? James Bamford, Tracy Branding and Lois D’Costa in Harvard Law School Forum on Corporate Goverance. 

8.     Corruption returning to South America? Ernesto Londoño and Letícia Casado report. 

9.     Exxon overturns OFAC fine for doing business with sanctioned individual. Dylan Tokar in the WSJ Risk and Complaince Journal.

10.  On the Compliance Podcast Network, Tom premiers 31 Days to a More Effective Compliance Program. Day 1 detailed what 2019 brought to compliance ; Day 2 tackles measurement of risk; Day 3 deals with leadership’s conduct at the top; Day 4 discusses moving tone down in an organization; Day 5 considers the Board of Directors and operationalizing compliance. 

Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

For more information on how an independent monitor can help improve your company’s ethics and compliance program, visit our sponsor Affiliated Monitors at www.affiliatedmonitors.com. 

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1.     Boeing CEO (finally) fired. Natalie Kitroeff and David Gelles report on his missteps in NYT. Andy Pasztor, Doug Cameron and  report on his replacement in the WSJ. Tom and Matt consider ethics and the CEO in this week’s Compliance into the Weeds. 

2.     Deputy AAG Mathew Miner on why companies should invest in compliance. Dylan Tokar in the WSJ Risk and Compliance Journal. 

3.     Another DPA for the SFO and more corporate individuals acquitted at trial. Susan Hawley in the FCPA Blog. 

4.     What is a textbook internal investigation? Matt Kelly explores. 

5.     Is the Morning Show on Apple TV a wakeup call for corporate America? Sean Freidlin explores.

6.     What is the role of ESG in corp investing? John Huggie in the Harvard Law School Forum on Corporate Governance.

7.     The comp angle to managing multi-generations. Elliott Dinkin in CCI. 

8.     What is operational resilience and why does it matter? Matt Kelly explores. 

9.     How does Santa inform your compliance program? Tom explains in the FCPA Compliance and Ethics Blog. 

10.  On the Compliance Podcast Network, this week Tom concluded a two-part series with MoFo partner James Koukios on the firm’s International Anti-Corruption Newsletter. Part 1 was the September newsletter and Part 2 was the October newsletter. Another two-parter you will want to check out is the Everything Compliance gang’s two-part podcast series reviewing compliance in 2019 under the Trump Administration. Part 1 features Tom, Matt Kelly and Jay Rosen. Part 2 features Sarah Hadden, Mike Volkov and Jonathan Armstrong. 

Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

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1.     Tim Leissner settles with the SEC. Dick Cassin. Tom takes a deep dive in the FCPA Ethics and Compliance blog.

2.     Aly McDevitt with two great articles on talks at CW Third Party Conference. 

3.     Mexico getting serious about fighting corruption. Luis Dantón Martínez Corres in the FCPA Blog. 

4.     Culture lessons from Coca Cola. Gary Patterson and Robert Baker in CCI.

5.     Jay looks at the expansion of the corporate integrity monitor, in CCI.

6.     Cyber enforcement and FTC expectations. Avi Gesser and Molly O’Malley Clarke in NYU’s Compliance and Enforcement blog. 

7.     What is the intersection of corp oversight and disobidience? Elizabeth Pollman in the Harvard Law School Forum on Corporate Governance. 

8.     How and why should you manage your corp culture? Jim DeLoach in CCI. 

9.     New DOJ Cooperation Policy on Trade Sanctions and Export Control. Matt Kelly in Radical Compliance. 

10.  Insurance to protect you from populism? Liam Fitzpatrick on the D&O Diary. 

11.  On the Compliance Podcast Network, Tom and Jay celebrate the opening of The Rise of Skywalker with a five part podcast series on the intersection of Star Wars (IV-VIII) and compliance. In Part 1, A New Hope and Risk; in Part 2, The Empire Strikes Back and Due Diligence; in Part 3, The Return of the Jedi and Effective Training; in Part 4, The Force Awakens and Disruption in Compliance and in Part 5, The Last Jedi and BOD Role in Succession. 

Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

For more information on how an independent monitor can help improve your company’s ethics and compliance program, visit our sponsor Affiliated Monitors at www.affiliatedmonitors.com. 

