Podcasts about fcpa blog

Episode #65 with Tom Fox & Malcolm Nance, plus Philip Rohlik This episode is devoted to discussing the recent executive order signed by US President Donald J. Trump instructing the Department of Justice to halt enforcement of the decades old, much-dreaded Foreign Corrupt Practices Act (FCPA) pending a one-year review. In our initial “Regulatory Ramblings Spotlight” segment, we speak with Philip Rohlik, an American attorney in mainland China with the law firm Debevoise & Plimpton to get a sense of what the president's decision means for Hong Kong and the broader Asia-Pacific. Following that, we have a lengthier chat on the global implications of President's Trump's move with Tom Fox, a veteran compliance and anti-corruption lawyer, noted FCPA specialist and podcaster, as well as Malcolm Nance, a former US naval intelligence officer, counterterrorism specialist and author. About the guests. Philip Rohlik is a counsel in the Shanghai office of Debevoise & Plimpton LLP. He is a member of the firm's White Collar & Regulatory Defense and International Dispute Resolution Groups whose practice focuses on international investigations, securities law and dispute resolution. He is recognized by “The Legal 500 Asia Pacific – Greater China” (2024-2025) for his anti-corruption and compliance practice and has been described as “very thorough and hands on," and "excellent investigation lawyer". Based in Asia since 2011, Philip leads the firm's dispute resolution team in Shanghai. He joined Debevoise in 2000, having received his J.D. magna cum laude from the New York University School of Law that same year. He received a B.A. summa cum laude with honors from St. Louis University in 1997. Tom Fox is based in West Texas and a prominent member of the compliance community and one of the most well-known legal practitioners when it comes to the FCPA. Over the past 15 years, he has been a general counsel and chief compliance officer. He is now an independent consultant, assisting companies with anti-corruption, anti-bribery compliance, and international transaction issues. He is also the author of the award-winning FCPA Compliance and Ethics Blog and the international best-selling book “Lessons Learned on Compliance and Ethics.” His podcasts have won numerous w3, Davey, Communicator, and Webby awards for podcasting excellence. Tom is the author of the seminal text “The Compliance Handbook,” now in its 5th edition published by LexisNexis. In addition to his blog and podcast, he is a columnist for “Corporate Compliance Insights” and a contributing editor to the “FCPA Blog.” He is a well-known and frequent speaker on compliance and ethics issues, social media use, and corporate leadership. In the interests of full disclosure, Tom is founder of the Compliance Podcast Network which also carries this program. Malcolm Nance is based in upstate New York. He was a 20-year veteran of the US Navy where he was an intelligence officer and cryptographer, and a Russian and Arab language specialist. In his capacity as a master chief, he was responsible for discipline all throughout the ranks. He is best known for his appearances on MSNBC where he warned about Russian interference in the run up to the 2016 and 2020 US Presidential elections. Malcolm is also a best-selling author – with his books “The Plot to Hack America,” “The Plot to Destroy Democracy,” “The Plot to Betray America” and most recently “They Want to Kill Americans” – all of which are well worth reading. Given the radical actions of the second Trump administration, his two most recent books seem eerily prescient. HKU FinTech is the leading fintech research and education in Asia. Learn more at www.hkufintech.com.

In deze aflevering spreken we met Abiola Makinwa - Principal Lecturer bij The Hague University en initiatiefnemer van de Integrity Digital Learning Module - over onder andere de strijd tegen corruptie en de handhaving hiervan. {see English text below}Wat heeft je belangstelling gewekt om je te focussen op de strijd tegen corruptie? Veel van je studenten beginnen de opleiding sceptisch tegenover de strijd tegen corruptie. Wat zorgt ervoor dat dit gedurende de opleiding veranderd? Waarom zijn de juiste incentives zo belangrijk in het tegengaan van corruptie? Wat heeft gezorgd voor een shift van de vraag naar aanbodzijde van corruptie? Wat zijn de ontwikkelingen op het gebied van handhaving? Wat zijn nieuwe benaderingen bij de handhaving van witteboordencriminaliteit? Hoe leiden we mensen op? Wat houdt de Integrity Digital Learning Module in? Welke toekomstige ontwikkelingen zie je in de strijd tegen corruptie? ***Relevant linksThe Integrity Digital Learning Module Acting Assistant Attorney General Nicole M. Argentieri Delivers Keynote Address at the 40th International Conference on the Foreign Corrupt Practices Act. Mining and commodities giant lands on the FCPA Blog top ten listA. Makinwa Current Trends in Foreign Bribery Investigation and Prosecution, United Nations FACTI Panel,20  June 2020***--> Volg de Compliance Adviseert Podcast via de Website en LinkedIn ---> Compliance Adviseert wordt mede mogelijk gemaakt door Hyarchis, Partner in Compliance, Deloitte en de Volksbank***English textIn this episode, we speak to Abiola Makinwa, Principal Lecturer at The Hague University and the initiator of the Integrity Digital Learning Module, discussing topics such as the fight against corruption and its enforcement.What sparked your interest in focusing on the fight against corruption? Many of your students begin skeptical about the fight against corruption. What leads to a shift in their perspective during the course? Why are the right incentives crucial in combating corruption? What has contributed to a shift from the supply side to the demand side of corruption? What are the developments in enforcement? What new approaches are emerging in the enforcement of white-collar crime? How do we educate and train individuals in this context? Could you elaborate on what the Integrity Digital Learning Module entails?What future developments do you foresee in the fight against corruption?

