Want to catch up the week’s top compliance and ethics stories in one podcast? This Week in FCPA is the podcast for you. Tom Fox, the Compliance Evangelist and Voice of Compliance and Jay Rosen, Mr. Monitor wrap up the week’s top compliance and ethics stories and commentaries. Throw in sports, movies the ongoing adventures of Mrs. Monitor and the twins and this podcast will be one of the most enjoyable 30 minutes you spend listening to each week.
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Welcome to the All Good Things edition of This Week in FCPA. This episode 300 is Tom and Jay’s final episode of this podcast. It has been a great run and we appreciate all our loyal fans and listeners over the past 6-year plus run. Today we close with some highlights from our most popular episode, our favorite episodes and some very special guests including Candice Tal, Lisa Beth Lentini, Joe Oringel and Tedra Foster.
Tom Fox is the Voice of Compliance and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.
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Episode 299 – the Yankees Cheated and Lost edition
Episode 299
Friday, April 29, 2022 • Duration 40:57
The Yankees cheated and lost. The Astros and Red Sox cheated and won. What’s the lesson? Tom and Jay are back to look at some of the week’s top compliance and ethics stories.
Stories
1. More on using behavioral psych to make compliance changes. Vera Cherepanova in the FCPA Blog.
2. Tackling money-laundering in real estate transactions? Ella Hawkins in GAB.
3. Archegos founder indicted for fraud. Jaclyn Jaeger in Compliance Week. (sub req’d)
4. Testing culture. Dylan Tokar in WSJ Risk and Compliance Journal.
5. Renewed need for Board oversight of compliance. Mike Peregrine in CCI.
6. Economic sanctions now national security issue. Dylan Tokar in WSJ Risk and Compliance Journal.
7. Why compliance is a competitive advantage. Navex’s Risk and Compliance Matters.
8. Toll Holdings and export control compliance failures? Matt Kelly in Radical Compliance.
9. Boards making decisions under a stakeholder model. Robert Miller in Harvard Law School Forum on Corporate Governance.
10. What to measure in DEI. Ngozi Okeh in practicalESG.
Podcasts and More
11. How can baking cookies get your through grief? Find out on this episode of The Hill Country Podcast as Kerrville Cookie Lady, Julia Cardoshinsky talks about her lifelong love affair with baking cookies.
12. What is the only podcast dedicated to the intersection of Compliance and ESG? It’s the Compliance ESG Podcaston the CPN. Check out this week’s episode with Travis Miller and Jared Connors of Assent Compliance on the role of Supply Chain in ESG. For your added viewing pleasure check out the video pod on YouTube.
13. This month on the Compliance Life, I visit with Susan Divers, Director of Thought Leadership at LRN. In Part 1, academic life and early professional career. In Part 2, she moves to the corporate world. In Part 3, Susan moves into the CCO chairs at AECOM. In the final episode this month, Part 4, Susan details her move to and work at LRN.
14. Why should you attend Compliance Week 2022? Find out in this podcast series featuring speakers at CW 2022. Listeners get a $200 discount to CW 2022 with the discount code TFLAW $200 OFF. Registration and agenda here.
15. From the Editor’s Desk welcomes the new Compliance Editor in Chief, Kyle Brasseur to the podcast. Check out Kyle’s inaugural episode here.
Tom Fox is the Voice of Compliance and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.
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Episode 291 - The Rams Win It All Edition
Episode 291
Friday, February 18, 2022 • Duration 40:18
Super Sunday passed with fun but poorly played, poorly officiated, and poorly coached. Tom and Jay are back to look at some of the week's top compliance and ethics stories this week in the Rams Win It All Edition.
Stories
Ericsson is in more FCPA trouble. Mengqi Sun in the WSJ Risk and Compliance Journal. Aaron Nicodemus in Compliance Week. (sub req'd)
DD impeding compliance in developing markets? Katya Lysova explores in the FCPA Blog.
ESG-no longer a nice to have. Karen Alonardo in Risk and Compliance Matters.
State AGs are waiting. Ashley Taylor and Chris Carlson in CCI.
The latest case on CCO liability. Matt Kelly in Radical Compliance.
Broken windows and compliance enforcement. Anthony O'Reilly in Compliance and Enforcement.
Companies yet again ask the EU for rules around ESG. Lawrence Heim in practicalESG.
