FCPA Compliance Report

Welcome to the award-winning FCPA Compliance Report, the longest-running podcast in compliance. Today, Tom Fox welcomes Peter Schablik, a seasoned professional in risk consulting and fraud detection. Peter shares his extensive background, including his transitions from consulting to audit and his experiences across various industries. The discussion explores the significance of fraud detection, critical thinking, and strategic fraud mitigation. Key topics include the role of management in fraud prevention, common misconceptions about fraud controls, technological and management overrides, and industry-specific fraud patterns. Peter also emphasizes the importance of basic controls, such as the segregation of duties, the need for a clear tone at the top, the effective use of hotlines, and thorough third-party risk assessments. Peter emphasizes the value of instinctual and behavioral analysis in fraud investigations, providing actionable advice for strengthening an organization's fraud prevention program. Key highlights: The Importance of Fraud Detection and Mitigation Common Misconceptions About Fraud Patterns of Fraud Across Industries Segregation of Duties and Basic Controls Investigative Strategies and Behavioral Cues Strengthening Fraud Prevention Programs Resources: Peter Schablik on LinkedIn Want to Catch a Fraudster? Think Like a Cop Tom Fox Instagram Facebook YouTube Twitter LinkedIn For more information on the use of AI in Compliance programs, see my new book, Upping Your Game. You can purchase a copy of the book on Amazon.com Learn more about your ad choices. Visit megaphone.fm/adchoices

Join Tom Fox and hundreds of other GRC professionals in the city that never sleeps, New York City, on July 9 & 10 for one of the top conferences around, #Risk New York. The current US landscape, shaped by evolving policies, rapid advancements in AI, and shifting global dynamics, demands adaptive strategies and cross-functional collaboration. At #RISK New York, you will master the New Regulatory Reality by getting ahead of US regulatory shifts and their impact. Conquer AI and Tech Risk by Safeguarding Your Organization in an AI-Driven World and Understanding the Implications of Major Tech Investments. Navigate Financial and Crypto Volatility by Protecting Your Assets and Exploring Solutions in a Dynamic Market. Strengthen Your GRC Framework by Leveraging Governance, Risk, and Compliance for Strategic Advantage. Protect Digital Trust by addressing challenges in cybersecurity and data privacy, and combating misinformation. All while meeting with the country's top #Risk management professionals. In this episode, Tom Fox is joined by Tom Hardin, a former hedge fund analyst known as Tipper X, who shares his unique journey from insider trading informant to a global speaker on compliance and risk. Hardin previews his upcoming panel on applying behavioral science to design effective GRC programs at the #RiskNYC conference. He discusses topics such as cognitive biases, social norms, and rationalizations in decision-making, emphasizing the enduring nature of human behavior despite technological advancements. The episode highlights Hardin's goal of fostering deeper connections between psychology, technology, and regulation to build more proactive and resilient risk cultures. Resources: #Risk Conference Series #RiskNYC—Tickets and Information Tom Hardin on LinkedIn Visit Tipper X Website Learn more about your ad choices. Visit megaphone.fm/adchoices

Join Tom Fox and hundreds of other GRC professionals in the city that never sleeps, New York City, on July 9 & 10 for one of the top conferences around, #Risk New York. The current US landscape, shaped by evolving policies, rapid advancements in AI, and shifting global dynamics, demands adaptive strategies and cross-functional collaboration. At #RISK New York, you will master the New Regulatory Reality by getting ahead of US regulatory shifts and their impact. Conquer AI and Tech Risk by Safeguarding Your Organization in an AI-Driven World and Understanding the Implications of Major Tech Investments. Navigate Financial and Crypto Volatility by Protecting Your Assets and Exploring Solutions in a Dynamic Market. Strengthen Your GRC Framework by Leveraging Governance, Risk, and Compliance for Strategic Advantage. Protect Digital Trust by addressing challenges in cybersecurity and data privacy and combating misinformation. All while meeting with the country's top #Risk management professionals. In this episode of the Risk New York podcast series, Tom Fox introduces the upcoming Risk New York Conference, scheduled for July 9-10 at Fordham Law School. The conference, hosted by GRC World Forums, will focus on various aspects of risk management, including AI, tech risk, financial and crypto risk, and GRC frameworks. Tom discusses his keynote based on his book ‘Upping the Game' and highlights key speakers and exhibitors, including Robert Clark from Howard University, Bill Coffin and Erica Alburn from Ecosphere, and Michael Rasmussen, known as the father of GRC. The episode highlights the importance of the conference and provides details on discounted tickets, as well as other information available in the show notes. Resources: #Risk Conference Series #RiskNYC—Tickets and Information Compliance Podcast Network Website Tom Fox Instagram Facebook YouTube Twitter LinkedIn Learn more about your ad choices. Visit megaphone.fm/adchoices

Join Tom Fox and hundreds of other GRC professionals in the city that never sleeps, New York City, on July 9 & 10 for one of the top conferences around, #Risk New York. The current US landscape, shaped by evolving policies, rapid advancements in AI, and shifting global dynamics, demands adaptive strategies and cross-functional collaboration. At #RISK New York, you will master the New Regulatory Reality by getting ahead of US regulatory shifts and their impact. Conquer AI and Tech Risk by Safeguarding Your Organization in an AI-Driven World and Understanding the Implications of Major Tech Investments. Navigate Financial and Crypto Volatility by Protecting Your Assets and Exploring Solutions in a Dynamic Market. Strengthen Your GRC Framework by Leveraging Governance, Risk, and Compliance for Strategic Advantage. Protect Digital Trust by addressing challenges in cybersecurity and data privacy and combating misinformation. All while meeting with the country's top #Risk management professionals. In this episode, Tom Fox is joined by Erica Salmon Byrne, Chief Strategy Officer and Executive Chair at Ethisphere, and Bill Coffin, Editor-in-Chief at Ethisphere. The conversation delves into their roles in the compliance community, focusing on their work with the Ethicast Reacts series. They discuss how they analyze news stories to extract compliance lessons, help organizations understand and mitigate risks, and create storytelling opportunities to advance compliance programs. They also share their excitement for their upcoming presentation at the Risk New York City conference, where they'll engage with professionals from diverse backgrounds. Resources: #Risk Conference Series #RiskNYC—Tickets and Information Erica Salmon Byrne on LinkedIn Bill Coffin on LinkedIn Ethisphere Learn more about your ad choices. Visit megaphone.fm/adchoices

Join myself and hundreds of other GRC professionals in the city that never sleeps, New York City on July 9 & 10 for one of the top conferences around #Risk New York. current US landscape – shaped by evolving policies, rapid AI advancements, and shifting global dynamics – demands adaptive strategies and cross-functional collaboration. At #RISK New York you will master the New Regulatory Reality by Getting ahead of US regulatory shifts and their impact. Conquer AI & Tech Risk by Safeguarding your organization in an AI-driven world and understand the implications of major tech investments. Navigate Financial & Crypto Volatility by Protecting assets and explore solutions in a dynamic market. Strengthen Your GRC Framework by Leverage governance, risk, and compliance for strategic advantage. Protect Digital Trust by Addressing challenges in cybersecurity, data privacy, and combating misinformation. All while meeting  In this episode, Tom Fox talks with Chris Mason, who recently launched his risk advisory practice, Woodhorn Global, focusing on due diligence investigations. Chris shares insights about his upcoming presentations at the #RiskGRC conference in July, focusing on AI investments and political uncertainty affecting the GRC (Governance, Risk, and Compliance) community. They discuss the significance of AI in the field and the importance of adapting to political changes. Chris also highlights the value of in-person events to understand best practices and navigate the evolving risk landscape. Resources #Risk Conference Series #RiskNYC-Tickets and Information Chris Mason on Linkedin Learn more about your ad choices. Visit megaphone.fm/adchoices

