This Week in FCPA

Welcome to the All Good Things edition of This Week in FCPA. This episode 300 is Tom and Jay's final episode of this podcast. It has been a great run and we appreciate all our loyal fans and listeners over the past 6-year plus run. Today we close with some highlights from our most popular episode, our favorite episodes and some very special guests including Candice Tal, Lisa Beth Lentini, Joe Oringel and Tedra Foster.     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. Learn more about your ad choices. Visit megaphone.fm/adchoices

The Yankees cheated and lost. The Astros and Red Sox cheated and won. What's the lesson? Tom and Jay are back to look at some of the week's top compliance and ethics stories.  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. Learn more about your ad choices. Visit megaphone.fm/adchoices

As the Celtics win Game One with a buzzer beater, Tom and Jay are back to look at some of the week's top compliance and ethics stories in the NBA playoffs are here edition. 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. Learn more about your ad choices. Visit megaphone.fm/adchoices

As the NY Mets have the best record in baseball and we prepare for the celebrations of Easter and Passover, Tom and Jay are back to look at some of the week's top compliance and ethics stories in the Ng Convicted edition. Stories Roger Ng was convicted. Tom in the FCPA Compliance and Ethics Blog. Lessons from DOJ's first cyber fraud settlement? Annie Hudgins in the FCPA Blog. Depression as corporate materiality issue. Dick Cassin in the FCPA Blog. Should CCOs be required to certify compliance programs? Mike Volkov in Corruption Crime and Compliance. CEO fined by SEC for impeding whistleblower. Aaron Nicodemus in Compliance Week. (sub req'd) Matt Kelly in Radical Compliance. How much BOD oversight of compliance is enough? Jeff Kaplan in Conflict of Interest Blog.  Compliance in recessionary times. Jim DeLoach in CCI. Water and corruption. Rick Messick in GAB. Why should an organization disclose diversity information? Antinuke Adrian in Harvard Law School Forum on Corporate Governance.   Data governance best practices. Eray Eliaçik in Data Economy.  Podcasts and More 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.  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.  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.  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.  Join Tom and Jay at ECI Impact 2022. Listeners to this podcast can save 20% off registration by entering discount code: TOM20 at checkout. 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. Learn more about your ad choices. Visit megaphone.fm/adchoices

On this April Fool's Day for 2022, Tom and Jay are back to look at some of the week's top compliance and ethics stories in the Slap Seen ‘Round the World edition.  Stories The Slap Seen ‘Round the World and Compliance. Tom in FCPA Compliance and Ethics Blog. Will CCOs have to certify compliance? Text of Kenneth Polite speech. Tom and Matt in Compliance into the Weeds. Matt in Radical Compliance. Coal exec indicted under the FCPA. Harry Cassin in the FCPA Blog. Good bribes. Dick Cassin in the FCPA Blog. Why controls are key to compliance. Chris Audet in CCI. MarshMac UK sub garners Declination with Disgorgement. Dylan Tokar in WSJ Risk & Compliance Journal. ZTE whistleblower feared for his life. Ashley Yablon in CCI. Whistleblowing keys. Jan Stampers In Risk and Compliance Matters. Fine line between compliance and evasion of OFAC sanctions. Mike Volkov in Corruption Crime and Compliance. ISSB delivers sustainability guidelines. IFRS Press Release. Podcasts and More 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. Tom has a two part series with Aly McDevitt on her recent Ransomware case study, on Greetings and Felicitations, Part 1 and Part 2. 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. Tom visits with longtime MS 150 rider Alan Peterson on The Hill Country Podcast. Donate to the fight against MS here. 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. Learn more about your ad choices. Visit megaphone.fm/adchoices

The SEC releases regulations around climate change as Tom take a solo turn to look at some of the week's top compliance and ethics stories in the Seeing Green edition. 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. Learn more about your ad choices. Visit megaphone.fm/adchoices

MLB and the players manage to work out their differences as Tom Brady unretires. Jay and  Tom to look at some of the week's top compliance and ethics stories in the Baseball is Back edition. 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. Learn more about your ad choices. Visit megaphone.fm/adchoices