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1. Ericsson settles the second largest FCPA enforcement action of all time.
2. Ericsson comes in the FCPA Blog’s all-time Top Ten FCPA Enforcements and also Number 2 on the all-time Disgorgement List.
3. Jay Clayton backs off his threat to cap SEC whistleblower awards.
4. Director of Treasury’s anti-money-laundering watchdog calls for Congress to pass corporate transparency legislation.
5. Jay looks at the birth of the corporate integrity monitor.
6. Did they look at petty cash? €84MM goes missing from Football Association of Ireland. Jonathan Rausch.
7. Does better corp governance leader to better corporate agility? Kenneth Lehn.
8. How and why should you manage your corp culture? Jim DeLoach
9. CFIUS report to Congress. Lawyers from Simpson Thatcher.
10. How to manage risk when the BOD is overconfident? Matt Kelly.
11. Patriots caught cheating again. Do they even care? Max Kellerman.
12. On the Compliance Podcast Network, Tom had a five part podcast series on the Hughes Hubbard 2019 FCPA and Anti-Bribery Alert. In Part 1, Kevin Abikoff provides and overview of the Alert and explains this year’s theme; in Part 2, Laura Perkins on the year in FCPA; in Part 3, Bryan Sallaman on developments from France; in Part 4 Mark DeBernardis on MDBs and anti-courrption enforcement and in Part 5, Salim Saud on developments in Brazil.

Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com. For more information on how an independent monitor can help improve your company’s ethics and compliance program, visit our sponsor Affiliated Monitors at www.affiliatedmonitors.com.

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1.     Bribery and Corruption on trial. Boustani admits paying bribes but found not guilty. How did that happen? Rick Messick explains. Conversely, 6 FCPA defendants have been found guilty this year. Dick Cassin reports. 

2.     DOJ tweaks FCPA Corporate Enforcement Policy. Mike Volkov reviews. Davis Polk lawyers weigh in. 

3.     Assistant Attorney General Brian A. Benczkowski Delivers Remarks at the ACI Conference on the FCPA. 

4.     The most idiotic FCPA article ever. 

5.     Jay reminices on the founding of AMI and the creation of the independent integrity monitor.

6.     What are ethical downsides to AI in FinTech and RegTech? Kristin Broughton explores.

7.     Don’t encourage employees to speak up if you are not ready to listen. Bob Conlin explains why. 

8.     Fallout continues from massive money-laundering scheme ‘down under’. Jonathan Rausch. 

9.     A framework to think about ESG, corporate purpose and governace. Frank Glassner.  

10.  Ten things to do in preparation for CCPA. Lori Tripoli reports.

11.  On the Compliance Podcast Network, Tom interview AMI MD, Mikhail Gordon for a sponsored podcast series on Aspects of Monitorships. In Part 1, why independence is so critical; in Part 2,  the ABA on Monitors; in Part 3, How international teaching informs compliance; in Part 4 cultural differences in int’l and domestic monitorships and in Part 5, the evolution of monitorships. 

12.  Reflections on DC Fontana. 

Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com. For more information on how an independent monitor can help improve your company’s ethics and compliance program, visit our sponsor Affiliated Monitors at www.affiliatedmonitors.com. 

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1.     Using the same defense as Hoskins, Boustani admits bribery and corruption in Mozambique Tuna Boat case. Will it work out any better for him? Law360. 

2.     SEC whistleblower tips go down for the first time. Kristen Broughton reports. Kevin LaCroix sees it otherwise. 

3.     Jay Clayton gins up fake written comments to support regulation change. Zachary Mider and Ben Elgin report.

4.     Former Keppel Offshore lawyer sentenced to time served. Dick Cassin reports. 

5.     Why punishing the bribe takers is equally important as punishing the bribe payors? Matthew Stephenson explains it all.   

6.     Does an aggressive position in a Wells submission hurt a company in a SEC enforcement action? Lawyers from Simpson Thatcher explore. 

7.     What is ‘enforcement fatigue’ and how did Alstom overcome it? Dylan Tokar reports. 

8.     Dept. of Treasury bringing more sanctions cases against shipping companies. Kristin Broughton reports. 

9.     What will risk and compliance look like in 2020? David Banks considers. 

10.  How does M&A benefit from an independent assessment? Jay continues his series. 

11.  What are the implications of Gen Z on the front lines of compliance? Gaurov Kapoor explores. 

12.  Recent FCPA enforcement actions shows the SEC will use FCPA Accounting Provisions to hold a company liable for ineffective AML controls. Clay Porter.