Welcome to the award-winning FCPA Compliance Report, the longest running podcast in compliance. Today, I welcome back James Tillen and Ann Sultan, both partners at Miller & Chevalier. We take a deep dive into four recent DOJ Policy announcements: FCPA Enforcement, White Collar Enforcement, Criminal Enforcement Policy and Whistleblower Pilot Program.   New DOJ Policy Memorandum  We take a deep dive into Deputy Attorney General Todd Blanche's Memo on Investigations and Enforcement of the FCPA. We review the stated main goals of the DOJ and how are prosecutors supposed to achieve these goals. We consider the 3 directives to prosecutors: focus on cases with individual misconduct, proceed expeditiously, consider collateral consequences. We look at the White Collar Plan and CEP  and ask if we moved from a presumption of a declination to a more tangible framework? We conclude by reviewing what compliance professionals need to be thinking about and looking into now.   Key Highlights IncludeHow does the principle of "not attribute[ing] nonspecific malfeasance to corporate structures" impact potential prosecutions of companies and individuals?   And how do these priorities jive with other DOJ priorities, such as prosecuting cartels/transnational criminal organizations? What does it mean for companies that the DOJ is prioritizing “serious misconduct”?  What are the implications of the DOJ's stated intent to avoid penalizing “routine business practices in other nations”? Do you see this as a shift in focus for the DOJ to non-US companies? Other DOJ Priorities & Announcements Policy Shifts and Clarifications Looking Ahead: What's on the Horizon Resources FCPA Spring Review 2025 – Miller & Chevalier DOJ Criminal Division White Collar Plan Guidelines for Investigations and Enforcement of the FCPA  Tom Fox Instagram Facebook YouTube Twitter LinkedIn   For more information on the use of AI in Compliance programs, my new book, Upping Your Game. You can purchase a copy of the book on Amazon.com Learn more about your ad choices. Visit megaphone.fm/adchoices

Join Tom Fox and hundreds of other GRC professionals in the city that never sleeps, New York City, on July 9 & 10 for one of the top conferences around, #Risk New York. The current US landscape, shaped by evolving policies, rapid advancements in AI, and shifting global dynamics, demands adaptive strategies and cross-functional collaboration. At #RISK New York, you will master the New Regulatory Reality by getting ahead of US regulatory shifts and their impact. Conquer AI and Tech Risk by Safeguarding Your Organization in an AI-Driven World and Understanding the Implications of Major Tech Investments. Navigate Financial and Crypto Volatility by Protecting Your Assets and Exploring Solutions in a Dynamic Market. Strengthen Your GRC Framework by Leveraging Governance, Risk, and Compliance for Strategic Advantage. Protect Digital Trust by addressing challenges in cybersecurity and data privacy, and combating misinformation. All while meeting with the country's top #Risk management professionals. In this episode, Tom Fox talks with Gwen Hassan, the Chief Compliance Officer for Unisys Corporation, about her role and the upcoming #RiskNYC conference. Gwen shares insights into Unisys' operations, including the various technologies and services they provide, and highlights her responsibilities in managing global ethics, compliance, and trade compliance risks. She also gives a teaser about her panel presentation on the compliance and ethics risks associated with artificial intelligence, stressing the importance of understanding AI's impact on company culture and regulatory compliance. Gwen expresses her excitement about the conference, emphasizing the value of engaging with fellow risk management experts. Resources: #Risk Conference Series #RiskNYC—Tickets and Information Gwen Hassan on LinkedIn Learn more about your ad choices. Visit megaphone.fm/adchoices

Join Tom Fox and hundreds of other GRC professionals in the city that never sleeps, New York City, on July 9 & 10 for one of the top conferences around, #Risk New York. The current US landscape, shaped by evolving policies, rapid advancements in AI, and shifting global dynamics, demands adaptive strategies and cross-functional collaboration. At #RISK New York, you will master the New Regulatory Reality by getting ahead of US regulatory shifts and their impact. Conquer AI and Tech Risk by Safeguarding Your Organization in an AI-Driven World and Understanding the Implications of Major Tech Investments. Navigate Financial and Crypto Volatility by Protecting Your Assets and Exploring Solutions in a Dynamic Market. Strengthen Your GRC Framework by Leveraging Governance, Risk, and Compliance for Strategic Advantage. Protect Digital Trust by addressing challenges in cybersecurity and data privacy and combating misinformation. All while meeting with the country's top #Risk management professionals. In this episode, Tom Fox welcomes Michael Rasmussen, a renowned expert in Governance, Risk Management, and Compliance (GRC), often referred to as the ‘father of GRC.' Michael shares insights into his contributions to the field, including his work with the SEG GRC Capability Model. The conversation highlights Michael's anticipated presentation on ‘The Future of GRC' at the upcoming risk conference in New York City. Drawing inspiration from Star Trek (TOS, and how can you not love that?), Michael emphasizes the importance of managing business risks effectively. The discussion also touches on the benefits of face-to-face interactions and networking opportunities at such conferences. Resources: #Risk Conference Series #RiskNYC—Tickets and Information Michael Rasmussen on LinkedIn Learn more about your ad choices. Visit megaphone.fm/adchoices

Join Tom Fox and hundreds of other GRC professionals in the city that never sleeps, New York City, on July 9 & 10 for one of the top conferences around, #Risk New York. The current US landscape, shaped by evolving policies, rapid advancements in AI, and shifting global dynamics, demands adaptive strategies and cross-functional collaboration. At #RISK New York, you will master the New Regulatory Reality by getting ahead of US regulatory shifts and their impact. Conquer AI and Tech Risk by Safeguarding Your Organization in an AI-Driven World and Understanding the Implications of Major Tech Investments. Navigate Financial and Crypto Volatility by Protecting Your Assets and Exploring Solutions in a Dynamic Market. Strengthen Your GRC Framework by Leveraging Governance, Risk, and Compliance for Strategic Advantage. Protect Digital Trust by addressing challenges in cybersecurity and data privacy, and combating misinformation. All while meeting with the country's top #Risk management professionals. In this episode, Tom Fox talks with Matt Kelly about his presentation on the importance of understanding how AI can be productively adopted within enterprises, as well as the ethical challenges it presents, including discrimination and data validity. Matt also discusses the importance of AI governance and offers a preview of his upcoming presentation on this topic. Matt expresses his eagerness to engage with other GRC professionals at the forthcoming conference to exchange ideas and discuss emerging risks in third-party and vendor risk management. Resources: #Risk Conference Series #RiskNYC—Tickets and Information Matt Kelly on LinkedIn Learn more about your ad choices. Visit megaphone.fm/adchoices