Jay returns from the assignment with some observations on the ABA White Collar Conference and looks at some of the week's top compliance and ethics stories in the Remember the Alamo edition. Stories Should lawyers represent all stakeholders before the SEC? Matt Kelly in Radical Compliance. Tom and Matt in Compliance into the Weeds.  Lessons learned from a corrupt Olympics: Andy Spalding and Danny Hales in the FCPA Blog. How does a corporate culture become corrupt? Tom Bussen and Nitish Singh in CCI. Corruption in the Russian military. Matthew Stephenson in GAB.  MTS agrees to extend monitorship for one year. Dylan Tokar in WSJ Risk and Compliance Journal.  Why is data minimization so critical? Debevoise lawyers in Compliance and Enforcement.  Elon Musk wants out of his Consent Decree with the SEC. Dean Seal in Law360 (sub req'd) A stark warning on corporate cooperation. Wachtel Lipton lawyers in Harvard Law School Forum on Corporate Governance.   Mike Volkov on the force multiplier of ethics and sustainability. Crime Corruption and Compliance.  NFTs and the SEC. Francine McKenna in The Dig (sub req'd)  Podcasts and More 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. Tom and Megan Dougherty are back with 2 more episodes of the MCU series. The Winter Soldier and Guardians of the Galaxy Part 1.   David Simon returns for another session of his journey through the Oxford MBA Program on A Yank at Oxford.  Tom visits with Hill Country lawyer Craig Wolcott on The Hill Country Podcast. 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.  Learn more about your ad choices. Visit megaphone.fm/adchoices

As Ukraine hangs on from the Russian invasion, Jay is on assignment so fan fav Kristy Grant-Hart joins this week as a co-host with Tom to look at some of the week's top compliance and ethics stories from the impact of the Ukrainian crisis in the Ukraine Hangs On edition.  Stories What Russia invasion means for companies and compliance. Tom with a series in the FCPA Compliance and Ethics Blog. Matt Kelly in Radical Compliance. Dick Cassin says sanctions may lead to more corruption in the FCPA Blog. Jaclyn Jaeger looks at supply chain disruption and issues in Compliance Week (sub req'd) Matthew Murray asks if Putin invaded Ukraine to advance corruption, in GAB. Chasing oligarchs' money, from the Washington Post. The Swiss approach to Ukraine crisis. Mark Pieth in Risk and Compliance Europe. Mike Volkov focuses on new and evolving sanctions, in Corruption Crime and Compliance. Economic nationalism and corporate governance. Martin Geller, in Harvard Law School Forum on Corporate Governance.  Illicit finance and High-value art. Sullivan & Cromwell lawyers in Compliance and Enforcement. The invasion and cybersecurity. Jonathan Armstrong in Cordery Compliance. Podcasts and More 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. 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). Tom and Loren Steffy look energy issues and fallout from the Russian invasion in Greetings and Felicitations. Tom and Matt Kelly take a deep dive into the compliance weeds about the Russian invasion on Compliance into the Weeds. Silvia Surman devotes the entire week to Russian trade sanctions and economic issues in The Compliance Kitchen. 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. Learn more about your ad choices. Visit megaphone.fm/adchoices

As Russia invades Ukraine, Tom and Jay settle in and are back looking at some of the week's top compliance and ethics stories this week in the Russia Invades edition. Stories 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) Why is subculture audits so critical? Vera Cherepanova explains in the FCPA Blog. 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. National Cryptocurrency Enforcement Team and what it means. Kathleen McDermott and Mark Krotoski in CCI. David Smagalla in WSJ Risk and Compliance Journal.  How Credit Suisse facilitated crime, corruption, and dictators. Jessie Drucker and Ben Hubbard in the New York Times.  Why diversity on investigation teams matters. Karin Portlock and Jabari Julien in Compliance and Enforcement.  Could small-cap directors & officers could face ESG liability. Lawrence Heim in practicalESG. Global trends in corporate governance for 2022. Richard Fields, Rusty O'Kelley III, and Laura Sanderson, in Harvard Law School Forum on Corporate Governance.   Roger Ng trial in danger of collapse due to prosecution 'inexcusable error .'Stewart Bishop in Law360. (sub req'd)  Using the FCPA to fight the demand side of bribery. Matthew Stephenson in GAB.  Podcasts and More 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.  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. CCI releases a new e-book from Mike Volkov, "Compliance Culture Revolution ."Available free from CCI. 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. 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.     Learn more about your ad choices. Visit megaphone.fm/adchoices

Super Sunday passed with fun but poorly played, poorly officiated, and poorly coached. Tom and Jay are back to look at some of the week's top compliance and ethics stories this week in the Rams Win It All Edition. Stories Ericsson is in more FCPA trouble. Mengqi Sun in the WSJ Risk and Compliance Journal. Aaron Nicodemus in Compliance Week. (sub req'd) DD impeding compliance in developing markets? Katya Lysova explores in the FCPA Blog. ESG-no longer a nice to have. Karen Alonardo in Risk and Compliance Matters.   State AGs are waiting. Ashley Taylor and Chris Carlson in CCI.   The latest case on CCO liability. Matt Kelly in Radical Compliance.  Broken windows and compliance enforcement. Anthony O'Reilly in Compliance and Enforcement.  Companies yet again ask the EU for rules around ESG. Lawrence Heim in practicalESG. White-collar enforcement trends in 2021. Jamie Rosenberg in Grand Jury Target.   HP-Autonomy from the auditors' perspective. Francine McKenna in The Dig.  South African courts deny Zuma's attempt to remove the SA corruption prosecutor. Rick Messick in GAB.   Podcasts and More 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. 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. CCI releases a new e-book from Mike Volkov, "Compliance Culture Revolution." Available free from CCI. 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. 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.   Learn more about your ad choices. Visit megaphone.fm/adchoices

