Explore every episode of the podcast This Week in FCPA

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

The Yankees cheated and lost. The Astros and Red Sox cheated and won. What’s the lesson? Tom and Jay are back to look at some of the week’s top compliance and ethics stories.  Stories 1.     More on using behavioral psych to make compliance changes. Vera Cherepanova in the FCPA Blog.  2.     Tackling money-laundering in real estate transactions? Ella Hawkins in GAB. 3.     Archegos founder indicted for fraud. Jaclyn Jaeger in Compliance Week. (sub req’d) 4.     Testing culture. Dylan Tokar in WSJ Risk and Compliance Journal.  5.     Renewed need for Board oversight of compliance. Mike Peregrine in CCI. 6.     Economic sanctions now national security issue. Dylan Tokar in WSJ Risk and Compliance Journal.  7.     Why compliance is a competitive advantage. Navex’s Risk and Compliance Matters. 8.     Toll Holdings and export control compliance failures? Matt Kelly in Radical Compliance.  9.     Boards making decisions under a stakeholder model. Robert Miller in Harvard Law School Forum on Corporate Governance.   10.  What to measure in DEI. Ngozi Okeh in practicalESG. Podcasts and More 11.  How can baking cookies get your through grief? Find out on this episode of The Hill Country Podcast as Kerrville Cookie Lady, Julia Cardoshinsky talks about her lifelong love affair with baking cookies.  12.  What is the only podcast dedicated to the intersection of Compliance and ESG? It’s the Compliance ESG Podcaston the CPN. Check out this week’s episode with Travis Miller and Jared Connors of Assent Compliance on the role of Supply Chain in ESG. For your added viewing pleasure check out the video pod on YouTube.  13.  This month on the Compliance Life, I visit with Susan Divers, Director of Thought Leadership at LRN. In Part 1, academic life and early professional career. In Part 2, she moves to the corporate world. In Part 3, Susan moves into the CCO chairs at AECOM. In the final episode this month, Part 4, Susan details her move to and work at LRN.  14.  Why should you attend Compliance Week 2022? Find out in this podcast series featuring speakers at CW 2022. Listeners get a $200 discount to CW 2022 with the discount code TFLAW $200 OFF. Registration and agenda here.  15.  From the Editor’s Desk welcomes the new Compliance Editor in Chief, Kyle Brasseur to the podcast. Check out Kyle’s inaugural episode here.  Tom Fox is the Voice of Compliance and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com. Learn more about your ad choices. Visit megaphone.fm/adchoices

Super Sunday passed with fun but poorly played, poorly officiated, and poorly coached. Tom and Jay are back to look at some of the week's top compliance and ethics stories this week in the Rams Win It All Edition. Stories Ericsson is in more FCPA trouble. Mengqi Sun in the WSJ Risk and Compliance Journal. Aaron Nicodemus in Compliance Week. (sub req'd) DD impeding compliance in developing markets? Katya Lysova explores in the FCPA Blog. ESG-no longer a nice to have. Karen Alonardo in Risk and Compliance Matters.   State AGs are waiting. Ashley Taylor and Chris Carlson in CCI.   The latest case on CCO liability. Matt Kelly in Radical Compliance.  Broken windows and compliance enforcement. Anthony O'Reilly in Compliance and Enforcement.  Companies yet again ask the EU for rules around ESG. Lawrence Heim in practicalESG. White-collar enforcement trends in 2021. Jamie Rosenberg in Grand Jury Target.   HP-Autonomy from the auditors' perspective. Francine McKenna in The Dig.  South African courts deny Zuma's attempt to remove the SA corruption prosecutor. Rick Messick in GAB.   Podcasts and More In February on The Compliance Life, I visited Ellen Smith, a former Director of Trade Compliance who recently started her consulting firm. In Part 1, she discussed her academic background and early professional career. In Part 2, Ellen discussed her move in-house. In Part 3, Ellen discusses being a part of the Compliance Dream Team at Weatherford. Tom and Richard Lummis are in the middle of their annual review of Best Picturing winning movies on 12 O'Clock High, a podcast on business leadership. Part 1 reviews Schindler's List for leadership and ethical lessons. In Part 2, the look at Gladiator. CCI releases a new e-book from Mike Volkov, "Compliance Culture Revolution." Available free from CCI. Tom looks at some innovation in compliance with a 3-part blog post series in the FCPA Compliance and Ethics Blog. Topics include Compliance Ecosystem Governance, Compliance Branding, Building Culture & Compliance Coaching. Are you a Star Wars fan? How about an uber-Geek? You will love the 5-part series appearing next week on the Greeting and Felicitations podcast series on the Compliance Podcast Network if you are either or both. In this series, Tom visits astrophysicist Dr. Ben Locwin on the following topics: Traveling in Hyperspace, Fighting with a Light Saber, Mechanical Prosthetics, Cyborgs and Robots, and the Death Star. It is a ton of fun, and you will love it. Each episode will post at 10 each day next week. Check it out daily.  Tom Fox is the Voice of Compliance and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.   Learn more about your ad choices. Visit megaphone.fm/adchoices

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

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. 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

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. Learn more about your ad choices. Visit megaphone.fm/adchoices

  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. 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