Hello, and welcome to episode 70 of the Financial Crime Weekly Podcast, I'm Chris Kirkbride. It's been a busy week this week, with plenty across sanctions, fraud, money laundering and cyber-attack news. Let's crack on. As usual, I have linked the main stories flagged in the podcast in the description. These are: Blackberry, Global Threat Intelligence Report: Actionable and Contextualized Intelligence to Increase Your Cyber Resilience.Council of the European Union, Statement by the High Representative on behalf of the EU on the alignment of certain third countries concerning restrictive measures against cyber-attacks threatening the Union or its Member States.Council of the European Union, Belarus: EU adopts new round of individual sanctions over continued human rights abuses and imposes further targeted measures in response to involvement in Russia's military aggression against Ukraine.European Commission, Russia's illegal war of aggression against Ukraine: EU agrees to extend the scope of sanctions on Belarus to fight circumvention.European Commission, Russia's illegal war of aggression against Ukraine: EU agrees to extend the scope of sanctions on Belarus to fight circumvention (press release).European Public Prosecutor's Office, Lithuania: Seven indicted for fraud involving livestock farming and wellness centre.European Public Prosecutor's Office, Germany: Eight indicted in connection with €80 million VAT fraud involving luxury cars.Financial Action Task Force, Jurisdictions under Increased Monitoring (i.e. "grey list").Financial Action Task Force, The United Arab Emirates' progress in strengthening measures to tackle money laundering and terrorist financing.Financial Conduct Authority, Financial watchdog wins civil case against Ponzi-like care home investment scheme. Judgment in the case: Financial Conduct Authority v Forster and Others [2023] EWHC 1973 (Ch).International Monetary Fund, Iceland: Financial Sector Assessment Program-Technical Note on Anti-Money Laundering/Combating the Financing of Terrorism.Joint Money Laundering Steering Group, JMLSG Guidance – Consultation – Cryptoasset transfers.Joint Money Laundering Steering Group, Cryptoassets Transfers (‘Travel Rule') Sector 22 Amended Guidance.Joint Money Laundering Steering Group, JMLSG publishes a revision to Part I Paragraph 5.3.89.National Cyber Security Centre, Sixth Annual Report: Active Cyber Defence.Office of Financial Sanctions Implementation, Financial Sanctions Notice: Russia (31/07/2023).Office of Financial Sanctions Implementation, Current list of designated persons: Russia.Office of Financial Sanctions Implementation, General Licence: GTLK Companies and their Subsidiaries – Insolvency related payments and activities (INT/2023/3263556).Office of Financial Sanctions Implementation, General Licences List.Office of Financial Sanctions Implementation, Publication of Mali Sanctions Regulations (press release).Office of Financial Sanctions Implementation, Mali Sanctions Regulations.Office of Financial Sanctions Implementation, Russian Oil Services ban: Guidance.Serious Fraud Office, Notice of Discontinuance: R v Bluu Solutions Limited and Tetris Projects Limited.The FCPA Blog, Creating an international anti-corruption court is a noble idea, but can it work?The Guardian, Former minister urges UK to back international anti-corruption court.UK government, National Risk Register 2023.US Department of Justice, Springfield Business Owner Pleads Guilty to $14 Million Fraud Scheme.US Department of Justice, Monroe County Man Charged With Committing Over $2.2 Million In Covid-19 Pandemic Fraud.US Department of the Treasury's Office of Foreign Assets Control, U.S. Treasury Targets Four Officials in Bosnia and Herzegovina for Undermining the Dayton Peace Agreement.US Department of the Treasury's Office of Foreign Assets Control, Treasury Designates Leaders and Financial Facilitators of ISIS and al-Qa'ida Cells in Maldives.US Securities and Exchange Commission, SEC Obtains Emergency Relief to Halt Utah-Based Company's Crypto Asset Fraud Scheme Involving 18 Defendants.

Your host, Sri Chellappa, talks with the Founder of Compliance Podcast Network, Tom Fox. Over the past 15 years, Tom has been a General Counsel and Chief Compliance Officer. He is now an Independent Consultant, assisting companies with anti-corruption, anti-bribery compliance, and international transaction issues. He specializes in bringing business solutions to compliance problems.In addition to his blog and podcast, he is a columnist for Corporate Compliance Insights and a Contributing Editor to the FCPA Blog. He is a well-known and frequent speaker on compliance and ethics issues, social media use, and corporate leadership. Tom is both the Voice of Compliance and Compliance Evangelist.To learn more about Tom's work, click HERE and HERE.Think you'd be a great guest on the show? Apply HERE.Want to learn more about Sri's work at Engagedly? Check out his website at https://engagedly.com/.

In today's edition of Daily Compliance News: ·       DOJ moving to prevention in white collar crime.  (WSJ) ·       Corrupt former Herbalife exec defaults on SEC suit. (WSJ) ·       Corruption will ruin your life. (FCPA Blog) ·       Is the PGA anti-competitive? The DOJ is asking. (NYT) Learn more about your ad choices. Visit megaphone.fm/adchoices

In today's edition of Daily Compliance News: ·      Estee Lauder exec fired for racial social media post. (WSJ) ·      Widespread corruption under Zuma detailed.   (FT) ·      Sanctions as corruption super-spreader. (FCPA Blog) ·      If you are a bigamist, can you claim a spousal privilege. (Law360)  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

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

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 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

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

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

In the Episode, I visit with Asher Miller, a Compliance Consultant and Business Law Expert. Miller advises some of Israel's major corporations in the areas of anti-corruption, anti-money laundering and compliance of all areas, while combining deep knowledge in international contracting, specializing in the government and defense sectors. Miller joins me to discuss the current state of compliance in Israel.  Some of the highlights include: What are the types of legal/compliance services offered by the Miller Law Group? Miller been at the forefront on the dangers of bribery and corruption for Israeli businesses. Does that message resonate with companies in Israel? How does Miller assess the state of anti-corruption/anti-bribery compliance in Israel? Miller has written about the lessons learned from the Goldman Sachs FCPA settlement and the Airbus international anti-corruption settlement in the FCPA Blog. Do those messages resonate to your clients/potential clients? Miller’s piece on Goldman Sachs had one of the greatest compliance lines ever, "Like in poker, if you can’t spot the fool around the table, it’s probably you." How did it relate to the Goldman settlement and what lesson should a compliance professional draw from it? How was the Teva FCPA settlement received by Israeli companies? Early in the Coronavirus Health Crisis Miller wrote the article “Corruption Compliance in COVID times – What’s the Exit Strategy?” We are now at 10 months later, has his assessment changed?  Resources Check out Miller’s law firm here. Learn more about your ad choices. Visit megaphone.fm/adchoices

It is certainly a challenging time for the American Democracy. For his high crimes and misdemeanors against the Constituion and American democary, President Trump has now been impeached for a second time. In the midst of the this, Tom and Jay are back to look at some of the top compliance articles and stories which caught their eye this week.  1.     Recidivist Deutsche Bank settles a second FCPA matter. Tom takes a 5-part deep dive on the FCPA Compliance and Ethics Blog. Matt Kelly looks at red flags and internal controls on Radical Compliance. Tom and Matt take a deep dive on Compliance into the Weeds.  2.     How the FCPA is big business. Harry Cassin explains in the FCPA Blog. 3.     Is an industry sweep headed your way? Dick Cassin explains in the FCPA Blog.  4.     Why you should welcome the NDAA? Matthew Stephenson in GAB. Jonathan Marks on Board and Fraud. 5.     How to use KPIs in your compliance program. Vera Cherapanova in the FCPA Blog.  6.     What are your Board resolutions for 2021? Steve Durbin in CCI.  7.     2020 was a year of ethical challenges. Mike Volkov explains in Corruption Crime and Compliance. 8.     What are the C-Suite challenges brought on by Coivd-19? Shanil Williams in CCI. 9.     A new month is here and a new guest on The Compliance Life. Gwen Hassan- Director of Compliance at CNH Industrial. In this month’s second episode, In this second episode, we take up the tricky issue of balancing a role as a legal eagle for the company as well as her role in compliance. We also explore the different skill set needed for each of these careers and how it is possible to have both in one person. Check out the episode here.  10.  This month, on 31 Days to a More Effective Compliance Program, I look back over 2020 and set out some of the key enhancements you need to do for your compliance program in 2021. Day 9 | 360 Degrees of Compliance Communications; Day 10 | The Use of Social Media in Compliance; Day 11 | What is Effective Compliance Training?; Day 12 | Financial Incentives for Compliance; Day 13 | Institutional Justice and Fairness; Day 14 | Risk Assessments; and Day 15 | How do you evaluate a risk assessment?. Note 31 Days to a More Effective Compliance Program now has its own iTunes channel.  11.  Join Tom on the Convercent event, “Future-proof your compliance program for 2021”, on Wednesday, January 20th | 11:00 am -1:00 pm ET. For details and registration, click here.  12.  Join K2 Integrity on January 27 to hear Olivia Allison and Joanne Taylor discuss the latest E U regulatory developments in whistleblowing programs and investigations. Information and Registration here. 13.  Compliance Week is accepting nominations for its Excellence in Compliance Award. Submit your nominee here.  Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com. Learn more about your ad choices. Visit megaphone.fm/adchoices