Super Sunday is here. The NFL finally gets the game in the spotlight after weeks of brutal PR. Who ya got? “Who Dey” or Hollywood? Tom and Jay are back look at some of the week's top compliance and ethics stories this week in the Super Sunday edition.  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.   Learn more about your ad choices. Visit megaphone.fm/adchoices

As the GOAT of pro football, Tom Brady retires, Brian Flores sues the NFL and the Bengals/Rams make the Super Bowl, Tom and Jay are back look at some of the week's top compliance and ethics stories this week in the Brady Retires edition.  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.    Learn more about your ad choices. Visit megaphone.fm/adchoices

How long does it take to win a NFL playoff game? Patrick Maholmes says 13 seconds. After perhaps the most thrilling NFL playoff game ever,  Tom and Jay are back look at some of the week's top compliance and ethics stories this week in the 13 Seconds edition. 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.   Learn more about your ad choices. Visit megaphone.fm/adchoices

As both of their teams are unceremoniously knocked out of the playoffs, Tom and Jay are back looking at some of the week's top compliance and ethics stories this week in the Activision Blizzard Sold edition. Stories 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. Did the pandemic undo corruption risk models? Dick Cassin explores in the FCPA Blog. KPMG spanked yet again in the UK. Jaclyn Jaeger in Compliance Week (sub req'd). Person of the Year in Compliance? ESG. Mike Volkov in Corruption Crime and Compliance.   Is Abby Normal next? Banks using behavioral science. Vera Cherepanova in FCPA Blog. Businesses and Strategy on Countering Corruption. Sara Paul, Andrea Gordon, and Dane Sowers in the CCI.   Climate change compliance. Jeff Kaplan in Conflicts of Interest Blog. Trust has its moment. Stewart Levine in Forbes.com.  Institutional investors on ESG voting. Lawrence Heim in PracticalESG. The virtual Board Room. Jeffrey Karpf and Fernando Martinez in Compliance and Enforcement.  Podcasts and More 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.  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.  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.  CCI releases a new e-book from Tom, “FCPA 2021 Year in Review”. Available free from CCI. 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.  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.   Learn more about your ad choices. Visit megaphone.fm/adchoices

The college football season has ended with UGA finally defeating UA. Tom and Jay turn their full attention to the NFL playoffs now and also look at some of the week's top compliance and ethics stories this week in the Georgia Finally Beats Alabama edition. 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.   Learn more about your ad choices. Visit megaphone.fm/adchoices

Jay returns from a lengthy holiday assignment to join Tom to look at some of the week's top compliance and ethics stories this week in the Holmes Found Guilty edition. Stories 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) 2022 to be a critical year in ESG reporting. Mike Munro and Guido Van Druen in a CCI. Top D&O stories from 2021. Kevin LaCroix in D&O Diary.  Airbnb spanked over Cuba. Mengqi Sun in WSJ Risk & Compliance Journal.   MorganStanley fined $60MM over a data breach? Aaron Nicodemus in Compliance Week (sub req'd). China's new ABC guidelines. Andrew Reeves and Rongxin Huang in the FCPA Blog.   The ‘G' in ESG. Lawrence Heim in PracticalESG.  Key areas for BOD oversight in 2022. Holly Gregory in Harvard Law School Forum on Corporate Governance.  Audrey Harris joins AMI. Broadcat sold. Broadcat Press Release. Podcasts  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.   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.  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.  Mikhail Reider-Gordon returns in Lies, Spies & Corporate Crimes: The Wirecard Saga, with Season 2, Episode 2 The Vagabond Rapping At Your Door. 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.   Learn more about your ad choices. Visit megaphone.fm/adchoices

With Jay on a holiday assignment, Tom is joined by Mike Volkov to look at some of the week's top compliance and ethics stories this week in the Tribute to Madden and Harry edition. 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. Learn more about your ad choices. Visit megaphone.fm/adchoices

With Jay on a holiday assignment, Tom is joined by Professor Karen Woody to look at some of the week's top compliance and ethics stories this week in the Naughty List edition.  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.  Learn more about your ad choices. Visit megaphone.fm/adchoices