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

Super Sunday is here. The NFL finally gets the game in the spotlight after weeks of brutal PR. Who ya got? “Who Dey” or Hollywood? Tom and Jay are back look at some of the week’s top compliance and ethics stories this week in the Super Sunday edition.  Stories 1.     Do compliance professionals need a union? Dick Cassin in the FCPA Blog.  2.     Jailed employees under the FCPA. Bill Jacobsen explores in the FCPA Blog. 3.     New workplace normal for policies and training. Ingrid Freeden in Risk and Compliance Matters.    4.     New SEO risk management framework.  Alexandra Gillies and Thomas Shipley in the FCPA Blog.  5.     3 questions from KPMG and Carillion tribunal. Neil Hodge in Compliance Week. (sub req’d) 6.     SFO investigation protocol announced. Mengqi Sun in the WSJ Risk and Compliance Journal.   7.     Companies yet again ask EU for rules around ESG. Lawrence Heim in practicalESG. 8.     CCOs say self-reporting a hard sell. Evren Esen in CCI.  9.     What comes next for ABC and the Olympics? Andy Spalding in GAB.  10.  The Spotify imbroglio. Matt Kelly with a 2-parter in Radical Compliance, Part 1 and Part 2.   Podcasts and More 11.  In February on The Compliance Life, I visit with Ellen Smith, a former Director of Trade Compliance who recently started her own consulting firm. In Part 1, she discussed her academic background and early professional career. InPart 2, Ellen moves in-house. 12.  Tom and Richard Lummis begin their annual review of Best Picturing winning movies on 12 O’Clock High, a podcast on business leadership. In Part 1 they review Schindler’s List for leadership and ethical lessons. Upcoming episodes will look at Gladiator, A Man for All Seasons and Platoon.  13.  CCI releases new e-book from Tom “FCPA 2021 Year in Review”. Available free from CCI. 14.  Trial of the Century-the Enron Trial. This week, Tom premiered a 5-part podcast series on the Enron Trial with Loren Steffy, who covered the trial for the Houston Chronicle. In Part 1, run up to the trial. In Part 2, the trial begins. In Part 3, the star witnesses and key testimony. In Part 4, the Verdict comes in. In Part 5, what did it all mean. It is be available on the Compliance Podcast Network, Megaphone, iTunes, Spotify and all other top podcast platforms.  15.  In a special 2-part series on the Sunday Book Review, Tom looks at the Notre Dame Deloitte Center for Ethical Leadership’s top books on ethical leadership from 2021. Part 1 and Part 2.  Tom Fox is the Voice of Compliance and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.   Learn more about your ad choices. Visit megaphone.fm/adchoices

Reports are that Airbus will settle corruption allegations for nearly $4bn in England. What other bombshells are out there? Jay and Tom are back to consider some of the top compliance articles and stories which caught our eye this week. Stay tuned for our fearless Super Bowl predictions. Airbus to settle corruption charges for nearly $4bn. Ericsson executives acted in ‘bad faith’. Dick Cassin reports. What are 5 takeaways from the Luanda Leaks? Allison Taylor explains. Should we worry about the Trump Administration gutting the FCPA? Matthew Stephenson opines. How can you use external resources to bolster your compliance program? Jay continues his series. The SEC provides some pointers on cyber-security. Matt Kelly explores. Why is sponsorship important in compliance? Mary Shirley explains. What role did corrupt play in the coronavirus? Gretta Fenner and Monica Guy explore. A more comprehensive look at the SFO’s thoughts on compliance programs. On the Compliance Podcast Network, Tom concludes his 31 Days to a More Effective Compliance Program series and announces he is extending it out for the year. This week saw the following offerings: Day 27 considers pre-acquisition due diligence in M&A ; Day 28 looks at requirements in post-acquisition integration; Day 29 looks at root case analysis; Day 30 details how to use a root cause analysis to remediate; Day 31 concludes with a look at the 3 levels of due diligence. Note 31 Days to a More Effective Compliance Program now has its own iTunes channel. If you want to binge out and listen to only these episodes, click here. Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is      Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com. 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

The first week of the New Year brings James Bond into the world of corporate governance and compliance. Jay wonders if the Patriots run is at an end. The lads then turn to consider some of this abbreviated week’s top compliance and ethics stories which caught their collective eyes.  1.     Carlos Ghson flees captivity in Japan. Who will buy the movie rights. (Early candidate to write the screenplay-Jay Rosen?) 2.     What were some of the top compliance failures for 2019? Jaclyn Jaeger weighs in on Compliance Week. (Sub Req’d) 3.     Who were some of the compliance winners from 2019? Kyle Brassur opines in Compliance Week. (Sub Req’d) 4.     Does compliance have a dark side? Jeff Kaplan considers in the Conflict of Interest blog.  5.     What is the combination of monitoring and compliance. Jay explores in CCI. 6.     What is the danger of fraudulent access requests under the CCPA? Davis Polk in the NYU Compliance and Enforcement blog.  7.     What is the difference in public company governance and JV governance? James Bamford, Tracy Branding and Lois D’Costa in Harvard Law School Forum on Corporate Goverance.  8.     Corruption returning to South America? Ernesto Londoño and Letícia Casado report.  9.     Exxon overturns OFAC fine for doing business with sanctioned individual. Dylan Tokar in the WSJ Risk and Complaince Journal. 10.  On the Compliance Podcast Network, Tom premiers 31 Days to a More Effective Compliance Program. Day 1 detailed what 2019 brought to compliance ; Day 2 tackles measurement of risk; Day 3 deals with leadership’s conduct at the top; Day 4 discusses moving tone down in an organization; Day 5 considers the Board of Directors and operationalizing compliance.  Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com. For more information on how an independent monitor can help improve your company’s ethics and compliance program, visit our sponsor Affiliated Monitors at www.affiliatedmonitors.com.  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