As Joe Biden is formally elected President by the Electoral College and the Covid-19 vaccine arrives in spite of blunders by the Trump Administration; Tom and Jay are back to look at some of the top compliance articles and stories which caught their eye this week. The Good, the Bad and the Missing. Dick Cassin with his three top stories in 2020 on the FCPA Blog. Are you ready for the EU Whistleblower Directive? Cédric Dubar considers in the FCPA Blog. Using data analytics for the BOD and still satisfying the regulators. 6 CCOs opine in Compliance Week (sub req’d) What are 7 principles of ethical leadership? Yonason Goldson in CCI. Leadership failures around sexual harassment at Ft. Hood. Matt Kelly on Radical Compliance. Tom and Matt take gut-wrenching deep dive on Compliance into the Weeds, with special guest Diane St. Ives, who relates her experiences from 40 years ago. The SEC and SARs. Thomas Gorman on SEC Enforcement Congress approves new AML law. Jack Hagel in the WSJ Risk & Compliance Journal. Ephemeral messaging. Debevoise and Plimpton Data Blog. A new month is here and a new guest on The Compliance Life. Kim Yapchai, Chief Counsel - Environmental, Social & Governance at Tenneco Inc. In this week’s third episode, Kim moves into the CCO chair. Check out the episode here. Check out the full series here. My podcast with Mikhail Reider-Gordon on Wirecard was so popular we spun it out into its own series, The Wirecard Saga. Check out the latest episode, Who Watches the Watchers.   On 31 Days to a More Effective Compliance Program, we consider Training and Communications. Monday, Communication through persuasion; Tuesday- Multiplying the influence of compliance; Wednesday- Communicating Across Cultural Boundaries; Thursday- Asking questions to boost your compliance program; Friday- Twitter and 360-degrees of communication. Note 31 Days to a More Effective Compliance Program now has its own iTunes channel. Interested in podcasting? Find out the top trends with this replay of Tom and Megan Dougherty of One Stone Creative in their webinar on the State of Podcasting 2020. Listen to the full webinar here. Want some pointers on designing and starting a podcast, check out this great new report from Megan Dougherty, co-founder of my producing team at One Stone Creative, The State of Business Podcasts, 2020. Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com. Learn more about your ad choices. Visit megaphone.fm/adchoices

As TrumpLand continues to live in fantasy and denial, going 1-55 in lawsuits while over 3000 American die daily from Covid-19; Tom and Jay are back to look at some of the top compliance articles and stories which caught their eye this week.  The Vitol FCPA enforcement action. Tom takes a deep dive on the FCPA Compliance and Ethics Blog. Part 1, Part 2, Part 3, Part 4. Mike Volkov has a 3-part series on Corruption Crime and Compliance. Is the SEC whistleblower program too opaque? Harry Cassin considers in the FCPA Blog. AML reform and a new whistleblower law. Matt Kelly considers in Radical Compliance. Tom and Matt go into the weeds in the latest episode of Compliance into the Weeds. Is the SEC discouraging whistleblowers under Dodd-Frank. Mengui Sun explores in the WSJ Risk and Compliance Journal. Where did the Cheesecake Factory go wrong? Sara Kropft in the Grand Jury Target. 5 Compliance Triumphs from 2020? Kyle Brausser in Compliance Week. (sub req’d) GDPR compliance challenges in 2021. Steve Horvath in CCI. China-US audit showdown? Michael Rapoport reviews in The Dig. A new month is here and a new guest on The Compliance Life. Kim Yapchai, Chief Counsel - Environmental, Social & Governance at Tenneco Inc. In this week’s second episode, we take up the in-house roles In Kim held on her road towards the CCO chair. Check out the series here. My podcast with Mikhail Reider-Gordon on Wirecard was so popular we spun it out into its own series, The Wirecard Saga. Check out the latest episode, Dirty Deeds Down Under.   On 31 Days to a More Effective Compliance Program, we consider Training and Communications. Monday, Sharing to 360-degrees of communication Tuesday- Speical Guest Vin DiCianni on Compliance and the clash of cultures.Wednesday- Using 360 Degree of Compliance to Tell a Story; Thursday- Using Communications to Drive a Speak Up Culture; Friday- Using communications to foster your compliance brand. Note 31 Days to a More Effective Compliance Program now has its own iTunes channel. If you want to binge out and listen to only these episodes, click here.  Check out the a replay of London Stock Exchange event which featured Tom, Neta Meidav, CEO, Vault Platform and Maxine Gee, Chief Risk Officer - UK Capital Markets LSE on why culture drives compliance. You can view and listen to it here. Join K2 Integrity for two great events in December. On Dec. 14, they host a webinar on “Proliferation Financing: Risks, Threats, and Mitigation.” The webinar will explore critical issues around understanding and combatting the financing of WMD proliferation. https://bit.ly/2VujK1O.  On December 17, DOLFIN and K2 Integrity’s financial crimes compliance experts will host their latest “Ask an Expert FINQuiry” webinar. Expect answers to questions on topics such as: the latest developments in AML/CFT, sanctions, fraud, anti-bribery and corruption, and export controls; financial integrity risks related to the global pandemic; and regionally focused financial crime risks. https://bit.ly/39zzhFP Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com. Learn more about your ad choices. Visit megaphone.fm/adchoices