Tom takes a solo turn to look at some of the week's top compliance and ethics stories this week in the Bags of Cash edition. 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.  Learn more about your ad choices. Visit megaphone.fm/adchoices

Hannukah came early this year and we are now in the full holiday swing of things. Tom and Jay are back to look at some of the week's top compliance and ethics stories this week in the Happy Holidays edition.  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.  Learn more about your ad choices. Visit megaphone.fm/adchoices

Hanukkah comes early this year. As the Rosen household begins its annual celebration, Tom and Jay are back to look at some of the week's top compliance and ethics stories this week in the Happy Hanukkah edition.  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.  Learn more about your ad choices. Visit megaphone.fm/adchoices

Is compliance the happiest profession? Are you passionate about compliance? If you are either or both, you are not alone. Guest Host Karen Woody and Tom Fox look at these and other stories this week in the Happiest Profession edition. Stories Is Compliance the happiest profession? Amii Bernard-Bahn explores in Compliance Week (Sub Req'd) Report on SEC Enforcement Activity: Public Companies and Subsidiaries for 2021. Tom Gorman in SEC Actions. Supply chain and compliance. Mike Volkov in Corruption Crime and Compliance. Dick Cassin in the FCPA Blog. What does ESG mean for the SEC? Commissioner Crenshaw remarks to the Pepsico-PWE Conference in the Harvard Law School Forum on Corporate Governance.  Corruption as psychic revenge. Richard Bistrong in the FCPA Blog. Mitigating cyber risks. Debevoise Plimpton lawyers in Compliance and Enforcement. COP26 wrap up. What are the lessons for compliance? Lawrence Heim in PracticalESG. 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. Diversity at the top. Jim Deloach in CCI. How did Classical Athenians define corruption? Kellam Conover in GAB. Podcasts and Events 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. 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. 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. 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. Learn more about your ad choices. Visit megaphone.fm/adchoices

As Aaron Rogers is fined less than a player who had his shirttail untucked, he and Jay are back to reflect on some of the top compliance and ethics stories in the Immunized Not Vaccinated edition.  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. Learn more about your ad choices. Visit megaphone.fm/adchoices

As Tom mourns the Astros loss, he tips his cap to the WS Champs Atlanta Braves. He and Jay reflect on some of the top compliance and ethics stories in the World Series Champs edition.  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. Learn more about your ad choices. Visit megaphone.fm/adchoices

As we head to Halloween, Tom and Jay reflect on some of the top compliance and ethics stories on the Happy Halloween edition.  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. Learn more about your ad choices. Visit megaphone.fm/adchoices

Either the Astros or Red Sox are headed to the World Series. Flashing lights in Fenway? What will the baseball gods decree? Tom and Jay reflect as they are back to review some of the top compliance and ethics stories on the Headed to the WS edition. 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. Learn more about your ad choices. Visit megaphone.fm/adchoices

The Astros and Red Sox meet in the ALCS. Is it the Cheater's Ball? Tom and Jay are back to review some of the top compliance and ethics stories on the Back in the ALCS edition.  Stories 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. Confronting Ethical and Moral Dilemmas: Don't Go It Alone. Richard Snell in Knowledge@Wharton. Evolution of 3rd party risk management. Mike Volkov in Corruption, Crime and Compliance. The role of employees in weeding out corp misconduct. David Smagalla in the WSJ Risk and Compliance Journal. Ex-Braskem CEO gets 20 months. Kyle Brasseur in Compliance Week. (sub req'd) Cooperating (or not) with the SFO. Lloydettte Bai-Marrow in the FCPA Blog. Inconsistency in UK and EU banking regs? Deepali Nijhawan in CCI. What is tech risk? Carol Williams in Risk and Compliance Matters. Ozy from the audit perspective. Francine McKenna in The Dig. (sub req'd) ESG channels Watergate (as in follow the money). Lawrence Heim in practicalESG.  Podcasts and Events Compliance Week is going ‘Inside the Mind of the CCO'. Participate in the survey here. Ethisphere's World Most Ethical Company awards for 2022 are open for submission. For more information on the Application Process, click here. 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. 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. 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. 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. Learn more about your ad choices. Visit megaphone.fm/adchoices

Tom is on for a solo run this week to review some of the top compliance and ethics stories on the Facebook Whistleblower edition.  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. Learn more about your ad choices. Visit megaphone.fm/adchoices

Jay and Tom  are back to unpack some of the stories that caught their collective eye on the Monsterfest Month Returns edition. 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. Learn more about your ad choices. Visit megaphone.fm/adchoices

Jay returns from his travels to report on the 1st compliance conference since 2019. He and Tom unpack some of the stories that caught their collective eye on the Heading to October edition. 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. Learn more about your ad choices. Visit megaphone.fm/adchoices