Welcome to the award-winning FCPA Compliance Report, the longest-running podcast in compliance. Today, Tom Fox welcomes back Ariel D. Weindling, founder of NotMe Solutions, a whistleblower reporting solution, to discuss innovations and strategies for enhancing speak-up cultures in organizations. Weindling, with a background in employment law, critiques current whistleblower systems for prioritizing regulatory compliance over genuine employee engagement. He shares insights on implementing effective speak-up programs, emphasizing the importance of trust, timely resolution, and a culture of listening. Weindling also highlights key findings from over 20,000 reports through NotMe Solutions, including common issues reported and the importance of leadership in fostering a culture of speaking up. Key highlights: Challenges in Current Speak Up Cultures Building Effective Compliance Programs Evaluating Existing Speak Up Systems The Importance of Listening in Speak Up Cultures Role of Leadership in Speak Up Culture Innovations in the Speak Up Space Resources: Ariel D. Weindling on LinkedIn Not Me (Company) Tom Fox Instagram Facebook YouTube Twitter LinkedIn For more information on the use of AI in Compliance programs, see my new book, Upping Your Game. You can purchase a copy of the book on Amazon.com Learn more about your ad choices. Visit megaphone.fm/adchoices

Welcome to the award-winning FCPA Compliance Report, the longest-running podcast in compliance. This is a very special episode. Today, Tom Fox cross-posts an episode from the BCG Podcast. In it, host Hanjo Siebert visits with konaAI CEO Vince Walden. They discuss the critical role of data and culture in achieving effective compliance, exploring the importance of interdepartmental collaboration, the evolving compliance landscape, and real-world examples of fraud detection. Walden emphasizes that while strategy is important, a strong organizational culture is essential for successful execution. He explains how data serves as a transparency agent and outlines the need for a collective approach to managing fraud risk. Listen in to gain insights into the challenges and best practices in modern compliance. Key highlights: The Importance of Transaction Monitoring Challenges in Fraud Risk Management Collaborative Approaches to Compliance konaAI Role in Modern Compliance Real-World Fraud Cases and Lessons Learned The Impact of Business Culture on Fraud Prevention Fostering a Culture of Transparency Resources: Vince Walden on LinkedIn konaAI Original Podcast Recording Tom Fox Instagram Facebook YouTube Twitter LinkedIn For more information on the use of AI in Compliance programs, see my new book, Upping Your Game. You can purchase a copy of the book on Amazon.com. Learn more about your ad choices. Visit megaphone.fm/adchoices

Welcome to the award-winning FCPA Compliance Report, the longest-running podcast in compliance. This is a very special episode. Today, Tom Fox visited with Sarah Cole, a former solicitor turned founder of Integrity First Coaching and Cole Forums. Sarah shares her journey from litigation to running legal events and eventually founding her peer support organization for senior executives. She discusses the isolation leaders feel, the importance of embedding values into corporate behavior, and the critical need for purpose-driven leadership. Sarah emphasizes the complexities faced by modern leaders, including decision fatigue and the importance of self-care. She also discusses the benefits of safe, confidential peer support environments, which can provide truthful feedback and help leaders navigate ethical and emotional challenges. Key highlights: Sarah Cole's Professional Journey Founding Integrity First Coaching and Coal Forums The Power of Peer Support for Leaders Challenges and Complexities of Modern Leadership Purpose-Driven Leadership Resources Sarah Cole on LinkedIn coleforums.com (Company) integrityfirstcoaching.com (Company) coleforums.com/leaderspodcast (Podcast) Tom Fox Instagram Facebook YouTube Twitter LinkedIn For more information on the use of AI in Compliance programs, see Tom Fox's new book, Upping Your Game. You can purchase a copy of the book on Amazon.com Learn more about your ad choices. Visit megaphone.fm/adchoices

Welcome to the award-winning FCPA Compliance Report, the longest-running podcast in compliance. This is a very special episode. This podcast comes from a webinar hosted by KonaAI on Tom Fox's latest book, Ûpping Your Game. On this webinar, Tom is joined by Vince Walden, CEO of konaAI; Hemma Lomax, Deputy General Counsel, Vice President, Global Head of Ethics and Compliance at Docusign; and Carl Hahn and Matt Galvin, both from Gentic Global Advisors PLLC. The discussion revolves around compliance, with thought leaders delving into how organizations can enhance their performance by utilizing emerging technologies and compliance strategies. The conversation begins with a focus on the transformative role of AI in compliance, highlighting its ability to support continuous monitoring, predictive analytics, and embedding compliance into day-to-day business operations. The panel emphasizes the rise of “compliance as a service” and the growing need to prioritize user experience, particularly in third-party risk management and digital transformations. The panel addresses key challenges, such as overcoming resistance from business process owners, and emphasizes the importance of using data strategically to drive better compliance outcomes. The panel introduces the concept of the “Office of Unlock” as a collaborative model to break down silos and promote agility. They also discuss change management, AI governance, and tailoring compliance communications to specific audiences. The episode concludes with practical advice for compliance officers and a forward-looking discussion on aligning compliance programs with evolving organizational and regulatory landscapes. Key highlights: Upping Your Game Embedded Compliance What's the business value? What steps should you take right now Resources Hemma Lomax on LinkedIn Vince Walden on LinkedIn Matt Galvin on LinkedIn Carl Hahn on LinkedIn KonaAI Gentic Global Advisors Tom Fox Instagram Facebook YouTube Twitter LinkedIn For more information on the use of AI in compliance programs, see Tom Fox's new book, Upping Your Game. You can purchase a copy of the book on Amazon.com. Learn more about your ad choices. Visit megaphone.fm/adchoices

Welcome to the award-winning FCPA Compliance Report, the longest-running podcast in compliance. This is a very special episode. Tom Fox is joined by Lisa Fine, Ellen Hunt, and Hemma Lomax from the Great Women in Compliance podcast for our annual GWIC/FCPA Compliance Report cross-post podcast. We recorded this at Compliance Week 2025. In this year of uncertainty and change in compliance, we discussed the need to revisit and emphasize foundational ethics amid the evolving compliance landscape, seeing uncertainty as a chance for professional growth and deeper ethical reflection. We also discussed integrating ethics into compliance functions and advocating for a community-oriented approach that respects diverse viewpoints and fosters global perspectives; highlighted the importance of innovative strategies and understanding human behavior, advocating for creative approaches like podcasts to foster a speak-up culture and stressing the use of technology and coaching to enhance ethical decision-making, ultimately contributing to a robust corporate culture capable of navigating international compliance challenges. Key highlights: Ethical Decision-Making in Times of Change and in a Global Business Arena Global Training Program for Anti-Corruption Enforcement Promoting Ethical Culture and Fair Treatment Harnessing Collective Energy for Compliance Excellence Resources: Lisa Fine on LinkedIn Ellen Hunt on LinkedIn Hemma Lomax on LinkedIn Tom Fox Instagram Facebook YouTube Twitter LinkedIn For more information on the use of AI in Compliance programs, see my new book, Upping Your Game. You can purchase a copy of the book on Amazon.com Learn more about your ad choices. Visit megaphone.fm/adchoices

Welcome to the award-winning FCPA Compliance Report, the longest running podcast in compliance. In this episode, Tom welcomes back Jag Lamba, CEO at Certa to discuss the use of GenAI in compliance tools.    Lamba advocates for the transformative power of artificial intelligence in revolutionizing third-party risk management. By leveraging AI, particularly generative AI and natural language processing tools, Lamba believes that businesses can streamline processes, reduce friction, and enhance decision-making throughout various phases of third-party interactions. He emphasizes that AI can simplify complex tasks like analyzing extensive reports and identifying specific risks, thus improving compliance reporting and operational efficiency. Lamba envisions a future where AI seamlessly integrates into core business operations, making compliance management an inherent and valuable aspect of organizational workflows, particularly benefiting smaller and mid-sized companies.   Key Highlights   ·       Automating Third-Party Risk Management with AI ·       AI-powered Tools Enhancing Third Party Risk Management ·       AI-driven Automation for Enhanced Compliance Reporting ·       Automating Compliance Tasks to Boost Operational Efficiency   Resources Jag Lamba on Linkedin Certa AI   Tom Fox Instagram Facebook YouTube Twitter LinkedIn   For more information on the use of AI in Compliance programs, my new book, Upping Your Game. You can purchase a copy of the book on Amazon.com Learn more about your ad choices. Visit megaphone.fm/adchoices