As TrumpLand continues to live in fantasy and denial, we are on the 50-day countdown to the Biden Inauguration. Tom and Jay are back after the Thanksgiving holiday to look at some of the top compliance articles and stories which caught their eye this week.  Are compliance certifications worth it? Jeff Kaplan thinks so and says so in the FCPA Blog. Does Zoom portend more FTC enforcement actions? Matt Kelly thinks so in Radical Compliance. More issues in domestic corruption for pharma? Mike Volkov takes a look in Corruption Crime and Compliance. Avoiding COIs during the holidays. Rick Burt in Navex Global’s Risk and Compliance Matters. Did France make U-turn on corporate liability? Lawyers from Debevoise explore in NYU’s Compliance and Enforcement Journal. Swiss begin SBM Offshore corruption investigation? Jaclyn Jaeger in Compliance Week. (sub req’d) What is the scope of the FCPA Internal Controls provisions? Lawyers from Shearman & Sterling discuss in JDSupra. How can a Board of Directors use data? James Howard in the Harvard Law School Forum on Corporate Governance. A new month is here and a new guest on The Compliance Life. Kim Yapchai, Chief Counsel - Environmental, Social & Governance at Tenneco Inc. In this week’s first episode we consider Kim’s undergraduate degree in economics and how this informed her decisions which led her down the path to the CCO chair. Check out the series here. My podcast with Mikhail Reider-Gordon on Wirecard was so popular we spun it out into its own series, The Wirecard Saga. Check out the latest episodes here. On 31 Days to a More Effective Compliance Program, we consider Training and Communications. Tuesday- Introduction to Training and Communications.Wednesday- Social media is a 360-degree communication strategy; Thursday-Using social media to innovate in compliance; Friday- the D&B experience with social media and 360 degrees of communications. Note 31 Days to a More Effective Compliance Program now has its own iTunes channel. If you want to binge out and listen to only these episodes, click here.  Learn more about your ad choices. Visit megaphone.fm/adchoices

Welcome to the newest addition to the Compliance Podcast Network, Compliance and Coronavirus. As the Voice of Compliance, I wanted to start a podcast which will help to bring both clarity and sanity to the compliance practitioner and compliance profession during this worldwide health and healthcare crisis. In this episode, I am joined by Sundar Narayanan, Director at Nexdigm. We explore a recent blog post by Narayanan on the FCPA Blog, Compliance officers can be pillars of empathy during the outbreak. Resources For additional reading see Compliance officers can be pillars of empathy during the outbreak For more information on Nexdigm, see their website For more information on Sundar Narayana, see his Linkedin profile  This podcast is sponsored by SAI Global. To learn how you can protect your business operations and workforce during these uncertain times, visit saiglobal.com/risk for free resources, expert guidance, and industry-leading technology.

As Emperor Trump says that only he can decide when the country will re-open for business and Congress can adjourn and the lads note the passing of Brian Dennehy, self-distancing Tom and Jay are back to consider some of the top compliance articles and stories which caught their eye this week.  1.     Former Goldman exec charged with FCPA violations. Harry Cassin breaks the story in the FCPA Blog. Matt Kelly says Goldman Sachs got a great outcome, in Radical Compliance.  2.     How beliefs impact mindset. Jaclyn Jaeger reviews both angles in Compliance Week.  3.     What will happen to ‘Made in China”? Dick Cassin explores in the FCPA Blog. 4.     What steps can be taken to fight corruption in the response to Coronavirus. Sarah Steingrüber in the Global Anti-Corruption Blog. 5.     What FCPA landmines are lurking beneath COVID-19? Scott Roybal in National Law Review.  6.     Does the Coronavirus health crisis hobble monitors? Mengqi Sun in the WSJ Risk and Compliance Journal. 7.     BAT under investigation for export control violation.  Mengqi Sun in the WSJ Risk and Compliance Journal.  8.     What might a national US privacy law look like? Logan Finucan in CCI. 9.     What do scam PACs and Coronavirus have in common? Sara Kropf explores on Grand Jury Target. 10.  On Compliance and Coronavirus this week: Abikoff and Huneke on why neither enforcement nor compliance ever sleep; Ryan Wilkins on corp governance issues during COVID-19; Tricia Cornell on why new and different time horizons during the coronavirus crisis. 11.  The Everything Compliance gang is back with a look at compliance and coronavirus. Check it out on iTunes here.   12.  On the Compliance Podcast Network, Tom concludes a month of looking at the role of innovation in compliance And opens a month of exploring continuous improvement, all on 31 Days to a More Effective Compliance Program. This week saw the following offerings: Monday-the Culture Audit;  Tuesday-the Fraud Audit; Wednesday-the Integrity Audit; Thursday-the Mock Audit;  Friday-Monitoring for continuous improvement. Note 31 Days to a More Effective Compliance Program now has its own iTunes channel. If you want to binge out and listen to only these episodes, click here. This month’s sponsor is Affiliated Monitors, Inc.  Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com. Learn more about your ad choices. Visit megaphone.fm/adchoices

Welcome to the newest addition to the Compliance Podcast Network, Compliance and Coronavirus. As the Voice of Compliance, I wanted to start a podcast which will help to bring both clarity and sanity to the compliance practitioner and compliance profession during this worldwide health and healthcare crisis. In this episode, I am joined by Kevin Abikoff and Mike Huneke, from Hughes, Hubbard and Reed. We discuss their recent blog post on the FCPA Blog, There is no Covid-19 defense to corruption.  Check out their blog post on the FCPA Blog, by clicking here. This podcast is sponsored by SAI Global. To learn how you can protect your business operations and workforce during these uncertain times, visit saiglobal.com/risk for free resources, expert guidance, and industry-leading technology.

As the lads fire up to celebrate their 200th show, they mourn the passing of John Prine, self-distancing Tom and Jay are back to consider some of the top compliance articles and stories which caught their eye this week.  1.     Mike Volkov with a two-part tribute to his great mentor, Stanley Sporkin. On Corruption Crime and Compliance, Part 1 and Part 2.  2.     How beliefs impact mindset. Linda Henman in CCI. 3.     Some coronavirus considerations. For Board, on the D&O Diary and from the front lines on the FCPA Blog. 4.     Stepping up your DD game during coronavirus. Jason Chang in the FCPA Blog.  5.     FINMA reports highlights AML risk. Jonathan Rusch in Dipping Through Geometries.  6.     Don’t be a Covidiot engaging in Covidocity. Matt Kelly in Radical Compliance. Tom and Matt take a deep dive in Compliance into the Weeds.   7.     Compliance Week announces finalists for Excellence in Compliance Awards. Round One and Round Two. Special congrats to Carrie Penman.  8.     Man update on COVID-19 and D&O Insurance. Kevin LaCroix on the D&O Diary. 9.     Be careful out there, the bad guys are watching. Ahsan Habib in Risk and Compliance Platform Europe.  10.  On Compliance and Coronavirus this week: Peter Eyre on navigating the choppy legal and regulatory waters; Eric Feldman on the importance of culture assessments during COVID-19; Mike Cherkasky on why coronavirus truly is a crisis; Mary Shirley and Lisa Fine ruminate on their professional and personal lives. 11.  The Compliance Life premiers on the Compliance Podcast Network.  12.  On the Compliance Podcast Network, Tom concludes a month of looking at the role of innovation in compliance And opens a month of exploring continuous improvement, all on 31 Days to a More Effective Compliance Program. This week saw the following offerings: Monday-designing a process for continuous monitoring;  Tuesday-Auditing of 3rd Parties; Wednesday-Continuous Improvement in Compliance; Thursday-the Compliance Audit;  Friday-Supply Chain audits. Note 31 Days to a More Effective Compliance Program now has its own iTunes channel. If you want to binge out and listen to only these episodes, click here. This month’s sponsor is Affiliated Monitors, Inc.  Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com. Learn more about your ad choices. Visit megaphone.fm/adchoices