The lads mourn the passing of DC (Dorothy Catherine) Fontana this week. She was one of the earliest driving forces behind Star Trek and a great screenwriter. Jay mourns the Texans first in over his Patriots in the 21st Century and they then turn to some other of this week’s top compliance and ethics stories which caught their collective eyes.  1.     Bribery and Corruption on trial. Boustani admits paying bribes but found not guilty. How did that happen? Rick Messick explains. Conversely, 6 FCPA defendants have been found guilty this year. Dick Cassin reports.  2.     DOJ tweaks FCPA Corporate Enforcement Policy. Mike Volkov reviews. Davis Polk lawyers weigh in.  3.     Assistant Attorney General Brian A. Benczkowski Delivers Remarks at the ACI Conference on the FCPA.  4.     The most idiotic FCPA article ever.  5.     Jay reminices on the founding of AMI and the creation of the independent integrity monitor. 6.     What are ethical downsides to AI in FinTech and RegTech? Kristin Broughton explores. 7.     Don’t encourage employees to speak up if you are not ready to listen. Bob Conlin explains why.  8.     Fallout continues from massive money-laundering scheme ‘down under’. Jonathan Rausch.  9.     A framework to think about ESG, corporate purpose and governace. Frank Glassner.   10.  Ten things to do in preparation for CCPA. Lori Tripoli reports. 11.  On the Compliance Podcast Network, Tom interview AMI MD, Mikhail Gordon for a sponsored podcast series on Aspects of Monitorships. In Part 1, why independence is so critical; in Part 2,  the ABA on Monitors; in Part 3, How international teaching informs compliance; in Part 4 cultural differences in int’l and domestic monitorships and in Part 5, the evolution of monitorships.  12.  Reflections on DC Fontana.  Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com. For more information on how an independent monitor can help improve your company’s ethics and compliance program, visit our sponsor Affiliated Monitors at www.affiliatedmonitors.com.  Learn more about your ad choices. Visit megaphone.fm/adchoices

SEC Chair Jay Clayton is reduced to having a PR firm create fake investor letters to support a SEC rule change. The Astros cheating scandal gets worse. As Tom worries MLB might take away his replica World Series Championship Trophy and Jay consoles him about when a team cheats and wins, they turn to some other of this week’s top compliance and ethics stories which caught their collective eyes.  1.     Using the same defense as Hoskins, Boustani admits bribery and corruption in Mozambique Tuna Boat case. Will it work out any better for him? Law360.  2.     SEC whistleblower tips go down for the first time. Kristen Broughton reports. Kevin LaCroix sees it otherwise.  3.     Jay Clayton gins up fake written comments to support regulation change. Zachary Mider and Ben Elgin report. 4.     Former Keppel Offshore lawyer sentenced to time served. Dick Cassin reports.  5.     Why punishing the bribe takers is equally important as punishing the bribe payors? Matthew Stephenson explains it all.    6.     Does an aggressive position in a Wells submission hurt a company in a SEC enforcement action? Lawyers from Simpson Thatcher explore.  7.     What is ‘enforcement fatigue’ and how did Alstom overcome it? Dylan Tokar reports.  8.     Dept. of Treasury bringing more sanctions cases against shipping companies. Kristin Broughton reports.  9.     What will risk and compliance look like in 2020? David Banks considers.  10.  How does M&A benefit from an independent assessment? Jay continues his series.  11.  What are the implications of Gen Z on the front lines of compliance? Gaurov Kapoor explores.  12.  Recent FCPA enforcement actions shows the SEC will use FCPA Accounting Provisions to hold a company liable for ineffective AML controls. Clay Porter. 13.  Navex’s Loren Johnson joins the podcast to talk about Navex Global’s 2020 Benchmarking Survey.  You can participate in Navex Global’s annual survey by clicking here. Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com. For more information on how an independent monitor can help improve your company’s ethics and compliance program, visit our sponsor Affiliated Monitors at www.affiliatedmonitors.com.  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

The fallout from the Hoskins guilty verdict still resonates. Tom and Jay reflect upon it, what it means to play by the rules and then turn to some other of this week’s top compliance and ethics stories which caught their collective eyes.  1.     Hoskins found guility. Dylan Tokar reports. Dick Cassin. Tom and Mike Volkov. How the verdict bolsters the DOJ. 2.     Astros accused by ex-player of cheating in 2017 Championship season. David Schonenfield breaks down sign-stealing. Michael Rosenberg reports. Buster Olney says the Astros cannot be trusted to investigation themselves. Tom weighs in on the FCPA Compliance and Ethics Blog. 3.     How do you balance perception based culture with fact based compliance? Anna Romberg  4.     Twists and turns in the Cognizant case. Bill Wichert  5.     What can WeWork teach us about private company compliance. Erica Salmon Byrne.   6.     A Guidebook to Corporate Governance.  7.     Deutsche Bank whistleblower loses appeal. Jon Hill  8.     Why do you need oversight of merged companies? Jay explores 9.     TRACE corruption ratings for 2019 are out. Matt Kelly reviews.  10.  Is FCPA enforcement inconsistent? Three lawyers from Bass, Berry say yes. 11.  Take a deep dive into SEC 2018/9 enforcement numbers. Cleary Gottlieb lawyers.   12.  The Compliance Kitchen, a podcast hosted by Silvia Surman, premiers on the Compliance Podcast Network.  Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com. For more information on how an independent monitor can help improve your company’s ethics and compliance program, visit our sponsor Affiliated Monitors at www.affiliatedmonitors.com.  Learn more about your ad choices. Visit megaphone.fm/adchoices