In this episode of the Diligent Compliance Week 2025 Speaker Preview Podcasts series, Ellen Hunt discusses her two presentations at Compliance Week 2025, “Culture Effectiveness and ROI: How to Move the Needle” and “Assessing Effectiveness: Do the 30-Year-Old Federal Sentencing Guidelines Still Work? “ In her first panel presentation, they will discuss the following: Demonstrate measurable and quantifiable ROI Build psychological safety that drives ethical decision-making and engagement. Navigate matrix environments to expand the influence. Use data to tell compelling compliance success stories. Partner with the C-suite to help them navigate disruptive changes, including deregulation and major economic geopolitical shifts. In her second presentation, she and Carrie Penman, the Chief Risk and Compliance Officer at Navex, will debate whether the US Sentencing Guidelines should be updated. I hope you can join us at Compliance Week's 20th Anniversary National Conference. This year's event will be held April 28-30 at The Mayflower Hotel, Autograph Collection, Washington, D.C. The lineup is first-rate, with some top ethics and compliance practitioners around. Drop by the Diligent booth for some Compliance Podcast Network coffee to gain insights and make connections at the industry's premier cross-industry national compliance event, offering knowledge-packed, accredited sessions and take-home advice from the most influential leaders in the compliance community. Back for its 20th year, compliance, ethics, legal, and audit professionals will gather safely face-to-face to benchmark best practices and gain the latest tactics and strategies to enhance their compliance programs. Learn more about your ad choices. Visit megaphone.fm/adchoices

In this episode of the Diligent Compliance Week 2025 Speaker Preview Podcasts series, Amanda Carty discusses her presentation at Compliance Week 2025, “Going Beyond Due Diligence in Risk Management.” Some of the issues she will discuss: Demonstrate measurable and quantifiable ROI Build psychological safety that drives ethical decision-making and engagement. Navigate matrix environments to expand the influence. Use data to tell compelling compliance success stories Partner with the C-suite to help them navigate disruptive changes, including deregulation and major economic geopolitical shifts. I hope you can join us at Compliance Week's 20th Anniversary National Conference. This year's event will be held April 28-30 at The Mayflower Hotel, Autograph Collection, Washington, D.C. The lineup is first-rate, with some top ethics and compliance practitioners around. Drop by the Diligent booth for some Compliance Podcast Network coffee to gain insights and make connections at the industry's premier cross-industry national compliance event, offering knowledge-packed, accredited sessions and take-home advice from the most influential leaders in the compliance community. Back for its 20th year, compliance, ethics, legal, and audit professionals will gather safely face-to-face to benchmark best practices and gain the latest tactics and strategies to enhance their compliance programs. Learn more about your ad choices. Visit megaphone.fm/adchoices

In this episode of the Diligent Compliance Week 2025 Speaker Preview Podcasts series, Kristy Grant-Hart discusses some of her panel at Compliance Week 2025, “A 360° Review of the Future of Compliance”. Some of the issues she and her panel will discuss: A comprehensive, forward-looking review of compliance across all roles within an organization. Emerging trends, critical challenges, and innovative strategies that compliance professionals need to navigate the future landscape successfully. Actionable recommendations on integrating compliance more deeply across organizational functions. I hope you can join us at Compliance Week's 20th Anniversary National Conference. This year's event will be held April 28-30 at The Mayflower Hotel, Autograph Collection, in Washington, D.C. The lineup is simply first-rate, with some of the top ethics and compliance practitioners around. Drop by the Diligent booth for some Compliance Podcast Network coffee to gain insights and make connections at the industry's premier cross-industry national compliance event, offering knowledge-packed, accredited sessions and take-home advice from the most influential leaders in the compliance community. Back for its 20th year, compliance, ethics, legal, and audit professionals will gather safely face-to-face to benchmark best practices and gain the latest tactics and strategies to enhance their compliance programs. Learn more about your ad choices. Visit megaphone.fm/adchoices

Welcome to the award-winning FCPA Compliance Report, the longest-running podcast on compliance. In this episode, Tom welcomes Andrew Hopkins, President of PrivacyChain, to discuss the critical intersection of AI, data compliance, and data ownership. Andrew brings his expertise from years of consulting, focusing on outcome-driven business support, and provides a comprehensive overview of the challenges and opportunities in managing and securing data in the age of AI. The conversation delves into the complexities of data security, the inefficiencies of traditional data management systems, and the potential of new technologies to enhance data governance and personal data ownership. Listeners will gain valuable insights into navigating the evolving landscape of data management and the importance of contextual integrity in AI processes. Key highlights: The Intersection of AI, Data Compliance, and Ownership Challenges in Data Management and Compliance Data Governance Shortcomings of Current Data Management Systems Data Integrity and Context Resources: Andrew Hopkins on LinkedIn The Privacy Chain Tom Fox Instagram Facebook YouTube Twitter LinkedIn Learn more about your ad choices. Visit megaphone.fm/adchoices

Welcome to the award-winning FCPA Compliance Report, the longest-running podcast in compliance. In this episode, Tom welcomes back Corporate Transparency Act expert and maven Jonathan Wilson for a look at how the Trump administration killed the Corporate Transparency Act (CTA). In March, the Treasury Secretary announced that all domestic reporting companies would be exempt from filing Beneficial Ownership Information (BOI) reports, with only foreign reporting companies required to file. This obviously violates both the intent of the law and its plain language. Jonathan outlines the impact of this interim final rule, noting the loss of a critical tool for federal and state law enforcement and financial institutions. The pod explores the potential for legal challenges and the possible implications for ongoing constitutional lawsuits related to the Act. Key highlights: Unexpected Regulatory Changes Implications of the New Rule Potential Legal Challenges Resources: Jonathan Wilson on LinkedIn FinCEN Report Tom Fox Instagram Facebook YouTube Twitter LinkedIn Learn more about your ad choices. Visit megaphone.fm/adchoices

Welcome to the award-winning FCPA Compliance Report, the longest-running podcast on compliance. In this episode, Tom is joined by Gerry Zack, CEO and Founder of RiskTrek LLC, to discuss his recent attendance at the OECD Global Anti-Corruption and Integrity Forum in Paris. Gerry provides an in-depth event recap highlighting significant presentations, panel discussions, and key takeaways. Topics covered include the current state of anti-corruption efforts, the international cooperation among governments in combating corruption, and the evolving role of compliance programs amid changes in U.S. enforcement policies. He also shares insights on applying artificial intelligence in compliance, the importance of building trust through compliance programs, and the unique challenges faced in the healthcare and private equity sectors. The episode underscores the forum's overarching theme of innovation and the proactive steps needed to navigate a turbulent compliance landscape. Key highlights: • Structure and Highlights of the OECD Conference • Key Themes: Compliance and Anti-Corruption • Global Collaboration and Government Responses • Incentives and Value of Compliance Programs • Trust and Technology in Compliance • Data Analytics and AI in Compliance Resources: Gerry Zack on LinkedIn Gerry Zack's Email: Gerry@risk-trek.com RiskTrek LLC Tom Fox Instagram Facebook YouTube Twitter LinkedIn Learn more about your ad choices. Visit megaphone.fm/adchoices