13.  Navex’s Loren Johnson joins the podcast to talk about Navex Global’s 2020 Benchmarking Survey.  You can participate in Navex Global’s annual survey by clicking here.

Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

For more information on how an independent monitor can help improve your company’s ethics and compliance program, visit our sponsor Affiliated Monitors at www.affiliatedmonitors.com. 

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1.     Hoskins found guility. Dylan Tokar reports. Dick Cassin. Tom and Mike Volkov. How the verdict bolsters the DOJ.

2.     Astros accused by ex-player of cheating in 2017 Championship season. David Schonenfield breaks down sign-stealing. Michael Rosenberg reports. Buster Olney says the Astros cannot be trusted to investigation themselves. Tom weighs in on the FCPA Compliance and Ethics Blog.

3.     How do you balance perception based culture with fact based compliance? Anna Romberg 

4.     Twists and turns in the Cognizant case. Bill Wichert 

5.     What can WeWork teach us about private company compliance. Erica Salmon Byrne.  

6.     A Guidebook to Corporate Governance. 

7.     Deutsche Bank whistleblower loses appeal. Jon Hill 

8.     Why do you need oversight of merged companies? Jay explores

9.     TRACE corruption ratings for 2019 are out. Matt Kelly reviews. 

10.  Is FCPA enforcement inconsistent? Three lawyers from Bass, Berry say yes.

11.  Take a deep dive into SEC 2018/9 enforcement numbers. Cleary Gottlieb lawyers.  

12.  The Compliance Kitchen, a podcast hosted by Silvia Surman, premiers on the Compliance Podcast Network. 

Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com. For more information on how an independent monitor can help improve your company’s ethics and compliance program, visit our sponsor Affiliated Monitors at www.affiliatedmonitors.com. 

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1.     The Hoskins trial goes to the jury. Dylan Tokar and Clara Hudson report.

2.     What are the implications from the Unaoil guility pleas? Tom takes deep dive and Mike Volkov provides his always insightful former DOJ prosecutor perspective. 

3.     Will the Supreme Court do away with profit disgorgement?

4.     CCI starts a great new section, New Voices focusing on the young Compliance Professional. The first piece is by Margarita Derelanko. 

5.     Management repution risk does not have a start or end date. Jonathan Marks explains. 

6.     More fallout from the Connelly decision. Frederick Davis. 

7.     Planning a post acquisition integration. Jay explores.

8.     Spain brings a corruption prosecution. Jonathan Rusch.  

9.     New DOJ taskforce on procurement fraud. Matt Kelly delivers sharp thinking. 

10.  What about the other FCPA trial going on? Matt Bernardi reports.

11.  Tom and Ronnie Feldman celebrated Corporate Compliance and Ethics week with a 5-pasrt series of podcasts on creative things you can do to communicate compliance; all on their Creativity and Compliance Podcast on the CPN. Check out the following lineup: Monday-the Petting Zoo;  Tuesday-Talk Shows; Wednesday-Contests and Games; Thursday-Keynotes and Speakers; Friday –Going Forward. 

Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is       Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

For more information on how an independent monitor can help improve your company’s ethics and compliance program, visit our sponsor Affiliated Monitors at www.affiliatedmonitors.com. 

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1.     The Hoskins trial begins. Dylan Tokar reports. Law360 has two reports.

2.     Jho Low agrees to forfeit all goods claimed by in US in its civil forfeiture actions. Byron Tau and Aruna Viswanathan report. 

3.     Is the DFS about to bring the hammer down on cyber breaches? Davis Polk lawyers in NYU’s Compliance and Enforcement blog. 

4.     What are the stakes for corporate wrongdoers? Dan Portnoy.

5.     Unaoil CEO and COO, plus head of BD all plead guilty as pleas unsealed. Dick Cassin breaks the story.  

6.     Mattel announces material controls weakness. Jaclyn Jaeger reports.  

7.     Should a merger partner be an ethical fit? Jay explores in his continuing series.

8.     What will the Crown Prosecution Service review of the SFO mean going forward? Sam Tate and Charlotte Thompson explain. 