In an international podcast, Tom rings in from São Paulo Brazil where he has been speaking and training to hear Jay mourn the Patriots first loss of the season. They then reflect on some other of this week’s top compliance and ethics stories which caught their collective eyes.  1.     The Hoskins trial goes to the jury. Dylan Tokar and Clara Hudson report. 2.     What are the implications from the Unaoil guility pleas? Tom takes deep dive and Mike Volkov provides his always insightful former DOJ prosecutor perspective.  3.     Will the Supreme Court do away with profit disgorgement? 4.     CCI starts a great new section, New Voices focusing on the young Compliance Professional. The first piece is by Margarita Derelanko.  5.     Management repution risk does not have a start or end date. Jonathan Marks explains.  6.     More fallout from the Connelly decision. Frederick Davis.  7.     Planning a post acquisition integration. Jay explores. 8.     Spain brings a corruption prosecution. Jonathan Rusch.   9.     New DOJ taskforce on procurement fraud. Matt Kelly delivers sharp thinking.  10.  What about the other FCPA trial going on? Matt Bernardi reports. 11.  Tom and Ronnie Feldman celebrated Corporate Compliance and Ethics week with a 5-pasrt series of podcasts on creative things you can do to communicate compliance; all on their Creativity and Compliance Podcast on the CPN. Check out the following lineup: Monday-the Petting Zoo;  Tuesday-Talk Shows; Wednesday-Contests and Games; Thursday-Keynotes and Speakers; Friday –Going Forward.  Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is       Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com. For more information on how an independent monitor can help improve your company’s ethics and compliance program, visit our sponsor Affiliated Monitors at www.affiliatedmonitors.com.  Learn more about your ad choices. Visit megaphone.fm/adchoices

As Tom recovers from the Astros loss to the Washington Nationals, two huge stories break, Unaoil guilty pleas and Jho Low agrees to forfeiture. He and Jay review them and reflect on some other of this week’s top compliance and ethics stories which caught their collective eyes.  1.     The Hoskins trial begins. Dylan Tokar reports. Law360 has two reports. 2.     Jho Low agrees to forfeit all goods claimed by in US in its civil forfeiture actions. Byron Tau and Aruna Viswanathan report.  3.     Is the DFS about to bring the hammer down on cyber breaches? Davis Polk lawyers in NYU’s Compliance and Enforcement blog.  4.     What are the stakes for corporate wrongdoers? Dan Portnoy. 5.     Unaoil CEO and COO, plus head of BD all plead guilty as pleas unsealed. Dick Cassin breaks the story.   6.     Mattel announces material controls weakness. Jaclyn Jaeger reports.   7.     Should a merger partner be an ethical fit? Jay explores in his continuing series. 8.     What will the Crown Prosecution Service review of the SFO mean going forward? Sam Tate and Charlotte Thompson explain.  9.     Quid Pro Quo-a Primer. Rick Messick.  10.  What are 5 steps you can engage in to improve BOD monitoring of compliance. Mike Volkov explains.  11.     Tom had a great group of top-notch podcasts, this week on the CPN. Check out the following lineup: FCPA Compliance Report- Steven Lofchie on the Cadwalader Cabinet;  Innovation in Compliance-Thinkeen Law, a law firm that focuses on data and compliance; #GWIC with Part 1 of a 2-part podcast with Michelle Shapiro; 12 O’Clock High– Branding lessons from Count Dracula; Popcorn and Compliance-Jay and Tom consider the compliance angles from Star Trek II-The Wrath of Khan, Sunday Book Review-four books from the UNC Press. The podcasts are available on multiple sites: the FCPA Compliance Report, iTunes, JDSupra, Megaphone, YouTube,  Spotify and the Compliance Podcast Network. 12.     Check in next week where Ronnie Feldman and I have a 5-part podcast series on Creativity and Compliance celebrating Compliance Week 2019.  Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com. For more information on how an independent monitor can help improve your company’s ethics and compliance program, visit our sponsor Affiliated Monitors at www.affiliatedmonitors.com.  Learn more about your ad choices. Visit megaphone.fm/adchoices

As Tom steadies himself for the Astros to head to Washington and the Nationals home park, he and Jay reflect on some of this week’s top compliance and ethics stories which caught their collective eyes.  1.     SEC examiner (allegedly) steals confidential information on company investigation, then leaves SEC to become company’s CCO. Dylan Tokar reports and Matt Kelly opines. 2.     What are the data privacy considerations in investigations? 3.     Are you looking at your 3rd parties for data protection issues? Adam Hill discusses.  4.     What are the stakes for corporate wrongdoers? Dan Portnoy explains. 5.     What are 5 common weaknesses in OFAC Compliance programs. Mike Volkov explains.   6.     Whats, whys and hows in M&A assessment. Jay starts a new series. 7.     Why is understanding behavioral science critical for a compliance programs? Jeff Kaplan dissects it. 8.     Why is a speak up culture hard to find. Dick Cassin explains.  9.     AI and internal audits. Kevin Alvero and Randy Pierson.    10.  Avanir engages in corruption in the US. Not FCPA but FCA violation. Mike Volkov explains.  11.  Tom had a great group of top notch podcasts, on the CPN this week. Check out the following lineup: FCPA Compliance Report- Francine McKenna on the KPMG-PCAOB mess;  Innovation in Compliance-ReThink Compliance on why content is still king in compliance; #GWIC with Barbara Petitti; 12 O’Clock High– how the leadership of JP Morgan halted the Panic of 1907; Life with GDPR- Brexit and Compliance. The podcast will be available on multiple sites: the FCPA Compliance Report, iTunes, JDSupra, Megaphone, YouTube,  Spotify and theCompliance Podcast Network.  Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is       Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com. For more information on how an independent monitor can help improve your company’s ethics and compliance program, visit our sponsor Affiliated Monitors at www.affiliatedmonitors.com.  Learn more about your ad choices. Visit megaphone.fm/adchoices