Jay is once again traveling this week so we are joined by Professor Karen Woody as special guest co-host. I know you will enjoy her comments on this special Focus on the SEC edition. 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. Learn more about your ad choices. Visit megaphone.fm/adchoices

This week is the 20th anniversary of 9/11. On Saturday Tom and Jay ask that you take a moment of silence to remember all those who lost their lives on that day, their loved ones and those who were impacted by those events over the past 20 years.  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. Learn more about your ad choices. Visit megaphone.fm/adchoices

As Jay returns from an extended road trip, he and Tom look forward to an extended Labor Day weekend and are back to look at some of this week's top compliance and ethics stories which caught their interest on This Week in FCPA in the Labor Day edition.  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. Learn more about your ad choices. Visit megaphone.fm/adchoices

As drumheads worldwide mourn the death of Rolling Stones drummer Charlies Watts and Jay goes ‘on the road'; Tom is joined by special guest host, Kristy Grant-Hart to look at some of this week's top compliance and ethics stories which caught their interest on This Week in FCPA in the Charlie Watts Tribute edition.  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. Learn more about your ad choices. Visit megaphone.fm/adchoices

As Texas' Governor-Mr. Personal Responsibility-himself comes down with Covid after refusing to engage in ‘personal responsibility', Tom and Jay are back to look at some of this week's top compliance and ethics stories which caught their interest on This Week in FCPA in the Personal Responsibility edition.  Stories Corruption led to the fall of Afghanistan. Dick Cassin in the FCPA Blog. Does HSBC facilitate cybercrime. Elfriede Sixt in Risk and Compliance Journal Europe. 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. Trust and the CCO? Jeff Kaplan in Conflict of Interest Fraud during the pandemic. James Ruotolo in CCI. Inefficiency in AML enforcement. Maria Evstropova in CCI.  SEC coming after cryptocurrencies. Aaron Nicodemus in Compliance Week. 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. Who is on your crisis management team? Eden Gillott in com. CFIUS publishes 2020 report. K2 Integrity Client Alert.  Podcasts and Events 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. 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. 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. 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. 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. Learn more about your ad choices. Visit megaphone.fm/adchoices

As the Tokyo Olympics conclude and Biden passes an infrastructure bill, Tom and Jay are back to take a look at this week's stories top compliance and ethics stories which caught their interest on This Week in FCPA in the Infrastructure Bill edition.  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. Learn more about your ad choices. Visit megaphone.fm/adchoices

As the Tokyo Olympics continue and FirstEnergy settles one of the largest domestic corruption cases ever, Tom and Jay are back to take a look at this week's stories top compliance and ethics stories which caught their interest on This Week in FCPA in the Domestic Corruption edition.  Stories The First Energy domestic corruption scandal. Rick Messick in GAB. Matt Kelly in Radical Compliance. Obstacles to compliance training. Dick Cassin in the FCPA Blog. Should companies go into space? Mike Volkov says no in Corruption, Crime and Compliance. Is your compliance relationship with HR unleavened? Then leaven it, says Amy Dufrane in CCI. Can the Olympics be saved? Perhaps from the corruption angle. Andy Spalding in the FCPA Blog. 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) What happens when a CCO acts like a GC? They ‘step in it' says Matt Kelly in Radical Compliance. Are you afraid of your own shadow? Michael Rasmussen says you might well should be in Navex Global's Risk and Compliance Matters. If you step in it, RAC it. Ngozi Okeh in PracticalESG. Boards and Corporate Strategies in the post-pandemic world. Wachtell, Lipton lawyers in the Harvard Law School Forum on Corporate Governance. Podcasts and Events Jonathan Keller reviews the evolution of healthcare compliance in this episode of The Compliance Handbook. 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. 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. 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. In Integrity Through Compliance, Episode 14, Joe Miller Returns to Discuss Anticipated Antitrust Enforcement Trends in the Biden Administration. 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. Learn more about your ad choices. Visit megaphone.fm/adchoices

As the Tokyo Olympics stumble out of the gate and Tom returns to the wilds of the Texas Hill Country, he and Jay are back to take a look at this week's stories top compliance and ethics stories which caught their interest on This Week in FCPA in the No Fan Olympics edition.  Stories 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. What's going on with ESG in Europe. Vera Cherepanova in the FCPA Blog. What is social risk? Lawrence Heim in com. What's the current job market for compliance professionals? Matt Kelly in Radical Compliance. SFO secures two DPAs. Neil Hodge in Compliance Week (sub req'd) Responding to parallel investigations. Nicole Sprinzen and Catherine Yun in CCI. Auditing of SPACs. Francine McKenna takes a deep dive on The Dig. (Sub Req'd) EU Whistleblower Initiative? Keith Taylor in Navex Global's Risk and Compliance Matters. FTC signals more aggressive enforcement. Alexander Paul Okuliar and David J. Shaw NYU's Compliance and Enforcement The Enactment of Purpose Initiative. Wachtell, Lipton lawyers in the Harvard Law School Forum on Corporate Governance. Podcasts and Events 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. 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. 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. 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. 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. 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. Learn more about your ad choices. Visit megaphone.fm/adchoices