9.     Quid Pro Quo-a Primer. Rick Messick. 

10.  What are 5 steps you can engage in to improve BOD monitoring of compliance. Mike Volkov explains. 

11.     Tom had a great group of top-notch podcasts, this week on the CPN. Check out the following lineup: FCPA Compliance Report- Steven Lofchie on the Cadwalader Cabinet;  Innovation in Compliance-Thinkeen Law, a law firm that focuses on data and compliance; #GWIC with Part 1 of a 2-part podcast with Michelle Shapiro; 12 O’Clock High– Branding lessons from Count Dracula; Popcorn and Compliance-Jay and Tom consider the compliance angles from Star Trek II-The Wrath of Khan, Sunday Book Review-four books from the UNC Press. The podcasts are available on multiple sites: the FCPA Compliance Report, iTunes, JDSupra, Megaphone, YouTube,  Spotify and the Compliance Podcast Network.

12.     Check in next week where Ronnie Feldman and I have a 5-part podcast series on Creativity and Compliance celebrating Compliance Week 2019. 

Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

For more information on how an independent monitor can help improve your company’s ethics and compliance program, visit our sponsor Affiliated Monitors at www.affiliatedmonitors.com. 

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1.     SEC examiner (allegedly) steals confidential information on company investigation, then leaves SEC to become company’s CCO. Dylan Tokar reports and Matt Kelly opines.

2.     What are the data privacy considerations in investigations?

3.     Are you looking at your 3rd parties for data protection issues? Adam Hill discusses. 

4.     What are the stakes for corporate wrongdoers? Dan Portnoy explains.

5.     What are 5 common weaknesses in OFAC Compliance programs. Mike Volkov explains.  

6.     Whats, whys and hows in M&A assessment. Jay starts a new series.

7.     Why is understanding behavioral science critical for a compliance programs? Jeff Kaplan dissects it.

8.     Why is a speak up culture hard to find. Dick Cassin explains. 

9.     AI and internal audits. Kevin Alvero and Randy Pierson.   

10.  Avanir engages in corruption in the US. Not FCPA but FCA violation. Mike Volkov explains. 

11.  Tom had a great group of top notch podcasts, on the CPN this week. Check out the following lineup: FCPA Compliance Report- Francine McKenna on the KPMG-PCAOB mess;  Innovation in Compliance-ReThink Compliance on why content is still king in compliance; #GWIC with Barbara Petitti; 12 O’Clock High– how the leadership of JP Morgan halted the Panic of 1907; Life with GDPR- Brexit and Compliance. The podcast will be available on multiple sites: the FCPA Compliance Report, iTunes, JDSupra, Megaphone, YouTube,  Spotify and theCompliance Podcast Network. 

Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is       Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

For more information on how an independent monitor can help improve your company’s ethics and compliance program, visit our sponsor Affiliated Monitors at www.affiliatedmonitors.com. 

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1.     Is disclosure of a COI enough or should companies go further? Jeff Kaplan. 

2.     What is the ‘last mile of finance’ and how is it achieved?  French Caldwell explains. 

3.     Ex Credit Suisse bankers to testify in Mozambique corruption case. Patricia Hurtado reports. 

4.     French anti-corruption agency issues guideline for T&E, in a White & Case client alert. 

5.     When COIs get people killed. Matthew Stephenson on Trump and his business interests in Turkey. 

6.     Were Wells Fargo fraudulent accounts tactics used by AT&T? Jaclyn Jaeger explores.

7.     Richard Bistrong explains what channel stuffing is, how he used it to make his numbers and why it’s accounting fraud. 

8.     Is it time for Boards to revisit their compliance obligations? Posted by Robert Biskup, Krista Parsons, and Robert Lamm, opine. 

9.     Doobie Brothers head (Tom’s) nominations for the 2020 inductees into the Rock N Roll Hall of Fame. Andy Greene reports. 

10.  This week Jay joins Tom in a five-part podcast series exploring ethical culture in a corporation, sponsored by AMI. Check out the following lineup: Monday-What is Ethical Culture;  Tuesday-Factors Influencing Ethical Culture; Wednesday-The Role of the CCO; Thursday - Assessing Ethical Culture; Friday- the Role of Ethical Culture in an Overall E&C Program. The podcast will be available on multiple sites: the FCPA Compliance Report, iTunes, JDSupra, Megaphone, YouTube,  Spotify and theCompliance Podcast Network. 

11.  Popcorn and Compliance is back as Tom and Jay return to take a look at Star Trek-The Motion Picture. Its posts Saturday, October 19 at 7 AM. 

Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

For more information on how an independent monitor can help improve your company’s ethics and compliance program, visit our sponsor Affiliated Monitors at www.affiliatedmonitors.com. 