As Tom revels in the Astros inexorable march towards the World Series, he and Jay reflect on Doobie Brothers nomination to the Rock N Roll Hall of Fame and also discuss some of this week’s top compliance and ethics stories which caught their collective eyes.   1.     Is disclosure of a COI enough or should companies go further? Jeff Kaplan.  2.     What is the ‘last mile of finance’ and how is it achieved?  French Caldwell explains.  3.     Ex Credit Suisse bankers to testify in Mozambique corruption case. Patricia Hurtado reports.  4.     French anti-corruption agency issues guideline for T&E, in a White & Case client alert.  5.     When COIs get people killed. Matthew Stephenson on Trump and his business interests in Turkey.  6.     Were Wells Fargo fraudulent accounts tactics used by AT&T? Jaclyn Jaeger explores. 7.     Richard Bistrong explains what channel stuffing is, how he used it to make his numbers and why it’s accounting fraud.  8.     Is it time for Boards to revisit their compliance obligations? Posted by Robert Biskup, Krista Parsons, and Robert Lamm, opine.  9.     Doobie Brothers head (Tom’s) nominations for the 2020 inductees into the Rock N Roll Hall of Fame. Andy Greene reports.  10.  This week Jay joins Tom in a five-part podcast series exploring ethical culture in a corporation, sponsored by AMI. Check out the following lineup: Monday-What is Ethical Culture;  Tuesday-Factors Influencing Ethical Culture; Wednesday-The Role of the CCO; Thursday - Assessing Ethical Culture; Friday- the Role of Ethical Culture in an Overall E&C Program. The podcast will be available on multiple sites: the FCPA Compliance Report, iTunes, JDSupra, Megaphone, YouTube,  Spotify and theCompliance Podcast Network.  11.  Popcorn and Compliance is back as Tom and Jay return to take a look at Star Trek-The Motion Picture. Its posts Saturday, October 19 at 7 AM.  Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com. For more information on how an independent monitor can help improve your company’s ethics and compliance program, visit our sponsor Affiliated Monitors at www.affiliatedmonitors.com.  Learn more about your ad choices. Visit megaphone.fm/adchoices

As Tom watches the Astros inexorable march towards the World Series, he and Jay reflect on the difficulty of the NBA in navigating their Chinese waters, they then discuss some of this week’s top compliance and ethics stories which caught their collective eyes.  1.     DOJ announced new guidelines for determination of inability of a company to pay a fine or penalty. 2.     NBA steps in it in China. Chris Mannix on Daryl Morey’s original tweet that set off the firestorm. 3.     Named in a FCPA investigation? No defamation case for you. Hailey Connath reports.4.     A new way to calculate SEC whistleblower awards. Amanda Rose discusses. 5.     What is the intersection of compliance and tech? (Answer-it’s all about culture). Mike Volkov opines.  6.     What is the CCO’s role in culture? Jay continues his 5-part series.7.     Caremark duties extend to monitoring, not simply oversight. Kevin LaCroix explains.8.     What is the interest group theory of anticorruption enforcement? Sean Griffin and Thomas Lee in a new article. 9.     What is the reverse agency problem for corp officers and directors? Asaf Eckstein and Gideon Parchomovsky opine. 10.  Listen in next week, where Jay joins Tom in a five-part podcast series exploring ethical culture in a corporation, sponsored by AMI. The lineup will be the following: Monday-What is Ethical Culture;  Tuesday-Factors Influencing Ethical Culture; Wednesday-The Role of the CCO; Thursday Assessing Ethical Culture Friday- the Role of Ethical Culture in an Overall E&C Program. The podcast will be available on multiple sites: the FCPA Compliance Report, iTunes, JDSupra, Megaphone, YouTube,  Spotify and the Compliance Podcast Network.  Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is       Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com. For more information on how an independent monitor can help improve your company’s ethics and compliance program, visit our sponsor Affiliated Monitors at www.affiliatedmonitors.com.  Learn more about your ad choices. Visit megaphone.fm/adchoices

As Tom watches the Astros inexorable march towards the World Series, he and Jay reflect on Converge19, which concluded this week and turned to discuss some of this week’s top compliance and ethics stories which caught their collective eyes. 1.     The SEC settles a trio of FCPA cases to end its enforcement year. Tom discusses them on the FCPA Compliance and Ethics blog.2.     Will Africa’s dream of free trade be crushed by corruption. Patrick Bizimana weighs in. 3.     What is compliance in the world’s most famous soccer club? Dick Cassin reports.  4.     DOJ closes investigations into ENI for allegations of corruption in Algeria and Nigeria. Olivia Bugaul and Dylan Tokar report.5.     How can you avoid an inadvertent waiver of privilege? Cleary Gottleib lawyers expound. 6.     What is the CCO’s role in culture? Jay continues his 5-part series.7.     Where is FCPA enforcement headed? Anne Eberhardt opines.8.     For every risk management strategy, you need a crisis management plan. French Caldwell explains.9.     New federal legislation proposed to protect whistleblowers. Lawyers from Choate Hall  consider.. 10.  Tom was joined by Phil Fry this week in a five-part podcast series, sponsored by Verint, on the future of financial services compliance. Check out the following: Monday-Challenging the Accepted Wisdom;  Tuesday-Capture;Wednesday-Control; Thursday Sustainability Friday- Maintaining Oversight. The podcast is available on multiple sites: the FCPA Compliance Report, iTunes, JDSupra, Megaphone, YouTube,  Spotify and the Compliance Podcast Network.  Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com. For more information on how an independent monitor can help improve your company’s ethics and compliance program, visit our sponsor Affiliated Monitors at www.affiliatedmonitors.com.  Learn more about your ad choices. Visit megaphone.fm/adchoices