White-collar enforcement trends in 2021. Jamie Rosenberg in Grand Jury Target.
HP-Autonomy from the auditors' perspective. Francine McKenna in The Dig.
South African courts deny Zuma's attempt to remove the SA corruption prosecutor. Rick Messick in GAB.
Podcasts and More
In February on The Compliance Life, I visited Ellen Smith, a former Director of Trade Compliance who recently started her consulting firm. In Part 1, she discussed her academic background and early professional career. In Part 2, Ellen discussed her move in-house. In Part 3, Ellen discusses being a part of the Compliance Dream Team at Weatherford.
Tom and Richard Lummis are in the middle of their annual review of Best Picturing winning movies on 12 O'Clock High, a podcast on business leadership. Part 1 reviews Schindler's List for leadership and ethical lessons. In Part 2, the look at Gladiator.
CCI releases a new e-book from Mike Volkov, "Compliance Culture Revolution." Available free from CCI.
Tom looks at some innovation in compliance with a 3-part blog post series in the FCPA Compliance and Ethics Blog. Topics include Compliance Ecosystem Governance, Compliance Branding, Building Culture & Compliance Coaching.
Are you a Star Wars fan? How about an uber-Geek? You will love the 5-part series appearing next week on the Greeting and Felicitations podcast series on the Compliance Podcast Network if you are either or both. In this series, Tom visits astrophysicist Dr. Ben Locwin on the following topics: Traveling in Hyperspace, Fighting with a Light Saber, Mechanical Prosthetics, Cyborgs and Robots, and the Death Star. It is a ton of fun, and you will love it. Each episode will post at 10 each day next week. Check it out daily.
Tom Fox is the Voice of Compliance and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.
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Episode 200-the 200th Episode edition
Episode 200
Friday, April 10, 2020 • Duration 40:26
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.
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Episode 199, week ending April 3, 2020 – the (mostly) Non-Coronavirus edition
Episode 199
Friday, April 3, 2020 • Duration 35:52
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.
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Episode 198 – the Grandparents are at Risk edition
Episode 198
Friday, March 27, 2020 • Duration 33:37
As the GOP calls for Grandparents to first sacrifice themselves for the stock market and then be sacrificed to push up the economy, self-distancing Tom and hunter-gatherer Jay are back to consider some of the top compliance articles and stories which caught their eye this week.
1. Mike Volvok says ethical business decisions are even more important now. In Corruption Crime and Compliance.
2. Matt Kelly has a trilogy of articles on coronavirus. What we are missing; A Tale from Frank; and 8 Objectives to Manage Pandemic Risks.
3. Testing Compliance. A new approach by Brandon Garrett and Gregory Mitchell. Download the paper here.
4. Coronavirus could make ESG more important. Kristin Broughton and Maitane Sardon in the WSJ Risk & Compliance Journal.
5. Allen Overy poaches Jonathan Lopez and Billy Jacobson from Orrick. Inex Kagubare in GIR.
6. What is time and attendance fraud in the time of coronavirus? Sara Kropf explains on Grand Jury Target.
7. Mike Volkov talks about sanctions compliance in the era of Trump and the int’l financial war. In Navex Global’s Risk and Compliance Matters.
8. More WOW moments in compliance. Geert Vermeulen in Risk & Compliance Platform Europe.
9. Looking at incentives and compliance. Jeff Walker and Rebecca Kaplan in CCI.
10. The Affiliated Monitors Expert Podcast joins the Compliance Podcast Network.
11. Tom premiers a new podcast series, Compliance and Coronavirus.
12. On the Compliance Podcast Network, Tom opens a new month by looking at the role of innovation in compliance on 31 Days to a More Effective Compliance Program. This week saw the following offerings: Monday-Using innovation to break through silos; Tuesday-Originating a compliance ecosystem; Wednesday-Moving Data Science the last mile; Thursday-the Regional Compliance Committee; Friday-Innovation in investigative due diligence. Note 31 Days to a More Effective Compliance Program now has its own iTunes channel. If you want to binge out and listen to only these episodes, click here. This month’s sponsor is Affiliated Monitors, Inc.
Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.
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Episode 197– the Compliance Doesn’t Sleep edition
Episode 197
Friday, March 20, 2020 • Duration 35:37
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.