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1.     DOJ announced new guidelines for determination of inability of a company to pay a fine or penalty. 2.     NBA steps in it in China. Chris Mannix on Daryl Morey’s original tweet that set off the firestorm. 3.     Named in a FCPA investigation? No defamation case for you. Hailey Connath reports.4.     A new way to calculate SEC whistleblower awards. Amanda Rose discusses. 5.     What is the intersection of compliance and tech? (Answer-it’s all about culture). Mike Volkov opines.  6.     What is the CCO’s role in culture? Jay continues his 5-part series.7.     Caremark duties extend to monitoring, not simply oversight. Kevin LaCroix explains.8.     What is the interest group theory of anticorruption enforcement? Sean Griffin and Thomas Lee in a new article. 9.     What is the reverse agency problem for corp officers and directors? Asaf Eckstein and Gideon Parchomovsky opine. 10.  Listen in next week, where Jay joins Tom in a five-part podcast series exploring ethical culture in a corporation, sponsored by AMI. The lineup will be the following: Monday-What is Ethical Culture;  Tuesday-Factors Influencing Ethical Culture; Wednesday-The Role of the CCO; Thursday Assessing Ethical Culture Friday- the Role of Ethical Culture in an Overall E&C Program. The podcast will be available on multiple sites: the FCPA Compliance Report, iTunes, JDSupra, Megaphone, YouTube,  Spotify and the Compliance Podcast Network.  Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is       Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

For more information on how an independent monitor can help improve your company’s ethics and compliance program, visit our sponsor Affiliated Monitors at www.affiliatedmonitors.com. 

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1.     The SEC settles a trio of FCPA cases to end its enforcement year. Tom discusses them on the FCPA Compliance and Ethics blog.2.     Will Africa’s dream of free trade be crushed by corruption. Patrick Bizimana weighs in. 3.     What is compliance in the world’s most famous soccer club? Dick Cassin reports.  4.     DOJ closes investigations into ENI for allegations of corruption in Algeria and Nigeria. Olivia Bugaul and Dylan Tokar report.5.     How can you avoid an inadvertent waiver of privilege? Cleary Gottleib lawyers expound. 6.     What is the CCO’s role in culture? Jay continues his 5-part series.7.     Where is FCPA enforcement headed? Anne Eberhardt opines.8.     For every risk management strategy, you need a crisis management plan. French Caldwell explains.9.     New federal legislation proposed to protect whistleblowers. Lawyers from Choate Hall  consider.. 10.  Tom was joined by Phil Fry this week in a five-part podcast series, sponsored by Verint, on the future of financial services compliance. Check out the following: Monday-Challenging the Accepted Wisdom;  Tuesday-Capture;Wednesday-Control; Thursday Sustainability Friday- Maintaining Oversight. The podcast is available on multiple sites: the FCPA Compliance Report, iTunes, JDSupra, Megaphone, YouTube,  Spotify and the Compliance Podcast Network.  Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com. For more information on how an independent monitor can help improve your company’s ethics and compliance program, visit our sponsor Affiliated Monitors at www.affiliatedmonitors.com. 

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For more information on how an independent monitor can help improve your company’s ethics and compliance program, visit our sponsor Affiliated Monitors at www.affiliatedmonitors.com. 

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1.    Tributes to Joe Mont. 2.    Mike Volkov takes a deep dive into the recent Business Roundtable Statement on the Purpose of a Corporation on Corruption Crime and Compliance. 3.    Former Cognizant Technologies COO, Sridhar Thiruvengadam, settles FCPA charges. Dick Cassin.  4.    Netherlands proposes nationwide AML system. John Rusch reports.5.    What is an ethical culture and why does it matter? Jay begins a multipart series. 6.    What is algomerithic corporate misconduct. Milhailis Diamantis explores. 7.    Despite prevaling opinions, CCO is not a ‘god’. Clara Hudson reports on the Odebrecht CCO remarks at SCCE.8.    Do UK DPAs throw individuals under the bus? Ross Dixon asks. 9.    Mary Shirely tells you how to ace job interviews. 10. Tom continues his preview of the Converge19 speakers in a special bonus series of podcasts on the Compliance Podcast Network. Check out the following: Monday-Scott McCleskey on mapping the ethical risk in your company;  Tuesday-Valerie Towery on cross functional collaboration; Wednesday-Kurt Stitcher on Operation Globalization; Thursday-Matt Kelly on Developing Effective Strategies for Third Parties & Data Security Risk and Friday- Anna Aster on The Future CECO: The Executive Recruiter's Perspective. The podcast is available on multiple sites: the FCPA Compliance Report, iTunes, JDSupra, Megaphone,YouTube,  Spotifyand theCompliance Podcast Network. 11. The Everything Compliance gang will be doing its first live podcast at Converge19. You should be there! Listeners to this podcast can obtain a complimentary ticket by using the promotion code foxvip, for registration and information, click here.  Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

For more information on how an independent monitor can help improve your company’s ethics and compliance program, visit our sponsor Affiliated Monitors at www.affiliatedmonitors.com. 