Welcome to the award-winning FCPA Compliance Report, the longest-running podcast on compliance. In this episode, Tom welcomes Tim O'Toole and Matt Ellis from Miller & Chevalier Chartered to discuss the significant implications of President Trump's executive order designating Mexican drug cartels as foreign terrorist organizations (FTOs). Tim and Matt elaborate on the heightened compliance risks and operational challenges now faced by companies operating in these regions. The conversation delves into the legal distinctions between Specially Designated Nationals (SDNs) and FTOs, the broad-ranging impact on industries such as agriculture and logistics, and the urgent need for robust risk assessment strategies to mitigate civil and criminal liabilities under U.S. law. They also explore the broader Latin American context and potential collateral consequences for U.S. and Latin American companies amid anticipations of increased regulatory scrutiny and enforcement actions. The discussion concludes with timely observations on recent U.S. Treasury directives aimed at curbing cartel money laundering activities, showcasing the lengths the administration is willing to go to combat these criminal enterprises. Key highlights: Executive Order and FTO Designation Heightened Risks for Companies in Mexico Complexities of Cartel Influence in Mexico Risk Management Strategies for Companies Broader Implications for Latin America Potential Weaponization of FTO Designation Corporate Compliance and Human Rights Resources: Designation of Cartels as FTOs Creates Heightened Risks for Companies Operating in Latin America Miller & Chevalier Tim O'Toole Matt Ellis Tom Fox Instagram Facebook YouTube Twitter LinkedIn Learn more about your ad choices. Visit megaphone.fm/adchoices

Welcome to the award-winning FCPA Compliance Report, the longest running podcast in compliance. In this episode, Tom welcomes Erica Salmon Byrne, Chief Strategy Officer at Ethisphere, on an exciting launch day for the 2025 World's Most Ethical Companies honoree list.  The World's Most Ethical companies list features 136 companies from 44 industries across 19 countries, the episode delves into the significance, process, and celebration behind this prestigious designation. Byrne discusses the impressive Ethics Premium, revealing that publicly traded honorees have outperformed a comparable index by 7.8%, underscoring the profitability of ethical business practices. Listeners will gain insights into the rigorous application process, the importance of cross-functional relationships, and the global nature of the honoree list. Byrne also previews the upcoming Global Ethics Summit and emphasizes the critical role of talent acquisition and retention in corporate success. Key Highlights  ·       What is Launch Day? ·       Ethics Premium Highlights ·       Overview of Honoree Companies ·       Global Ethics Summit Preview ·       Deep Dive into the Ethics Premium Resources Erica Salmon Bryne on LinkedIn Ethisphere World' Most Ethical Awards for 2025 Tom Fox Instagram Facebook YouTube Twitter LinkedIn Learn more about your ad choices. Visit megaphone.fm/adchoices

Welcome to the award-winning FCPA Compliance Report, the longest-running compliance podcast. In this episode, Tom welcomes Eric Morehead to discuss the role and function of the U.S. Sentencing Commission. Eric is the Director of Advisory Services Solutions at LRN and former Assistant General Counsel at the U.S. Sentencing Commission. He and Tom review the intricacies of the U.S. Sentencing Commission's role, structure, and impact. Eric walks through his professional journey and explains the Sentencing Commission's function in standardizing federal criminal sentences and promoting organizational compliance programs. He emphasizes the importance of the Sentencing Guidelines, the process for their amendment, and the challenges faced by the Commission, such as quorum issues. The discussion also touches on current topics, including the potential impact of executive orders on DEI policies and the FCPA pause, stressing the continued relevance of the Sentencing Guidelines in compliance program development. Key highlights: Eric Morehead's Background and Role at the U.S. Sentencing Commission Understanding the U.S. Sentencing Commission Process of Creating and Amending Sentencing Guidelines Impact of Sentencing Guidelines on Compliance Programs Current Issues in Compliance: DEI and FCPA Enforcement Resources: Eric Morehead on LinkedIn LRN US Sentencing Guidelines for Organizations Tom Fox Instagram Facebook YouTube Twitter LinkedIn Learn more about your ad choices. Visit megaphone.fm/adchoices

Welcome to the award-winning FCPA Compliance Report, the longest-running compliance podcast. In this episode, Tom welcomes Jonathan Marks, who discusses the role of internal audit in export control compliance. Jonathan starts by defining export controls and their significance: regulations governing the export, re-export, and transfer of goods, technology, and services across borders to protect national security and enforce foreign policy. As a Compliance Profession, you should recognize the severe impacts of operational disruptions, supply chain issues, and national security risks resulting from non-compliance, emphasizing the need for comprehensive compliance frameworks. Internal audit responsibilities are expanded, stressing the necessity of robust policies, clear responsibilities, consistent employee training, and thorough risk assessments. Jonathan discusses practical internal audit strategies, including evaluating high-risk transactions, identifying compliance gaps, and regularly monitoring and testing compliance controls through transaction testing, data analytics, third-party due diligence, and incident response mechanisms. Jonathan underscores the importance of collaboration between internal audit, legal, compliance, and supply chain teams to ensure an integrated and proactive compliance approach, thereby mitigating risks and strengthening corporate governance. Key highlights: Understanding Export Controls and Compliance Role of Internal Audit in Export Controls Key Areas for Internal Audit Focus Testing and Monitoring Controls Resources: Jonathan Marks on LinkedIn Tom Fox Instagram Facebook YouTube Twitter LinkedIn For more information on the Ethico Toolkit for Middle Managers, available at no charge, click here. Learn more about your ad choices. Visit megaphone.fm/adchoices

Welcome to the award-winning FCPA Compliance Report, the longest running podcast in compliance. In this episode, Tom welcomes back Corporate Transparency Act expert and maven Jonathan Wilson for a look at judicial insights and recent developments in the Corporate Transparent Act (CTA) litigation.  Tom and Jonathan discuss the recent developments, including a preliminary injunction by Judge Kernodle in the Smith v. Treasury case, and its implications on CTA enforcement. Important differences between this injunction and previous ones, such as the Texas Top Cop Shop case, are highlighted. Wilson offers insights into the constitutional debates, particularly regarding the Commerce Clause, and reviews key decisions from federal district courts, including the persuasive Boyle decision from the District of Maine. They also touch on upcoming appeals and the potential impacts on the CTA's nationwide enforcement. Key Highlights  ·       Current Status of the Corporate Transparency Act ·       Judge Kernodle's Injunction and Legal Arguments ·       Supreme Court's Involvement and Implications ·       Analysis of the Boyle Decision ·       Procedural Updates and Future Outlook Resources Jonathan Wilson on LinkedIn FinCEN Report Tom Fox Instagram Facebook YouTube Twitter LinkedIn For more information on the Ethico Toolkit for Middle Managers, available at no charge by clicking here. Learn more about your ad choices. Visit megaphone.fm/adchoices