As Tom celebrates the Astros franchise record of 104 wins (to-date) and Jay continues to avoid talking about the Red Sox, they then turn to discuss some of this week’s top compliance and ethics stories which caught their collective eyes.  1.     Both Nissan and Carlos Ghosn settle SEC charges for failure to report salary. Does Nissan have a massive conflict of interest in its investigation? Sean McLain and Nick Kostov report. 2.     PwC gets in yet more trouble with SEC. Francine McKenna reports. Matt Kelly explores. Tom and Matt take a deep dive in Compliance into the Weeds. 3.     TechnipFMC settles SEC charges for FCPA violation. Harry Cassin reports.  4.     How do you fix a toxic culture? Mike Volkov enlightens.5.     What factors influence an ethical culture? Jay continues a multipart series. 6.     Thinking about investiging in US real estate? Foreigners need to check in on the new rules. Doug Cornelius explains. 7.     8 Prominent CCOs tackle 5 compliance questions in an interview in Compliance Week.8.     What are 10 reasons compliance programs fail? Andrew Hayward and Tony Osborn consider. 9.     Has the fight against corruption in Mexico turned the corner? Andrew Levine, Kara Brockmeyer and Marisa Taney consider. 10.  Tom continues his preview of the Converge19 speakers in a special bonus series of podcasts on the Compliance Podcast Network. Check out the following: Monday-Jacki Cheslow with a testimonial of why you should attend;  Tuesday-Michael Rasmussen on a SWOT analysis for CCOs; Wednesday-Stephen Martin on the role of the Board of Directors; Thursday- Dan Chapman on the new DOJ Guidance (with an assist from FCPA Monitor himself) and Friday- Ren McEachern on the power of integrated 3rd party risk management. The podcast is available on multiple sites: the FCPA Compliance Report, iTunes, JDSupra, Megaphone, YouTube,  Spotify and the Compliance Podcast Network. 11.  The Everything Compliance gang will be doing its first live podcast at Converge19. You should be there! Listeners to this podcast can obtain a complimentary ticket by using the promotion code foxvip, for registration and information, click here.  Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com. For more information on how an independent monitor can help improve your company’s ethics and compliance program, visit our sponsor Affiliated Monitors at www.affiliatedmonitors.com.  Learn more about your ad choices. Visit megaphone.fm/adchoices

This episode begins on a somber note as Tom and Jay note the passing of Compliance Week reporter Joe Mont and what he meant to the greater compliance community. They then turn to discuss some of this week’s top compliance and ethics stories which caught their collective eyes.  1.    Tributes to Joe Mont. 2.    Mike Volkov takes a deep dive into the recent Business Roundtable Statement on the Purpose of a Corporation on Corruption Crime and Compliance. 3.    Former Cognizant Technologies COO, Sridhar Thiruvengadam, settles FCPA charges. Dick Cassin.  4.    Netherlands proposes nationwide AML system. John Rusch reports.5.    What is an ethical culture and why does it matter? Jay begins a multipart series. 6.    What is algomerithic corporate misconduct. Milhailis Diamantis explores. 7.    Despite prevaling opinions, CCO is not a ‘god’. Clara Hudson reports on the Odebrecht CCO remarks at SCCE.8.    Do UK DPAs throw individuals under the bus? Ross Dixon asks. 9.    Mary Shirely tells you how to ace job interviews. 10. Tom continues his preview of the Converge19 speakers in a special bonus series of podcasts on the Compliance Podcast Network. Check out the following: Monday-Scott McCleskey on mapping the ethical risk in your company;  Tuesday-Valerie Towery on cross functional collaboration; Wednesday-Kurt Stitcher on Operation Globalization; Thursday-Matt Kelly on Developing Effective Strategies for Third Parties & Data Security Risk and Friday- Anna Aster on The Future CECO: The Executive Recruiter's Perspective. The podcast is available on multiple sites: the FCPA Compliance Report, iTunes, JDSupra, Megaphone,YouTube,  Spotifyand theCompliance Podcast Network. 11. The Everything Compliance gang will be doing its first live podcast at Converge19. You should be there! Listeners to this podcast can obtain a complimentary ticket by using the promotion code foxvip, for registration and information, click here.  Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com. For more information on how an independent monitor can help improve your company’s ethics and compliance program, visit our sponsor Affiliated Monitors at www.affiliatedmonitors.com.  Learn more about your ad choices. Visit megaphone.fm/adchoices

As SEC Chair Jay Clayton scolds the rest of the world for its lack of anti-corruption enforcement and does say why he wants to dump a PCAOB Member, Tom and Jay are back  to discuss some of this week’s top compliance and ethics stories which caught their collective eyes.  1.    SEC Chair scolds weak overseas anti-corruption enforcement. Dave Micheal reports. 2.    Why does SEC Chairman want to get rid of PCAOB member, Kathleen Hamm? Francine McKenna explores. 3.    Fair Pay to Play? California pass law allowing college athletes to be compensated. Michael McCann reports. 4.    Did the SFO put in a ‘self-certification’ requirement in its recent Guidance on Cooperation?  Aziz Rahman says yes. 5.    How can independent integrity monitors help to limit adverse consequences in health care? Jay concludes his series on monitors in the health care industry. 6.    NYU PCCE gets new Executive Director as Alycin Cooley joins the group. 7.    How can you process personal employee data under GDPR? Laura Wright, Sarah Greenwood and Andrew Reeves opine.  8.    What happens when employees ethical values are greater than those shown by their employer? Michael Toebee explores.9.    One commentator suggests we hold back on international enforcement against bribe-takers. Anton Moiseeineko writes. 10. Tom continues his preview of the Converge19 speakers in a special bonus series of podcasts on the Compliance Podcast Network. Check out the following: Monday-Ricardo Pellafone and Ashley Lewis on Building Your Brand;  Tuesday-Michael Williamson on moving to a values based culture; Wednesday-Mike Volkov on the Nuts and Bolts of Sanctions Compliance; Thursday-Nicole Pitts on Increasing Employee Engagement and Friday- Eric Feldman on the CCO’s role in performance management. The podcast is available on multiple sites: the FCPA Compliance Report, iTunes, JDSupra, Megaphone,YouTube,  Spotifyand theCompliance Podcast Network. 11. The Everything Compliance gang will be doing its first live podcast at Converge19. You should be there! Listeners to this podcast can obtain a complimentary ticket by using the promotion code foxvip, for registration and information, click here.  Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is       Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com. For more information on how an independent monitor can help improve your company’s ethics and compliance program, visit our sponsor Affiliated Monitors at www.affiliatedmonitors.com.  Learn more about your ad choices. Visit megaphone.fm/adchoices