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Episode 196 – the We Won’t Screw You (Again) edition
Episode 196
Friday, March 13, 2020 • Duration 34:05
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.
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Episode 195 – the Where are you going for Spring Break edition
Episode 195
Friday, March 6, 2020 • Duration 30:16
With travel bans coming to the fore, Jay worries about Spring Break while Tom heads to DisneyWorld. They take a break to consider some of the top compliance articles and stories which caught their eye this week.
1. The Cardinal Health FCPA enforcement action.
2. Is your compliance program effective?
3. The Astros sign stealing scandal and breach of fiduciary duty.
4. CRO fined $450,000 individually for failures in compilance.
5. Does conflict rob you of success?
6. Wow moments in compliance, Part 3.
7. Are you under pressure as a compliance professional.
8. How can you manage digital disruption?
9. On the Compliance Podcast Network, Tom opens a new month by looking at the role of innovation in compliance on 31 Days to a More Effective Compliance Program.This week saw the following offerings: Monday-What is Innovation in Compliance; Tuesday-Welcome to ComTech; Wednesday-skills needed for innovation; Thursday-the advantage of data in compliance; Friday-strategies for and with AI in compliance. Note 31 Days to a More Effective Compliance Program now has its own iTunes channel. If you want to binge out and listen to only these episodes, click here. This month’s sponsor is Affiliated Monitors, Inc.
10. Join Tom in Houston on March 10 as Convercent is hosting a Roundtable, from 12-2 at Steak 48. Our featured speaker will be Philip Winterburn and featured guest is Terri Springer from HP. We will focus on key KPIs for compliance. Information and Registration here.
11. Join Tom in NYC on Thursday, March 12 as Convercent is hosting an Innovation Forum from 3:30-7 PM at Santina. This event will allow you to network with like-minded individuals within the ethics and compliance space and hear from Thomas Fox and Philip Winterburn as well. For more information and registration click here.
12. If not Houston or NYC, how about joining Tom in Philly? Join Baker Tilly and the Philadelphia Chapter of the Institute of Internal Auditors for the 2020 Fraud and Ethics Symposium. Information here and registration here.
Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.
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Episode 194 – the What’s $3bn between friends edition
Friday, February 28, 2020 • Duration 29:30
As President Trump says coronavirus is no big deal and cuts CDC funding because ‘who needs scientists or facts’, Jay and Tom suspend their breathing masks shopping to consider some of the top compliance articles and stories which caught their eye this week.
1. The Wells Fargo DOJ/SEC settlement.
2. Lawrence Hoskins FCPA verdicts overturned by trial court.
3. The Ethisphere 2020 WME awards are out. Even better news this year.
4. Compliance Week takes a deep dive into coronavirus and its impacts.
5. NY state Shield Act coming into effect shortly. Is your company ready?
6. Wow moments in compliance, Part 2. Geert Vermeulen continues his 5-part series.
7. What is cognitive diversity and why does it matter? Vera Cherepanova reports.
8. Will corruption cost Equatorial Guinea its IMF bailout? Rick Messick in the Global Anti-Corruption Blog.
9. On the Compliance Podcast Network, Tom concludes his one month look at the role of HR in compliance on 31 Days to a More Effective Compliance Program.This week saw the following offerings: Monday-using promotion to encourage compliance; Tuesday-tone in the middle of an organization; Wednesday-tone at the bottom of an organization; Thursday-Gap Analysis for HR; Friday-10 questions to pose to HR. Note 31 Days to a More Effective Compliance Program now has its own iTunes channel. If you want to binge out and listen to only these episodes, click here.
10. Join Tom in Houston on March 10 as Convercent is hosting a Roundtable, from 12-2 at Steak 48. Our featured speaker will be Philip Winterburn and featured guest is Terri Springer from HP. We will focus on key KPIs for compliance. Information and Registration here.
11. Join Tom in NYC on Thursday, March 12 as Convercent is hosting an Innovation Forum from 3:30-7 PM at Santina. This event will allow you to network with like-minded individuals within the ethics and compliance space and hear from Thomas Fox and Philip Winterburn as well. For more information and registration click here.
12. If not Houston or NYC, how about joining Tom in Philly? Join Baker Tilly and the Philadelphia Chapter of the Institute of Internal Auditors for the 2020 Fraud and Ethics Symposium. Information here and registration here.
Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.
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