Welcome to the award-winning FCPA Compliance Report, the longest-running podcast in compliance. In this episode, Tom welcomes Kevin Carroll, now a partner at Fluet, to discuss national security issues to date under the Trump Administration. Kevin Carroll discusses his move to Fluet Law, a national security law firm. He delves into the ongoing chaos in national security, ranging from employees' concerns over legal processes at the Agency for International Development and the FBI to the unprecedented moves of the Trump administration in reprioritizing enforcement efforts. Kevin emphasizes the criticality of maintaining international alliances and intelligence-sharing, especially amidst controversial DOJ staffing and enforcement decisions. They also touch on the potential ramifications for U.S. companies engaged in foreign trade and anti-corruption enforcement. Don't miss Kevin's expert insights on the delicate balance of national security and legal frameworks in uncertain times. Key highlights: 00:11 Kevin's New Professional Chapter 00:35 National Security Concerns 02:11 Law Enforcement Priorities 04:52 International Relations and Security 14:04 Corporate Legal Risks Abroad 17:15 USAID and Export Control Resources: Kevin Carroll on LinkedIn Fluet  Kevin Carroll on Fluet Law Tom Fox Instagram Facebook YouTube Twitter LinkedIn For more information on the Ethico Toolkit for Middle Managers, available at no charge, click here. Learn more about your ad choices. Visit megaphone.fm/adchoices

Welcome to the award-winning FCPA Compliance Report, the longest-running podcast on compliance. In this episode, Tom welcomes Alejandra Almonte and Ann Sultan, both Members of Miller & Chevalier, and uses the EEOC's release in 2024 of its Enforcement Guidance on Harassment in the Workplace as an introduction to considering compliance and the workplace under the new Trump Administration. Ann and Alejandra dive deep into the EEOC's 2024 enforcement guidance on harassment and explore the implications of recent Executive Orders from the Trump administration. The conversation extends to the necessity of risk assessments in the current climate, focusing on how companies can maintain safe and compliant workplaces amidst shifting policies. Ann and Alejandra share valuable perspectives on conflicts of interest, the intersection of workplace safety and emotional well-being, and strategies for fostering a positive organizational culture even in uncertain times. Do not miss this expert advice on navigating the complexities of workplace conduct and compliance in the evolving legal landscape. Key highlights: EEOC's 2024 Enforcement Guidance on Harassment Impact of Policy Changes on Workplace Conduct Ensuring a Safe and Inclusive Workplace Risk Assessments and Workplace Misconduct Conflicts of Interest in the Workplace Resources: Miller & Chevalier Ann Sultan Ann Sultan on LinkedIn Alejandra Almonte Alejandra Almonte on LinkedIn Culture@Work: Fall 2024 Tom Fox Instagram Facebook YouTube Twitter LinkedIn Learn more about your ad choices. Visit megaphone.fm/adchoices

Welcome to the award-winning FCPA Compliance Report, the longest running podcast in compliance. In this episode, Tom welcomes back Mike Huneke and Brent Carlson for a special 2-part podcast series on the  bombshell AI advancements announced by DeepSeek on President Trump's inauguration day. In Part 1, we reviewed the business and compliance implications and in this Part 2, they consider the Sputnik Moment which has occurred.  In this episode, we delve into the concept of the 'Sputnik moment' as it relates to the global race to dominate artificial intelligence (AI) technology in the 21st century. Our discussion highlights the economic and military applications of AI and its significance for the United States. The conversation touches on the role of compliance, enforcement, and the evolving regulatory landscape, including recent developments like the AI diffusion framework. The episode also explores the increasing responsibilities placed on U.S. companies and their compliance teams, especially concerning export controls and national security standards.  Key Highlights  ·       Economic and Military Implications of AI ·       Compliance and Enforcement Challenges ·       The Role of Compliance Teams ·       Board of Directors' Responsibilities Resources Mike Huneke Hughes Hubbard & Reed website Brent Carlson on Linkedin A Fresh Look at US Export Controls and Sanctions DeepSeek Finds US Export Controls at a New ‘Sputnik Moment' in Bloomberg.Law Tom Fox Instagram Facebook YouTube Twitter LinkedIn For more information on the Ethico Toolkit for Middle Managers, available at no charge by clicking here. Learn more about your ad choices. Visit megaphone.fm/adchoices

Welcome to the award-winning FCPA Compliance Report, the longest-running podcast in compliance. In this episode, Tom welcomes back Mike Huneke and Brent Carlson for a special two-part podcast series on DeepSeek's bombshell AI advancements announced on President Trump's inauguration day. In Part 1, they review the business and compliance implications, and in Part 2, they consider the Sputnik Moment that has occurred. In Part 1, they consider the immediate and significant repercussions in both the business and compliance landscapes. Key topics include the economic and geopolitical ramifications of DeepSeek's innovations, changes in export control policies, and the unique compliance challenges AI technology poses. The discussion also examines how corporations can recalibrate their risk frameworks, integrate high-probability standards, and leverage data analytics to handle millions of transactions in a global economy. Emphasizing the importance of comprehensive compliance programs, the episode provides actionable insights for compliance professionals navigating this evolving landscape. Key highlights: DeepSeek's AI Breakthrough Economic and Compliance Implications Export Controls and Legal Concerns Compliance Strategies and Risk Management Training and Organizational Culture Resources Mike Huneke Hughes Hubbard & Reed website Brent Carlson on LinkedIn A Fresh Look at US Export Controls and Sanctions DeepSeek Finds US Export Controls at a New ‘Sputnik Moment' in Bloomberg.Law Tom Fox Instagram Facebook YouTube Twitter LinkedIn For more information on the Ethico Toolkit for Middle Managers, available at no charge, click here. Learn more about your ad choices. Visit megaphone.fm/adchoices

Welcome to the award-winning FCPA Compliance Report, the longest-running podcast on compliance. In this episode, Tom welcomes Jag Lamba, CEO of Certa.AI, the podcast's sponsor. We look at the recent events involving economic and trade sanctions levied on Colombia (now withdrawn) and the announcement of DeepSeek as a cost-effective competitor to ChatGPT in the AI space to discuss how quickly your risks can change. We overlay this discussion through the lens of the DOJ's 2024 Update on the Evaluation of Corporate Compliance Programs (2024 ECCP). Jag provides insights on how compliance officers can proactively manage risk amidst rapidly changing global landscapes by ensuring their programs are well-designed, adequately resourced, and effective. Key takeaways include the importance of data, controls, and technology in building robust compliance frameworks and using business impact and ROI to secure necessary resources. Key highlights: Current Events Impacting Compliance 2024 ECCP-Designing a Well-Structured Compliance Program 2024 ECCP-Adequate Resourcing for Compliance Programs 2024 ECCP: Effectiveness of Compliance Programs in Practice Proactive Risk Management Strategies Export Controls and Compliance Challenges Resources: Jag Lamba on LinkedIn Certa.ai Learn more about your ad choices. Visit megaphone.fm/adchoices

Welcome to the award-winning FCPA Compliance Report, the longest-running podcast in compliance. In this episode, Tom welcomes back Jonathan Wilson to discuss recent turbulent developments regarding the Corporate Transparency Act (CTA) at the Supreme Court. The conversation includes key legal battles in Texas involving injunctions against the CTA. They explore the Supreme Court's recent stay on a previous injunction, the new Smith v. Treasury case, and its implications. The hosts analyze the confusion and uncertainty surrounding compliance with the CTA and offer strategic advice to businesses during this chaotic period. They conclude with insights on the political and judicial landscape, potential future rulings, and the importance of the CTA in combating money laundering. Key highlights: Supreme Court's Recent Actions Smith v. Treasury Case Overview Discussion on Universal Injunctions Future Implications and Legal Advice Political Landscape and CTA Support Resources: Jonathan Wilson on LinkedIn FinCEN Report Tom Fox Instagram Facebook YouTube Twitter LinkedIn For more information on the Ethico Toolkit for Middle Managers, available at no charge, click here. Learn more about your ad choices. Visit megaphone.fm/adchoices