How long does it take to win a NFL playoff game? Patrick Maholmes says 13 seconds. After perhaps the most thrilling NFL playoff game ever,  Tom and Jay are back look at some of the week’s top compliance and ethics stories this week in the 13 Seconds edition. Stories 1.     TI-CPI 2022 Report out. Results not good. TI-CPI Press Release. Rick Messick says make it useful in GAB. Jaclyn Jaeger is disheartened in Compliance Week (sub req’d). 2.     Compliance officer burnout? Dick Cassin explores in the FCPA Blog. 3.     Emphasizing the ‘G’ in ESG. David Simon in LinkedIn.   4.     Investor demand driving ESG risk and compliance initiatives? Valerie Charles and Tracy Groves in CCI.  5.     Human Rights Due Diligence. James Reardon and Tomas Navarro look at Switzerland’s new law  in FCPA Blog. Tom considers your corporate Human Rights strategy in a 2-part blog series in the FCPA Compliance and Ethics Blog.  6.     Monaco Speech and Compliance in 2022. Stephanie Yonekura and Rupinder Garcha  in CCI.   7.     DOJ announces shift in antitrust policy. DOJ Press Release. Matt Kelly in Radical Compliance. 8.     ESG and M&A in 2022. Wachtel lawyers in Harvard Law School forum on Corporate Governance.  9.     FTC compliance risk re: cyber and privacy. Debevoise lawyers in Compliance and Enforcement.  10.  Cultural and ESG to-do list for 2022 for CCO. Mike Volkov in Corruption Crime and Compliance. Podcasts and More 11.  In January on The Compliance Life, I visited with Valerie Charles, partner at StoneTurn. Val has one of the most interesting journeys in compliance. In Part 1, she discussed her academic background and early professional career. In Part 2, she discussed her move to ComTech. In Part 3, Valerie moved into the consulting world. In the concluding Part 4, Valerie looks down the road for what’s ahead. 12.  The Everything Compliance gang took a deep dive into the Microsoft acquisition of Activision Blizzard in a special episode.  Check out the Shout Outs and Rants. Finally the gang had a special tribute to Meatloaf here.  13.  CCI releases new e-book from Tom “FCPA 2021 Year in Review”. Available free from CCI. 14.  Trial of the Century-the Enron Trial. This week, Tom premiered a 5-part podcast series on the Enron Trial with Loren Steffy, who covered the trial for the Houston Chronicle. In Part 1, run up to the trial. In Part 2, the trial begins. In Part 3, the star witnesses and key testimony. In Part 4, the Verdict comes in. In Part 5, what did it all mean. It is be available on the Compliance Podcast Network, Megaphone, iTunes, Spotify and all other top podcast platforms.  15.  Check out 31 Days to a More Effective Compliance Program returns, which runs for the month of January, from January 1 to January 31. Available on the Compliance Podcast Network, Megaphone, iTunes, and all other top podcast platforms.  Tom Fox is the Voice of Compliance and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.   Learn more about your ad choices. Visit megaphone.fm/adchoices

As Walmart bans the sales of handguns and certain ammo and President Trump uses a sharpie to claim Hurricane Dorian is headed towards Alabama, Tom and Jay are back  to discuss some of this week’s top compliance and ethics stories which caught their collective eyes.  1.    How compliance led to Walmart’s decision to ban gun and certain ammo sales. Jaclyn Jaeger reports. 2.    Tom and Jonathan Marks author a compliance game plan for your first 18 months in the CCO chair. Tom blogs about the highlights. 3.    Wells Fargo reads NYT article and starts internal investigation after ignoring internal whistleblowers on closed accounts scandal. 4.    Texas woman violates FCPA in Africa adoption cases.  Dick Cassin analyzes. 5.    What are some of the blind spots in customer due diligence? Sam Sheen considers.6.    How can monitors help in the administrative procesedings? Jay explores in another post.7.    How does compliance factor into Brexit? Jonathan Rusch provides yet but one example. 8.    The always great Jonthan Marks opines on the Juniper Networks enforcement action, considering the Board of Directors role. Tom and Matt Kelly consider it on this week’s episode of Compliance into the Weeds. 9.    Odebrecht spanked again, this time by Inter-American Development Bank. Dylan Tokar reports.10. Tom begins a preview of the Converge19 speakers in a special bonus series of podcasts on the Compliance Podcast Network. Check out the following: Tuesday-Rebecca Rehm and Matt Doherty on the Drip Drip Drip of Compliance Training; Wednesday-UB Ciminieri and Mark Thurman on the Code of Curiousity; Thursday-Norm Hodne on Bridging the Digital Divide and Friday- Jane Arnott on Risk Mitigation through Encouraging a Speak up Culture. 11. Join Tom and Jay and a host of other great speakers and guest at Converge19 in Denver October 2 & 3. Listeners to this podcast can obtain a complimentary ticket by using the promotion code foxvip, for registration and information, click here.  Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com. For more information on how an independent monitor can help improve your company’s ethics and compliance program, visit our sponsor Affiliated Monitors at www.affiliatedmonitors.com.  Learn more about your ad choices. Visit megaphone.fm/adchoices