Searching for non-coronavirus related stories, self-distancing Tom and Jay are back to consider some of the top compliance articles and stories which caught their eye this week.  1.     What were the FCPA enforcement highlights from Q1? Harry Cassin reports in the FCPA Blog.  2.     Instilling trust in uncertain times. Bob Conlin in Navex Global’s Ethics and Compliance Matters blog.  3.     Can 2008 be used as a guide for Boards in this economic downturn? Mark Gerstein and Christopher Drewery in the Harvard Law School Forum on Corporate Goverance.  4.     Why must you be ever vigilent about fraud during an economic downturn. Jonathan Marks on Board and Fraud.  5.     Managing digital disruption, part 2. Jim DeLoach in CCI. 6.     Morrisons skates massive data breach liability in UK. Cordery Compliance Client Alert.  7.     Trump evisceration of EPA puts companies in ethical dililemma. Jaclyn Jaeger in Compliance Week.  8.     Marriott has data breach of 5.2MM guests. Aaron Nicodemus in Compliance Week.  9.     A whistleblower award goes to a compliance professional. Matt Kelly in Radical Compliance.  10.  On the Compliance Podcast Network, Tom concludes a month of looking at the role of innovation in compliance And opens a month of exploring continuous improvement, all on 31 Days to a More Effective Compliance Program. This week saw the following offerings: Monday-Innovation in Compliance Leadership; Tuesday-What Does Innovation in Compliance Look Like?; Wednesday-Continuous Improvement in Compliance; Thursday-the Compliance Audit;  Friday-Internal Audit and Continuous Improvement. Note 31 Days to a More Effective Compliance Program now has its own iTunes channel. If you want to binge out and listen to only these episodes, click here. This month’s sponsor is Affiliated Monitors, Inc.  Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com. Learn more about your ad choices. Visit megaphone.fm/adchoices

While the coronavirus dominated the news this past week, compliance doesn’t sleep and neither did we. Self-distancing Tom and Jay are back to consider some of the other top compliance articles and stories which caught their eye this week.  1.     Compliance Week has a plethora of articles relating to Coronavirus. Aaron Nicodemus considers why ethics pays; Jaclyn Jaeger on designing a crisis management plan and Dave Lefort on why ethical leadership is even more critical now.  2.     Chilling from home? Dick Cassin offers some good compliance-related movies for socially distanced compliance professionals in the FCPA Blog.  3.     Revisiting inherent conflicts of interest. Jeff Kaplan in the Conflict of Interest Blog.  4.     Coronavirus is no excuse for not being vigilant. Kevin Abikoff and Mike Huneke in the  FCPA Blog. 5.     Charles Middleton says we should stop blackballing whistleblowers. In CCI. 6.     What are MLATs and are they abused? Dave Michaels and Aruna Viswanatha in the WSJ Risk and Compliance Journal.  7.     Mike Volkov takes a deep dive into an Anti-Trust Compliance Program in a 3-part series on Corruption, Crime & Compliance. Part 1-Risk Assessments, Part 2- Ethical Culture and Monitoring, Part 3- Training and Speak Up and Reporting Systems. 8.     What’s the Board’s role in the coronavirus crisis? Jonathan Marks in the BoardandFraud Blog.  9.     Is Managerial Entrenchment Always Bad and Corporate Social Responsibility Always Good? In the Harvard Law School Forum on Corporate Governance.  10.  Reflections on the Golden Boy from Jay.  11.  On the Compliance Podcast Network, Tom opens a new month by looking at the role of innovation in compliance on 31 Days to a More Effective Compliance Program. This week saw the following offerings: Monday-the Digital Twin and P&L of One; Tuesday-Superforecasting; Wednesday-blockchain for compliance; Thursday-Design Thinking for compliance;  Friday-AI as a competitive advantage. Note 31 Days to a More Effective Compliance Program now has its own iTunes channel. If you want to binge out and listen to only these episodes, click here. This month’s sponsor is Affiliated Monitors, Inc.  Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com. Learn more about your ad choices. Visit megaphone.fm/adchoices

As the new Wells Fargo CEO tells Congress that things are really different this time, Tom and Jay reflect on the corporate scandal that may well never end and consider some of the other top compliance articles and stories which caught their eye this week.  1.     Compliance Week has a plethora of articles relating to Wells Fargo. Aaron Nicodemus considers the testimony of Charlie Scharf; Jaclyn Jaeger on Lessons Learned and Board resignations. (Even though a subscription is required for these articles, if you go to Compliance Week site and register for a free account to view four articles at no charge.) 2.     John Wood Group reserves $46MM for anti-corruption settlement. Dylan Tokar in the WSJ Risk and Compliance Journal. 3.     Is unified transaction monitoring a paneca? Sujata Dasgupta explains in CCI. 4.     Is every email a FCPA violation? Bill Steinman asks in the FCPA Blog. 5.     OCC issues some excellent guidance around 3rd parties. Matt Kelly considers in Radical Compliance.  6.     Wow moments in compliance, Part 4. Geert Vermeulen continues his 5-part series in Risk and Compliance Platform Europe.  7.     What are the dangers of a hyper-focused sales culture? Mike Volkov explores in Corruption, Crime & Compliance. 8.     Supply Chain and coronavirus. Global Supply Chain Blog.  9.     Economic crime levy in UK. Jonathan Rausch considers in Dipping Through Geometries.  10.  Banks behaving badly, parts 3088 and 3089. SwedBank and Fifth Third.  11.  On the Compliance Podcast Network, Tom opens a new month by looking at the role of innovation in compliance on 31 Days to a More Effective Compliance Program.This week saw the following offerings: Monday-Compliance capabilities needed to use AI programs; Tuesday-4 practices for delivering an AI solution; Wednesday-Finding compliance patterns in raked leaves; Thursday-Using AI in compliance contracting;  Friday-taming complexity in compliance. Note 31 Days to a More Effective Compliance Program now has its own iTunes channel. If you want to binge out and listen to only these episodes, click here. This month’s sponsor is Affiliated Monitors, Inc.  Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com. Learn more about your ad choices. Visit megaphone.fm/adchoices