Welcome to the award-winning FCPA Compliance Report, the longest-running compliance podcast. In this episode, Tom welcomes back Brent Carlson and Mike Huneke to discuss a crucial topic in corporate compliance: the return on investment (ROI) in export controls compliance. This pod reviews the challenges compliance professionals face in articulating the value proposition for investments in compliance programs. Brent and Mike highlight the misconceptions about compliance being merely a cost center and explore various ways to demonstrate its tangible benefits to executive teams and boards. The discussion also covers the impact of recent regulatory changes and geopolitical tensions and how companies can proactively address these shifts to ensure robust compliance and leverage new opportunities. By looking at past enforcement actions and drawing parallels with the evolution of the FCPA, the episode provides listeners with critical insights into the practical steps for enhancing compliance programs and the importance of staying ahead of regulatory expectations in a rapidly changing global trade environment. Key highlights: Setting the Stage for Compliance ROI Challenges in Export Controls Compliance Geopolitical Influences on Export Controls Comparing Export Controls to FCPA National Security and Economic Security Solutions and Strategies for Compliance Resources: Hughes Hubbard & Reed website Brent Carlson on Linkedin Mike Huneke on LinkedIn A Fresh Look at US Export Controls and Sanctions Tom Fox Instagram Facebook YouTube Twitter LinkedIn For more information on the Ethico Toolkit for Middle Managers, available at no charge, click here. Learn more about your ad choices. Visit megaphone.fm/adchoices

Welcome to the award-winning FCPA Compliance Report, the longest-running podcast in compliance. In the first episode of the 2025 FCPA Compliance Report, Tom welcomes back Jonathan Wilson, founder and CEO of the FinCEN Report, to discuss recent legal machinations surrounding the Corporate Transparency Act (CTA). They delve into a December court ruling by the Eastern District of Texas, which issued a universal injunction against the CTA, claiming it oversteps Congress's authority under the Commerce Clause. The Fifth Circuit stay panel initially stayed this ruling but was later reinstated by the merits panel, leading the government to appeal to the Supreme Court. The episode also covers historical context, potential impacts on businesses, and predictions for future court actions regarding the CTA. Key highlights: Texas Top Cop Shop Case Overview Court Rulings and Injunctions Supreme Court Involvement Government Response and Filing Process Implications of Administration Change Resources: Jonathan Wilson on LinkedIn FinCEN Report Tom Fox Instagram Facebook YouTube Twitter LinkedIn For more information on the Ethico Toolkit for Middle Managers, available at no charge, click here. Learn more about your ad choices. Visit megaphone.fm/adchoices

Welcome to the award-winning FCPA Compliance Report, the longest-running podcast in compliance. In this episode, Tom welcomes Jennifer B. Gardner, a seasoned trial lawyer and expert in leadership and influence. She shares her unique professional journey, from running her law practice to becoming a master storyteller in the courtroom. Jennifer delves into the importance of emotional intelligence, right-brain communication in influencing and persuading, and the necessity of understanding human psychology to lead and connect with diverse audiences effectively. Jennifer also sheds light on how these skills translate into the corporate compliance world, emphasizing the power of crafting messages that resonate emotionally and using simple, compelling language. She offers practical tips on combining data with storytelling, understanding one's audience, and developing resilience in high-pressure situations. Whether you are a compliance officer, lawyer, or business leader, Jennifer's insights provide valuable strategies for becoming more influential and effective in your professional role. Highlights in this episode: Jennifer's Journey into Law and Leadership The Power of Influence in Law Applying Influence in the Corporate World The Art of Storytelling in Legal Cases Somatics and Leadership The Importance of Self-Awareness and Mindfulness Exploring the Art of Influence Program Resources: Jennifer B. Gardner on LinkedIn Gardner and Associates Law Firm The Art of Influence Tom Fox Instagram Facebook YouTube Twitter LinkedIn Learn more about your ad choices. Visit megaphone.fm/adchoices

Welcome to the award-winning FCPA Compliance Report, the longest-running podcast in compliance. In this episode, Tom engages in a comprehensive discussion with Bruna Veiga about the evolution and significance of the compliance department in the financial markets in Brazil and globally. Bruna describes her journey, starting as a trainee and advancing to her current role as a Legal and Compliance Officer in fund management. She highlights the crucial role of combining regulations from different regions, particularly the rigorous frameworks in Brazil and the United States, to manage compliance effectively. The conversation delves into the historical development of compliance programs in Brazil, the challenges faced, and the similarities with the U.S. regulatory landscape. Bruna provides insights on managing compliance amidst evolving regulations, the importance of continuous learning, and establishing a culture that values ethical compliance. Key topics such as money laundering, AI governance, and compliance considerations in marketing are also explored, offering valuable strategies for compliance professionals to navigate these complex areas. Highlights in this episode: Development of Compliance in Brazil Navigating Multiple Regulations Hot Topics in Compliance: AI and Money Laundering Compliance Communication and Engagement Career Advice for Aspiring Compliance Professionals Resources: Bruna Veiga on LinkedIn Tom Fox Instagram Facebook YouTube Twitter LinkedIn For more information on the Ethico Toolkit for Middle Managers, available at no charge, click here. Check out the entire 3-book series, The Compliance Kids, on Amazon.com. For an audio/video version of the Compliance Kids book, Speaking Up is AWESOME, contact Tom Fox. Learn more about your ad choices. Visit megaphone.fm/adchoices

Welcome to the award-winning FCPA Compliance Report, the longest-running podcast in compliance. In this edition, Tom Fox welcomes Adrian Roux, a senior associate at Edward Nathan Sonnenberg, to discuss recent legislative changes in South Africa's anti-corruption efforts and their global relevance. Adrian highlights the introduction of a new offense in South Africa akin to the UK's Bribery Act's ‘failure to prevent bribery' offense and discusses a new policy directive for non-trial resolutions for companies facing corruption charges. Both initiatives aim to mitigate extensive corruption exposed during the Zuma era's state capture saga, which involved high-profile public and private sector corruption cases investigated by the Zondo Commission. Adrian explains the challenges and implications of these legislative changes for compliance professionals globally, emphasizing the importance of understanding new compliance obligations and developing adequate procedural defenses. Additionally, the episode touches on increased international cooperation between South African and U.S. authorities in white-collar enforcement. This collaboration, noted in recent FCPA enforcement actions, signifies a growing trend towards global enforcement in corporate compliance and anti-corruption matters. Highlights in this episode: New Legislative Changes in South Africa Failure to Prevent Offense Adequate Procedures and Compliance Programs Corporate Alternative Dispute Resolution Directive International Cooperation in White Collar Enforcement  Resources: Arian Roux on LinkedIn ENS Law Firm Zondo Commission Report on State Capture Article on 34A of the Prevention and Combating of Corrupt Activities Act Tom Fox Instagram Facebook YouTube Twitter LinkedIn For more information on the Ethico Toolkit for Middle Managers, available at no charge, click here. Check out the full 3-book series, The Compliance Kids, on Amazon.com. For an audio/video version of the Compliance Kids book, Speaking Up is AWESOME, contact Tom Fox. Learn more about your ad choices. Visit megaphone.fm/adchoices