As Tom records from an undisclosed location, he and Jay are back to take a look at this week's stories top compliance and ethics stories which caught their interest on This Week in FCPA in the Live from Portland edition. Stories 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. I screen, You screen, We all screen (but not for ice cream). Szilvia Andriasik in the FCPA Blog. The pandemic redefined the role of the GC. Did it do the same for the CCO. Abbott Martin and Rosie Griffin in How to train managers in COI. Jeff Kaplan in COI Blog. The Bribery Act at 10. Neil Hodge in Compliance Week (sub req'd) Expanding your DD horizons for ESG. Alek Chance In Navex Global's Risk and Compliance Matters. Upgrading your compliance program in 5 steps. Joe Murphy in Compliance Week (Sub Req'd) Is your training sticky? Gio Gallo in CCI. Using data analytics to uncover anomalies. Jessica Ellsworth in CCI. Internally communicating about cyber security issues. Davis Polk lawyers in the Harvard Law School Forum on Corporate Governance. Podcasts and Events 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. 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. 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. 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?' 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. 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. Learn more about your ad choices. Visit megaphone.fm/adchoices

As Tom celebrates the release of The Compliance Handbook, 2nd edition, he and Jay are back to take a look at this week's stories top compliance and ethics stories which caught their interest on This Week in FCPA in the Trump Organization Indicted edition. Stories The Compliance Handbook, 2nd edition is released. Learn about it here. Purchase it here. Four ways to update you ABC compliance program right now. Ann-Maire Zell in the FCPA Blog. 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. Alex Cotoia takes a deep dive into the EU Whistleblower Directive in a 4-part series. On Compliance Crime and Corruption. Emerging trends in 3rd Party Risk Management. Jaclyn Jaeger in Compliance Week (sub req'd) Mengqi Sun interviews Sherron Watkins in the WSJ Risk and Compliance Journal. Anti-trust concerns at the Board level. Elizabeth Ising, Stephen Weissman, Cassandra Tillinghast and Chris Wilson in NYU Compliance and Enforcement Blog. How to avoid buying a FCPA issue. Valerie Charles, Jamen Tyler and Robert Johnston in CCI. Compliance on the inside v. outside. Amy Landry in CCI. Compliance officers are disciplinarians (at times). Dick Cassin in the FCPA Blog. Podcasts and Events 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. 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. 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. 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. 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. 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. Learn more about your ad choices. Visit megaphone.fm/adchoices

As the Trump Organization and its CFO are criminally indicted, Tom and Jay prepare for the 4th of July and are back to take a look at this week's stories top compliance and ethics stories which caught their interest on This Week in FCPA in the Trump Organization Indicted edition.  Stories Trump Organization and CFO indicted on criminal charges. NYT, WSJ, FT, WaPo How whistleblowers protect the bottom line. Bob Conlin in Navex Global's Risk and Compliance Matters. 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. US government AML priorities. FinCen issues report, here. Kyle Brassuer in Compliance Week (sub req'd) Dylan Tokar in WSJ Risk and Compliance Journal. Do lawyers make good gatekeepers? Sung Hui Kim says ‘perhaps'. Keith Bishop says you shouldn't even ask the question. Human-Centered Design: An Engaging Ethics & Compliance Program Serves Users' Needs. Carsten Tams in Part 2 of his five-part series on LinkedIn. Reducing your CCPA risk. Debevoise lawyers on NYU's Compliance and Enforcement blog. Was Amec Foster Wheeler afraid of its agents? Dick Cassin explores in the FCPA Blog. Auditing your climate risk. Mark Texler in a two-part series on PracticalESG. How do you evaluate the value of ethics? Henry Kronk in CCI.  Podcasts and Events 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. 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. 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. 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. 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. 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. Learn more about your ad choices. Visit megaphone.fm/adchoices