As the blowback on the Astros, MLB, Commisioner Rob Manfred continues to get worse, Jay and Tom are back to consider some of the top compliance articles and stories which caught our eye this week.  1.     Airbus still making news. Asher Miller provides 5 key takeaways for the compliance practitioner in the FCPA Blog. Dylan Tokar reports on more follow on investigations in the WSJ Risk & Compliance Journal. Joanne Taylor joins Tom on the FCPA Compliance Report to consider the UK perspective. Tom considers the French enforcement perspective in the FCPA Compliance and Ethics Blog. 2.     Another sentencing in the PdVSA ongoing bribery scandal. See the DOJ Press Release. 3.     What are WOW moments in compliance? Geert Vermeulen begins a 5-part series in Risk and Compliance Platform Europe.  4.     How do compliance officers show their worth? Dick Cassin explain in the FCPA Blog.  5.     Is it time to rebalance your 3rd party risk management strategy? Mike Volkov reports in Corruption Crime and Compliance. Mike writes about the importance of classifying your 3rd parties in Navex Global’s Ethics & Compliance Matters blog.  6.     Is the tide turning against whistleblowers? Aaron Nicodemus explores in Compliance Week. (sub req’d) 7.     Civil damages for corruption claims? Rick Messick considers on the Global Anti-Corruption Blog. 8.     New round of Alstom employee indictments. Dick Cassin reports in the FCPA Blog.   9.     What is a moral hazard moment? Jeff Kaplan explains on the Conflict of Interest blog.  10.  On the Compliance Podcast Network, Tom begins a one month look at the role of HR in compliance on 31 Days to a More Effective Compliance Program.This week saw the following offerings: Monday-succession planning and compliance; Tuesday-compliance performance appraisal review; Wednesday-Hiring a CCO: developing a job profile; Thursday-sales incentives and compliance; Friday-the exit interview. Note 31 Days to a More Effective Compliance Program now has its own iTunes channel. If you want to binge out and listen to only these episodes, click here.  11.  Join Tom to watch Jay on the panel with other compliance experts in the Dow Jones Refining Compliance Risk event in Hosuton on Tuesday, February 25 from 10 AM to 12 PM. For information and registration click here.   12.  Join Tom in NYC on Thursday, March 12 as Convercent is hosting an Innovation Forum from 3:30-7 PM at Sabrina. This event will allow you to network with like-minded individuals within the ethics and compliance space and hear from Thomas Fox and Philip Winterburn as well. For more information and registration click here.  Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com. Learn more about your ad choices. Visit megaphone.fm/adchoices

In today’s edition of Daily Compliance News: ·       More Alstom indictments. (FCPA Blog) ·       Another sentencing in the PdVSA ongoing bribery scandal. DOJ Press Release.  ·       France looking deeper into Carlos Ghosn. (WSJ) ·       Trump says he’s the top law enforcement official in US. (NYT) Learn more about your ad choices. Visit megaphone.fm/adchoices

As Jim Crane apologizes for the Astro cheating by announcing to the world the Astros were the best team in 2017 so go pound sand if you don’t like it, Jay and Tom are back to consider some of the top compliance articles and stories which caught our eye this week.  1.     Trump orders DOJ to cut Roger Stone sentence recommendation. Eileen Sullivan in the NYT. Sara Kropf considers the legal angle for defense attorney’s in Grand Jury Target.   2.     Is data privacy a lifestyle? Jessica Wilburn explores in Navex Global’s Ethics and Culture Matters blog.  3.     Compliance budgets are getting tighter. Matt Kelly considers in Radical Compliance. Tom and Matt take a deep dive in Compliance into the Weeds.  4.     Britain and France’s cooperation in the Airubs investigation and enforcement action. Branislav Hock in Risk and Compliance. 5.     Game changes in compliance training. Jaclyn Jaeger in Compliance Week. (sub req’d) 6.     What is the power of proactive monitoring? Jay explores in CCI. 7.     Worried about CCO liability? Matt Kelly explores on Radical Compliance. 8.     Wistful thinking that FCPA enforcement going away. Bill Steinman in the FCPA Blog.   9.     Why Board governance around compliance must change. Mike Volkov on Corruption Crime and Compliance.  10.  On the Compliance Podcast Network, Tom begins a one month look at the role of HR in compliance on 31 Days to a More Effective Compliance Program.This week saw the following offerings: Monday-6 core principles for compliance incentives; Tuesday-designing comp to incentivize compliance; Wednesday-exec comp and compliance incentives; Thursday-sales incentives and compliance;  Friday-instituional justice and fair process. Note 31 Days to a More Effective Compliance Program now has its own iTunes channel. If you want to binge out and listen to only these episodes, click here.  Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com. Learn more about your ad choices. Visit megaphone.fm/adchoices

Reports are that Airbus would settle corruption allegations for nearly $4bn in England were correct. Jay and Tom are back to consider some of the top compliance articles and stories which caught our eye this week.  1.     Airbus commentary is out. Dick Cassin on the FCPA Blog, Mike Volkov on Corruption Crime and Compliance, Tom Fox on the FCPA Compliance and Ethics Blog and Jonathan Armstrong on Cordery Compliance all lead the discussion.  2.     COSO warns of siloed compliance. Kristin Broughton in the WSJ Risk and Compliance Journal.  3.     Odebretch extends monitorship 9 months. Will that be enough? Mengqi Sun explores.  4.     What about small annual changes in the TI-CPI? Matthew Stephenson goes diadic.   5.     Is new DOJ Guidance a sword or shield or both? Jay continues his series.  6.     How to grow your compliance program as your company scales. Gio Gallo explains.   7.     Worried about CCO liability? Matt Kelly explores. 8.     Bernie Ebbers passes. A moment of silence for his role in compliance.  9.     Speaker programs and big pharma. WilmerHale lawyers opine.  10.  On the Compliance Podcast Network, Tom begins a one month look at the role of HR in compliance.This week saw the following offerings: Monday-introduction to the role of HR in compliance; Tuesday-the role of HR in creating an ethical culture; Wednesday-the hiring process; Thursday-the reference check. Friday-incentivizing compliance. Note 31 Days to a More Effective Compliance Program now has its own iTunes channel. If you want to binge out and listen to only these episodes, click here.  11.  Join Tom for the webinar, The Houston Astros: Ethics, Compliance and Sign Stealing on  Thursday February 13, at 2 PM CST. Registration and information here.  Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com. Learn more about your ad choices. Visit megaphone.fm/adchoices