Welcome to the award-winning FCPA Compliance Report, the longest-running podcast in compliance. This edition delves into the implications of Donald Trump's presidency for corporate compliance and ethics. We share some initial thoughts from compliance officers and industry experts, exploring the widespread concern over Trump's controversial character and potential impact on businesses' ethical cultures. Key discussion points include the existential angst among compliance professionals, the future of FCPA enforcement, and the role of influential figures like Elon Musk in the Trump administration. The episode underscores the importance of maintaining robust compliance programs despite political uncertainties and the potential for increased regulatory challenges and internal corporate risks. Highlights in this episode: Compliance in the Trump Era Existential Angst in Compliance FCPA Enforcement Under Trump Elon Musk's Role in the Administration The Future of Compliance and Governance Conclusion: The Risks of Relaxed Controls For more information on the Ethico Toolkit for Middle Managers, available at no charge, click here. Check out the full 3-book series, The Compliance Kids, on Amazon.com. For an audio/video version of the Compliance Kids book, Speaking Up is AWESOME, contact Tom Fox. Learn more about your ad choices. Visit megaphone.fm/adchoices

Welcome to the award-winning FCPA Compliance Report, the longest-running podcast in compliance. In this edition, Tom Fox welcomes Frank Tumminello for an in-depth discussion on the Corporate Transparency Act (CTA) and its business implications. They delve into the reasons behind the CTA, a law established under the Anti-Money Laundering Act of 2020, and its importance in enhancing transparency and preventing criminal activities like tax evasion and money laundering. Despite being in effect for nearly a year, there needs to be more awareness, with only 15% of the 40 million affected companies having complied. Frank explains the Beneficial Ownership Information (BOI) report, its requirements, and the challenges businesses might face in staying compliant. They also touch upon the misconceptions and legal difficulties surrounding the CTA, as well as the efforts of FinCEN to facilitate compliance, including the potential for extended deadlines in hurricane-affected FEMA zones. Lastly, Frank introduces ‘File Forms,' a platform designed to streamline BOI reporting, highlighting its features, success stories, and support to businesses navigating these new requirements. Highlights in this episode: Overview of the Corporate Transparency Act Purpose and Misconceptions of the CTA Beneficial Ownership Information Reporting Constitutionality and Legal Challenges FinCEN Updates and Compliance Efforts File Forms: Features and Benefits   Resources: Frank Tumminello on LinkedIn FileForms Tom Fox Instagram Facebook YouTube Twitter LinkedIn For more information on the Ethico Toolkit for Middle Managers, available at no charge, click here. Learn more about your ad choices. Visit megaphone.fm/adchoices

Welcome to the award-winning FCPA Compliance Report, the longest-running podcast in compliance. In this edition, Tom Fox welcomes back Alexander Cotoia to discuss the intricate and profoundly impactful topic of anti-boycott compliance related to U.S. companies involved in international trade. They delve into the specifics of the EAR's anti-boycott provisions, a framework designed to prohibit U.S. companies from participating in or supporting foreign-imposed boycotts not endorsed by the U.S. government. The conversation highlights the strict reporting requirements enforced by BIS and IRS to ensure transparency and adherence to U.S. trade compliance interests. Alexander explains the details of Quantum Corporation's recent settlement over violations, emphasizing the importance of active reporting to maintain U.S. trade relationships. The discussion also touches on potential compliance challenges, particularly regarding China and Taiwan. Tune in for best practices in anti-boycott compliance and learn how to navigate this complex regulatory landscape. Highlights in this episode: Understanding Anti-Boycott Law Deep Dive into EAR's Anti-Boycott Provisions Enforcement and Compliance Case Study: Quantum Corporation Best Practices for Compliance Global Implications and Future Concerns   Resources: Alexander Cotoia on LinkedIn Volkov Law Group Alexander Cotoia's article on BIS – Quantum Corp Enforcement Action Tom Fox Instagram Facebook YouTube Twitter LinkedIn For more information on the Ethico Toolkit for Middle Managers, available at no charge, click here. Learn more about your ad choices. Visit megaphone.fm/adchoices

Welcome to the award-winning FCPA Compliance Report, the longest-running podcast in compliance. In this edition, Tom Fox visits with Sam Silverstein on how compliance professionals should view the new DOJ mandate on using data to assess, manage, and improve corporate culture through data-driven compliance. The Culture Audit sponsors this podcast. In this comprehensive discussion, Tom Fox and Sam Silverstein delve into the 2024 Update to the Evaluation of Corporate Compliance Programs (ECCP) by the DOJ. Released in September, this latest update emphasizes the importance of data analytics, culture, engagement, and trust in compliance programs. With a detailed breakdown of over 250 questions posed by the ECCP, Tom and Sam provide valuable insights on how companies can benchmark their compliance programs and prepare for potential investigations. They highlight the role of a culture audit in addressing the DOJ's requirements, offering a detailed look into how organizations can measure and improve their compliance culture. This webinar educates compliance professionals on the latest DOJ expectations and provides practical tools and methodologies to enhance corporate compliance efforts. Highlights in this episode: Importance of Culture and Data Analytics Leveraging Data for Compliance Measuring and Improving Culture Data-Driven Culture of Compliance Understanding and Utilizing Culture Audit Data Forward Steps for a Stronger Culture Resources:  Culture Audit Set up a call to discuss the Culture Audit. Click here Sam Silverstein and the Accountability Institute Sam Silverstein on LinkedIn Tom Fox Instagram Facebook YouTube Twitter LinkedIn For more information on the Ethico Toolkit for Middle Managers, available at no charge, click here. Registration and information for the Compliance Podcast Network First Annual Agora Awards are here. This event is free. Learn more about your ad choices. Visit megaphone.fm/adchoices

Welcome to the award-winning FCPA Compliance Report, the longest running podcast in compliance. In this edition of the FCPA Compliance Report, Tom Fox visits with Dr. Ian Oxnevad and Chris Mason from Infortal Worldwide about the Israeli attack on Hezbollah through its pagers and explores what all of this means for the compliance professional. The podcast explores the compliance and supply chain ramifications stemming from pagers licensed by a Taiwanese company to a Hungarian firm which were subsequently used to disrupt Hezbollah's operations. This incident serves as a springboard for discussing the broader implications for global businesses, emphasizing the essential role of due diligence in complex supply chains. The episode offers insightful commentary on how Hezbollah's lack of scrutiny over their suppliers led to vulnerabilities that were exploited by Israel, acting as a cautionary tale for organizations everywhere. Key topics include the unexpected ways legitimate companies can be compromised, the pervasive nature of risk management, and the importance of vetting and verifying partners across all industries to maintain business integrity and reputation. Highlights in this Episode: Attack on Hezbollah Compliance and Supply Chain Issues Payment Anomalies and Red Flags Lessons Learned and Risk Management The Importance of Knowing Your Risk Profile Unintended Consequences and Risk Management Final Thoughts on Supply Chain Vulnerabilities Resources Infortal Worldwide Dr. Ian Oxnevad on LinkedIn Chris Mason on LinkedIn Tom Fox Instagram Facebook YouTube Twitter Learn more about your ad choices. Visit megaphone.fm/adchoices