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1.    SEC Chair scolds weak overseas anti-corruption enforcement. Dave Micheal reports. 2.    Why does SEC Chairman want to get rid of PCAOB member, Kathleen Hamm? Francine McKenna explores. 3.    Fair Pay to Play? California pass law allowing college athletes to be compensated. Michael McCann reports. 4.    Did the SFO put in a ‘self-certification’ requirement in its recent Guidance on Cooperation?  Aziz Rahman says yes. 5.    How can independent integrity monitors help to limit adverse consequences in health care? Jay concludes his series on monitors in the health care industry. 6.    NYU PCCE gets new Executive Director as Alycin Cooley joins the group. 7.    How can you process personal employee data under GDPR? Laura Wright, Sarah Greenwood and Andrew Reeves opine.  8.    What happens when employees ethical values are greater than those shown by their employer? Michael Toebee explores.9.    One commentator suggests we hold back on international enforcement against bribe-takers. Anton Moiseeineko writes. 10. Tom continues his preview of the Converge19 speakers in a special bonus series of podcasts on the Compliance Podcast Network. Check out the following: Monday-Ricardo Pellafone and Ashley Lewis on Building Your Brand;  Tuesday-Michael Williamson on moving to a values based culture; Wednesday-Mike Volkov on the Nuts and Bolts of Sanctions Compliance; Thursday-Nicole Pitts on Increasing Employee Engagement and Friday- Eric Feldman on the CCO’s role in performance management. The podcast is available on multiple sites: the FCPA Compliance Report, iTunes, JDSupra, Megaphone,YouTube,  Spotifyand theCompliance Podcast Network. 11. The Everything Compliance gang will be doing its first live podcast at Converge19. You should be there! Listeners to this podcast can obtain a complimentary ticket by using the promotion code foxvip, for registration and information, click here.  Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is       Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

For more information on how an independent monitor can help improve your company’s ethics and compliance program, visit our sponsor Affiliated Monitors at www.affiliatedmonitors.com. 

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1.    How compliance led to Walmart’s decision to ban gun and certain ammo sales. Jaclyn Jaeger reports. 2.    Tom and Jonathan Marks author a compliance game plan for your first 18 months in the CCO chair. Tom blogs about the highlights. 3.    Wells Fargo reads NYT article and starts internal investigation after ignoring internal whistleblowers on closed accounts scandal. 4.    Texas woman violates FCPA in Africa adoption cases.  Dick Cassin analyzes. 5.    What are some of the blind spots in customer due diligence? Sam Sheen considers.6.    How can monitors help in the administrative procesedings? Jay explores in another post.7.    How does compliance factor into Brexit? Jonathan Rusch provides yet but one example. 8.    The always great Jonthan Marks opines on the Juniper Networks enforcement action, considering the Board of Directors role. Tom and Matt Kelly consider it on this week’s episode of Compliance into the Weeds. 9.    Odebrecht spanked again, this time by Inter-American Development Bank. Dylan Tokar reports.10. Tom begins a preview of the Converge19 speakers in a special bonus series of podcasts on the Compliance Podcast Network. Check out the following: Tuesday-Rebecca Rehm and Matt Doherty on the Drip Drip Drip of Compliance Training; Wednesday-UB Ciminieri and Mark Thurman on the Code of Curiousity; Thursday-Norm Hodne on Bridging the Digital Divide and Friday- Jane Arnott on Risk Mitigation through Encouraging a Speak up Culture. 11. Join Tom and Jay and a host of other great speakers and guest at Converge19 in Denver October 2 & 3. Listeners to this podcast can obtain a complimentary ticket by using the promotion code foxvip, for registration and information, click here.  Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

For more information on how an independent monitor can help improve your company’s ethics and compliance program, visit our sponsor Affiliated Monitors at www.affiliatedmonitors.com. 

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