Will another Kleptocrat lose ill-gotten gains? Jay and I are back to consider some of the top compliance articles and stories which caught our eye this week. We give some final thoughts on the Astros sign stealing scandal, at least until the MLB Report on the Red Sox comes out.  1.     Africa’s richest woman, Isabel Dos Santos, accused of massive looting of Angola during her father’s reign.  2.     Tom wraps up his multipart series on the Astros sign stealing scandal; Part 4-The Truth of the Game, Part 5-the Whistleblower and Amensty and Part 6-the Scarlet C. Tom and Matt take a deep dive in this week’s Compliance into the Weeds.  3.     Mike Volkov takes a look at the year in OFAC enforcement.  4.     How can you use the Benczkowski Memo internally? Jay explores in his CCI series.  5.     Latest Edleman Report shows trust going down. Matt Kelly explores in Radical Compliance.  6.     How does the DOJ draft new policies? Clara Hudson reports on Matthew Miner speech in GIR. 7.     Five men indicted in massive crypto-currency scheme. Jonathan Marks on the lessons learned in his Board and Fraud blog.  8.     Lawyers from Skadden Arps compare and contrast UK and French guidance on cooperation. In NYU’s Compliance and Enforcement Blog.  9.     Was the SFO’s internal guidance a missed opportunity? Aziz Rahmen thinks so, in the FCPA Blog.  10.  On the Compliance Podcast Network, Tom continues his 31 Days to a More Effective Compliance Program series. 31 Days to a More Effective Compliance Program now has its own iTunes channel. If you want to binge out and listen to only these episodes, click here.  Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com. Learn more about your ad choices. Visit megaphone.fm/adchoices

Jay and I are back to consider some of the top compliance articles and stories which caught our eye this week. Of course, we look into the MLB sign-stealing scandal which has embroiled the Houston Astros, may embroil the Boston Red Sox and let to the Mets firing their newest manager before he managed one game.  1.     MLB lays down the hammer on the Astros. Are the Red Sox next? Tom’s multipart series. His cognitive dissonance is explored in the FCPA Blog.  2.     Mike Volkov says its time to move from reactive to proactive compliance, in a 3-part series on Corrruption Crime and Compliance.  3.     What do DOJ changes mean for the compliance practitioner? Jay explores in his CCI series.  4.     What is the SEC Enforcement Network? Verity Winship explains in NYU’s Compliance and Enforcement Blog.  5.     Will the Fraud Section now refocus on commodities trading cases? Aitan Goelman in NYU’s Compliance and Enforcement Blog.  6.     What are Red Flags? Gini Dietrich explains in Spin Sucks. Harry Cassin says look out for expensive watches, in the FCPA Blog.  Corporate governance and behavioral ethics in the Harvard Law Review on Corporate Governance.  8.     The trouble with transparency. Vera Cherepanova explains in the FCPA Blog.  9.     How Queen informs your compliance program (Hint: Pressure). Matt Kelly, the coolest guy in compliance in Radical Compliance.  10.  On the Compliance Podcast Network, Tom continues his 31 Days to a More Effective Compliance Program series.This week saw the following offerings: Day 13 reviews institutional justice ; Day 14considers risk assessments; Day 15 looks at evaluating a risk assessment; Day 16 details the 3rd party risk management process; Day 17 explains how to manage a 3rd party. Note 31 Days to a More Effective Compliance Program now has its own iTunes channel. If you want to binge out and listen to only these episodes, click here.  Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com. Learn more about your ad choices. Visit megaphone.fm/adchoices

Jay and I take things in a different direction this week. We consider some of the year end wrap ups and pontifications of the future that recently caught our collective eyes. Jay reflects on the greatest pro football dynasty of alltime, how it got there and where it may be going.   Tom goes all in on looking back and looking forward. DOJ year in review. SEC year in review. Issues for compliance professionals for 2020. Bribery schemes from 2019, and responses to these bribery schemes. Matt Kelly provides his take on 7 issues for 2020. Tom and Matt go into the weeds for Part 1 on a 2-part podcast series on the veiled land of the future in Compliance into the Weeds. Mike Volkov does a podcast on the FCPA review in review. He also has three blog post, -1-a record setting year, 2-FCPA Enforcement Highlights and 3-Carnac the Magnificent. Ten top D&O stories from 2019. Kevin LaCroix on the D&O Diary. 2020 will see the convergence of ABC and human rights compliance. Allison Taylor in the FCPA Blog. The year in export trade control (and a look forward). Dave Lefort weighs in from the EIC perspective. In Complaince Week (sub req’d) The Gibson Dunn 2019 FCPA Review is out. On the Compliance Podcast Network, Tom continues his 31 Days to a More Effective Compliance Program series.This week saw the following offerings: Day 6 details the Code of Conduct ; Day 7considers policies and procedures; Day 8 looks at internal controls; Day 9 looks at 360 degrees of compliance communications; Day 10looks at the use of social media in compliance. Is the Patriots Dynasty over? Does Jay come to mourn TB12 or to praise him. Our thoughts on the greatest professional football dynasty of all time. Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com. Learn more about your ad choices. Visit megaphone.fm/adchoices

As Boeing finally takes a much-needed step and fires confrontational CEO, Dennis Muilenburg, Tom and Jay are recovered enough from their respective holiday food comas to consider some of this holiday week’s top compliance and ethics stories which caught their collective eyes.  1.     Boeing CEO (finally) fired. Natalie Kitroeff and David Gelles report on his missteps in NYT. Andy Pasztor, Doug Cameron and  report on his replacement in the WSJ. Tom and Matt consider ethics and the CEO in this week’s Compliance into the Weeds.  2.     Deputy AAG Mathew Miner on why companies should invest in compliance. Dylan Tokar in the WSJ Risk and Compliance Journal.  3.     Another DPA for the SFO and more corporate individuals acquitted at trial. Susan Hawley in the FCPA Blog.  4.     What is a textbook internal investigation? Matt Kelly explores.  5.     Is the Morning Show on Apple TV a wakeup call for corporate America? Sean Freidlin explores. 6.     What is the role of ESG in corp investing? John Huggie in the Harvard Law School Forum on Corporate Governance. 7.     The comp angle to managing multi-generations. Elliott Dinkin in CCI.  8.     What is operational resilience and why does it matter? Matt Kelly explores.  9.     How does Santa inform your compliance program? Tom explains in the FCPA Compliance and Ethics Blog.  10.  On the Compliance Podcast Network, this week Tom concluded a two-part series with MoFo partner James Koukios on the firm’s International Anti-Corruption Newsletter. Part 1 was the September newsletter and Part 2 was the October newsletter. Another two-parter you will want to check out is the Everything Compliance gang’s two-part podcast series reviewing compliance in 2019 under the Trump Administration. Part 1 features Tom, Matt Kelly and Jay Rosen. Part 2 features Sarah Hadden, Mike Volkov and Jonathan Armstrong.  Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com. Learn more about your ad choices. Visit megaphone.fm/adchoices