Tom and Jay are back to take a look at this week's stories top compliance and ethics stories which caught their interest on This Week in FCPA in the Design Thinking in Compliance edition.  Stories Design Thinking returns to compliance as Carsten Tams begins a 5-part series on LinkedIn. Check out Part 1. Ex-Goldman Sachs banker settles FCPA matter. Dylan Tokar in WSJ Risk and Compliance Journal. 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 Tricky Dicky lives in FCPA enforcement. Dick Cassin explains why in the FCPA Blog. Using captives to provide FCPA D&O Coverage? Daniel Chefitz and Sergio Oehninger in the FCPA Blog.   Do we need to ban high-value currency? Sam Magaram in GAB. Compliance opportunities in and after Covid. Stephen Naughton in Compliance Law Journal. Building an effective AML action plan. Peter Fitzgerald, Scott Zucker and Tristan Souness-Wilson in CCI. SEC settles pre-taliation case with Guggenheim Partners. Matt Kelly in Radical Compliance. Will laws requiring Board diversity survive court scrutiny? Kevin LaCroix in the D&O Diary.  Podcasts and Events 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. 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. 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. 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.  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. 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. 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. Learn more about your ad choices. Visit megaphone.fm/adchoices

Jay is back from moving. He and Tom are shocked, shocked that there is another cheating scandal in baseball. While ruminating on just how shocked they are, they take a look at this week's stories top compliance and ethics stories which caught their interest on This Week in FCPA in the More Cheating in Baseball edition. Stories 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. EU Prosecutor's Office opens for business. Jon Rusch in Dipping Through Geometries. Exxon BOD vote should be a wake up call. Jaclyn Jaeger in Complinace Week. (sub req'd) Compliance when no one is watching. Julie DeMauro in the FCPA Blog. What are 5 things CCOs can do to comply with Biden's Statement on Corruption? Al Barbarino in Law360. What do pirates teach us about leadership? Fransesca Gino in XpertsLeague. Should CCOs run ESG? Mike Volkov say ‘No' in Corruption, Crime and Compliance. Is your Supply Chain ethical? Andrew Blasi and Nicolas Diamond in CCI. What are some reasons for the lack of FCPA enforcement? Harry Cassin speculates in the FCPA Blog. Get on one page for risk management. Sandar Erez in CCI. Podcasts and Events 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. 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. 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. Vin DiCianna turns the tables on Tom by interviewing him for this week's Integrity Through Complaince. Check it out here. 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. 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 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. Learn more about your ad choices. Visit megaphone.fm/adchoices

With Jay moving this week, Tom is joined by Complinace Kristy (Kristy Grant-Hart) as special guest host. They take a look at this week's stories top compliance and ethics stories which caught their interest on This Week in FCPA in the Biden Statement on Corruption edition.  Stories 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. Don't get caught up in endless internal investigations. Lloydette Bai-Marrow in the FCPA Blog. Biden Dumps PCAOB Board. Aaron Nicodemus and Kyle Brasseur in Complinace Week. (sub req'd) More on Caremark. Jeff Kaplan in the Conflict of Ethics Blog. What is conflict due diligence? Lawarence Heim in PracticalESG Blog. Can you measure a ‘speak-up' culture by the number of complaints? Martin Lønstrup in the FCPA Blog. Two former Chadean diplomats indicted for corruption. Mike Volkov in Corruption, Crime and Compliance. Are there smoking guns in your Board minutes? Terry Quimby in the Compliance Cosmos. Do you need a People Committee on your BOD? Reshmi Paul and Jeff McLean in Compensation In Context. Podcasts and Events 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. 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. 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. 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 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. 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.  Learn more about your ad choices. Visit megaphone.fm/adchoices

As the Astros (nearly) sweep the BoSox (in the Cheater's Bowl), we enter the 6th month of 2021, Jay and Tom take a look at this week's stories top compliance and ethics stories which caught their interest on This Week in FCPA in the Welcome to June edition.  Stories Compliance and goverance for NFTs. Ingrid Vasiliu-Feltes in XpertsLeague. Compliance risks in post-acquisition integration. Jennifer Fondrevay in the FCPA Blog. A collective response to ransomware attacks is needed. Jaclyn Jaeger reflects in Complinace Week. (sub req'd) Using stories to make your values stick. Brett Beasley in Notre Dame Delloite Center for Ethical Leadership. What is the cost of compliance? Thompson Reuters report, in CCI. Is AI up to AML work? Mayze Teitler explores in the Global Anti-Corruption Blog. Are echos of 2008 in the air? Mark Jensen and in Ian Roffman CCI. More charges still coming down from the Odebrecht case. Mike Volkov in Corruption, Crime and Compliance. Lessons for corp BODs from Exxon. Nell Minow the Havard Law School Forum on Corporate Governance. What is the status of your financial crimes compliance program? Frank Staelens in Risk and Compliance Platform Europe.  Podcasts and Events 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. 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 . 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. 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.  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 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. Learn more about your ad choices. Visit megaphone.fm/adchoices