Tom and Jay are awaiting their bookings to see the final installment in the 9-part series of the Star Wars saga. While waiting, they consider of this week’s top compliance and ethics stories which caught their collective eyes.  1.     Tim Leissner settles with the SEC. Dick Cassin. Tom takes a deep dive in the FCPA Ethics and Compliance blog. 2.     Aly McDevitt with two great articles on talks at CW Third Party Conference.  3.     Mexico getting serious about fighting corruption. Luis Dantón Martínez Corres in the FCPA Blog.  4.     Culture lessons from Coca Cola. Gary Patterson and Robert Baker in CCI. 5.     Jay looks at the expansion of the corporate integrity monitor, in CCI. 6.     Cyber enforcement and FTC expectations. Avi Gesser and Molly O’Malley Clarke in NYU’s Compliance and Enforcement blog.  7.     What is the intersection of corp oversight and disobidience? Elizabeth Pollman in the Harvard Law School Forum on Corporate Governance.  8.     How and why should you manage your corp culture? Jim DeLoach in CCI.  9.     New DOJ Cooperation Policy on Trade Sanctions and Export Control. Matt Kelly in Radical Compliance.  10.  Insurance to protect you from populism? Liam Fitzpatrick on the D&O Diary.  11.  On the Compliance Podcast Network, Tom and Jay celebrate the opening of The Rise of Skywalker with a five part podcast series on the intersection of Star Wars (IV-VIII) and compliance. In Part 1, A New Hope and Risk; in Part 2, The Empire Strikes Back and Due Diligence; in Part 3, The Return of the Jedi and Effective Training; in Part 4, The Force Awakens and Disruption in Compliance and in Part 5, The Last Jedi and BOD Role in Succession.  Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com. For more information on how an independent monitor can help improve your company’s ethics and compliance program, visit our sponsor Affiliated Monitors at www.affiliatedmonitors.com.  Learn more about your ad choices. Visit megaphone.fm/adchoices

Ericsson settles a long running FCPA enforcement action, coming at No. 2 on the all-time list. Tom lectures Jay about the need for his Patriots to stop cheating (again). They also other of this week’s top compliance and ethics stories which caught their collective eyes. Ericsson settles the second largest FCPA enforcement action of all time. Ericsson comes in the FCPA Blog’s all-time Top Ten FCPA Enforcements and also Number 2 on the all-time Disgorgement List. Jay Clayton backs off his threat to cap SEC whistleblower awards. Director of Treasury’s anti-money-laundering watchdog calls for Congress to pass corporate transparency legislation. Jay looks at the birth of the corporate integrity monitor. Did they look at petty cash? €84MM goes missing from Football Association of Ireland. Jonathan Rausch. Does better corp governance leader to better corporate agility? Kenneth Lehn. How and why should you manage your corp culture? Jim DeLoach CFIUS report to Congress. Lawyers from Simpson Thatcher. How to manage risk when the BOD is overconfident? Matt Kelly. Patriots caught cheating again. Do they even care? Max Kellerman. On the Compliance Podcast Network, Tom had a five part podcast series on the Hughes Hubbard 2019 FCPA and Anti-Bribery Alert. In Part 1, Kevin Abikoff provides and overview of the Alert and explains this year’s theme; in Part 2, Laura Perkins on the year in FCPA; in Part 3, Bryan Sallaman on developments from France; in Part 4 Mark DeBernardis on MDBs and anti-courrption enforcement and in Part 5, Salim Saud on developments in Brazil. Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com. For more information on how an independent monitor can help improve your company’s ethics and compliance program, visit our sponsor Affiliated Monitors at www.affiliatedmonitors.com. Learn more about your ad choices. Visit megaphone.fm/adchoices

With KPMG in the news for one of the biggest ethical trainwrecks in recent memory (or since the last biggest ethical trainwreck-Walmart) Tom and Jay return to discuss both events some of this week’s top compliance and ethics stories which caught their collective eyes.  1.    Wal-Mart settles. Harry Cassin breaks the story for the compliance community in the FCPA Blog. 2.    The KPMG ethical trainwreck catapults off the tracks with a SEC enforcement action. Francine McKenna with the most comprehensive reporting. Tom and Matt Kelly explore in separate blog posts. 3.    What is the role of the WTO in global anti-corruption enforcement? Luciana Silveira explores. 4.    Banks behaving badly (Part 1,304,555). Swedebank suspends execs from its Estonia branch. Dominic Chopping reports in WSJ. Deutsche Bank under criminal investigation for AML violation. David Enrich, Ben Protess and William K. Rashbaum report.5.     NAVEX Global published a first-of-its-kind ethics and compliance benchmark report. Jaclyn Jaeger reviews.  6.    What are the data security/data privacy issues from using Slack? Jim Murphy explains.7.    Designing an ethical company is easy. So says Jeff Kaplan. 8.    Why are negligence and willfulness different standards? Greg Morvillo and Christine Handley explore. 9.    Dylan Tokar joins the WSJ Risk and Compliance Journal. See his twitternotification. You can reach him at dylan.tokar@wsj.com. 10. Why does one size not fit all? Jay continues his series on working with monitors. 11..  Tom is keynoting next week (June 28) at the University of Miami conference “Compliance Across Borders”. For information and registration click here. In Europe and want to attend a great compliance conference? Tom will be keynoting at Circle of Compliance forum on July 3 and 4 in Paris. For more information and registration, click here.  Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.  For more information on how an independent monitor can help improve your company’s ethics and compliance program, visit our sponsor Affiliated Monitors at www.affiliatedmonitors.com.  Learn more about your ad choices. Visit megaphone.fm/adchoices

In today’s edition of Daily Compliance News: ·      Ongoing graft in India? I’m shocked! (The Economic Times)·      When is a facilitation payment a bribe? (FCPA Blog)·       Whistleblowers garner EU wide protection? (BBC)·       FT slams SFO for dropping Rolls-Royce; GSK investigations. (Financial Times) Learn more about your ad choices. Visit megaphone.fm/adchoices

In today’s edition of Daily Compliance News: ·      Ongoing graft in India? I’m shocked! (The Economic Times)·      When is a facilitation payment a bribe? (FCPA Blog)·       Whistleblowers garner EU wide protection? (BBC)·       FT slams SFO for dropping Rolls-Royce; GSK investigations. (Financial Times) Learn more about your ad choices. Visit megaphone.fm/adchoices