As our thoughts turn towards Memorial Day and what it represents, we contemplate James Bond streaming on Amazon. Jay is now podcasting from a disclosed location, as he and Tom take a look at this week’s stories top compliance and ethics stories which caught their interest on This Week in FCPA in the Shaken Not Stirred edition.  Stories 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. Revisiting the FCPA Top 10. Harry Cassin in the FCPA Blog. GDPR turns 3. Neil Hodge reflects in Complinace Week. (sub req’d) Tom and Jonathan Armstrong podcast on Life with GDPR. More anti-trust troubling the world of chicken prodcuers. Mike Volkov in Corruption, Crime and Compliance. 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. How to lessen extortionware attacks. Rob Shavell in CCI. DFS fines two companies for data breachs. Paul Weiss lawyers in NYU’s Compliance and Enforcement Blog. Internal reporting is down. What does it portend? Andrew Burt in Navex Global’s Ethics Matters. Caremark Developments and the Imperative of Regular Risk Review. William Savittin the Havard Law School Forum on Corporate Governance. What is Bizzaro Malware? Jonathan Rusch explains in Dipping Through Geometries. Podcasts and Events In this episode of The Compliance Handbook, Tom has a great discussion with Hui Chen about her thoughts on the evolution of compliance. 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 . 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. 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.  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. Learn more about your ad choices. Visit megaphone.fm/adchoices

As the Rosen Family returns to DisneyLand, with Jay still podcasting from a still undisclosed location, he and Tom take a look at this week’s stories top compliance and ethics stories which caught their interest on This Week in FCPA in the Back to DisneyLand edition. Stories $28MM whistleblower award in FCPA case. Menqui Sun in the WSJ Risk and Compliance Journal. SEC Press Release. Will investigations on China become even more difficult? Helen Hwang and Eric Carlson in the FCPA Blog. Ephemeral messaging guidelines. Rebecca Cronin in JDSupra. What is moral equilibrium? Vera Cherepanova in the FCPA Blog. Great series on the VW monitorship. Aly McDevitt in Compliance Week Part 1, Part 2, Part 3, Part 4, Part 5 (sub req’d). Using neuroscience in leadership. Dr. David Rock in Flexworks. Corruption and soccer. In Risk and Compliance Platform Europe. Underarmour settles EC charges. Mike Volkov in Corruption, Crime and Compliance. How do you mind the data gap? SEC Commish Caroline Crenshaw in the Havard Law School Forum on Corporate Governance. Judge admonishes Paul Wiess and Alex Oh. Mike Volkov comments in Corruption Crime and Compliance. Podcasts and Events In this episode of Survive and Thrive, Tom and Korney Nordum discuss how to naviage an SEC review of your Code of Conduct. 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. In a special K2 Integrity Matters podcast, Tom visits with Gabe Hidalgo on the latest on cryptocurrencies and their issues. 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.  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. Learn more about your ad choices. Visit megaphone.fm/adchoices

Bitcoin goes on a wild ride this week with its buddy, Elon Musk. With Jay podcasting from a still undisclosed location, he and Tom take a look at this week’s stories top compliance and ethics stories which caught their interest on This Week in FCPA in the Musk and Bitcoin edition.  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. Learn more about your ad choices. Visit megaphone.fm/adchoices

With Jay back online, he and Tom take a look at this week’s stories top compliance and ethics stories which caught his interest on This Week in FCPA in the It’s a New Dawn edition. 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. Learn more about your ad choices. Visit megaphone.fm/adchoices

Jay is moving this week so he is 000. Tom takes a solo look at this week’s stories top compliance and ethics stories which caught his interest on This Week in FCPA. He is joined by special guests Dave Lefort to talk about the upcoming Compliance Week 2021 and Matt Kelly on Alex Oh.  Stories  Alex Oh resigns. Matt Kelly in Radical Compliance. What are 3 top BOD priorities? Maria Motes in CCI. Why compliance must understand business process. Mike Volkov in Corruption Crime and Compliance. Post pandemic business resiliance. Jim Deloach in CCI. What is location risk? Atul Vashistha in CCI. Investor due diligence on modern slavery. Subodh Mishra in the Havard Law School Forum on Corp Governance. ComEd as a wake up call. Vincent Wu in the Global AntiCorruption Blog. May is Internal Auditors Month. Navez Global’s Ethics and Compliance Matters Blog. German ups its AML game. Risk and Compliance Platform Europe. Want insight in WFH procrastion? Dick Cassin says look to writers, in the FCPA Blog. Podcasts and Events 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. 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. 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.  Join Tom and Jay at Converge21, the Workshop Edition, click here. Best of all, its free. 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. 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. 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. Learn more about your ad choices. Visit megaphone.fm/adchoices