As Donald Trump invites Russia back into the G7 and plans the next summit at his resort.  Tom and Jay look at that COI and discuss some of this week’s top compliance and ethics stories which caught their collective eyes.  1.    How deep is the ocean? Jeff Kaplan asks that metaphorical questions as a way to introduction his piece on Trump’s conflicts of interest. 2.    Why is there is no easy answer to the supply side of bribery? Jessica Tillipman explains. 3.    Matthew Stephenson says it is time to retire the term “passive bribery”. 4.    The use of monitors in licensing and disciplinary proceedings. Jay continues his series. 5.    Deutsche Bank settles ‘sons and daughters’ hiring case.. 6.    Fraud allegation hits academia. Jonathan Rausch explains. 7.    What happens when the middle of your organization is rotten? Mike Volkov explains. 8.    What are some of the issues for AI in Compliance? Tom explores in a 4-part blog post series, all on the FCPA Compliance Report. 9.    Interested in the Science of Star, Trek the Original Series? Then this week has been the week for you on the Compliance Podcast Network as Tom was joined by Ben Locwin to look at some of the science from TOS. 10. Join Tom and Jay and a host of other great speakers and guests at Converge19 in Denver October 2 & 3. Listeners to this podcast can obtain a complimentary ticket by using the promotion code foxvip, for registration and information, click here.  Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.  For more information on how an independent monitor can help improve your company’s ethics and compliance program, visit our sponsor Affiliated Monitors at www.affiliatedmonitors.com.  Learn more about your ad choices. Visit megaphone.fm/adchoices

As Donald Trump announces he is the “Chosen One” and the Business Roundtable stuns the corporate community with a new Statement on the Purpose of Corporations, Tom and Jay are back  to discuss some of this week’s top compliance and ethics stories which caught their collective eyes. 1.    The Business Roundtable issues a new Statement on the Purpose of a Corporation. 2.    Mike Volkov takes a deep dive into the CCPA. 3.    Is Amazon liable for Capital One hack? 4.    Is summer the right time to close FCPA cases? 5.    You know it’s bad with BVI lawyer calls out the ABA for opposing UBO regulation. 6.    Proactive assessments in health care ethics and compliance programs. 7.    Trial judge rejects Alstom defendant 5thand 6thAmendment claims to toss case. 8.    UK goes after funds obtained through bribery and corruption. 9.    Monitor appointed in MTS FCPA enforcement action. 10. Sherlock Holmes is back in another week of Adventures in Compliance podcasts on the Compliance Podcast Network. Check out the following: Monday-The Three Garridebs and Monitoring Controls; Tuesday-The Problem at Thor Bridge and Monitoring Controls; Wednesday-theCreeping Man and Risk Management by Your Board; Thursday-The Lion’s Mane and Risk-Based Monitoring; and Friday-the Veiled Lodger and Empathy in Compliance. The podcast is available on multiple sites: the FCPA Compliance Report, iTunes, JDSupra, Megaphone,YouTube,  Spotifyand Corporate Compliance Insights,  Compliance Podcast Networkand now on the C-Suite Radio Network. 11. Join Tom and Jay and a host of other great speakers and guest at Converge19 in Denver October 2 & 3. Listeners to this podcast can obtain a complimentary ticket by using the promotion code foxvip, for registration and information, click here.  Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay        Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com. For more information on how an independent monitor can help improve your      company’s ethics and compliance program, visit our sponsor Affiliated Monitors         at www.affiliatedmonitors.com.  Learn more about your ad choices. Visit megaphone.fm/adchoices

Jay kisses good-bye to the Red Sox season and says hello to the Patriots title defense. Tom enjoys the Astros having the best record in baseball. Together they are back  to discuss some of this week’s top compliance and ethics stories which caught their collective eyes.  1.    Should compliance lead the data privacy charge? Jessica Willburn says yes. 2.    How does the right to be forgotten impact monitoring in compliance programs. 3.    What are the Governance Implications of the Equifax and Facebook Settlements? Michael W. Peregrine explores. 4.    How improved processes can drive CCPA compliance. 5.    Designing the Tesla of compliance. 6.    Corruption and assurance. 7.    What is the intersection of dealers and the FCPA? Matt Kelly explores. 8.    The importance of PR in the anticorruption fight. 9.    What’s the international map for whistleblowers look like? 10. In a special 5-part podcast series, Jay Rosen explores everything you want to know about monitors but were afraid to ask. Check out the following: Monday-Introduction; Tuesday-post-resolution monitorships; Wednesday-pre-settlement monitorships; Thursday-Considerations when hiring a monitor; and Friday-costs. The podcast is available on multiple sites: the FCPA Compliance Report, iTunes, JDSupra, Megaphone,YouTube,  Spotifyand Corporate Compliance Insights,  Compliance Podcast Networkand now on the C-Suite Radio Network. 11. Join Tom and Jay and a host of other great speakers and guest at Converge19 in Denver October 2 & 3. Listeners to this podcast can obtain a complimentary ticket by using the promotion code foxvip, for registeration and information, click here.  Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is       Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.  For more information on how an independent monitor can help improve your company’s ethics and compliance program, visit our sponsor Affiliated Monitors at www.affiliatedmonitors.com.  Learn more about your ad choices. Visit megaphone.fm/adchoices

Our hearts go out to the communities which have suffered gun-massacre tradgedies, the most recent being in El Paso TX and Dayton, OH. They consider this issue from the compliance perspective and turn their collective eyes to some of this week’s top compliance and ethics stories.  1.    What is the corporate response to El Paso and Dayton? Tom and Matt Kelly explore in Compliance into the Weeds. Kristen Broughton considers corporate disclosures 2.    Congress considers a anti-foreign extortion bill to supplement the FCPA. Dick Cassin reports. 3.    Is a world free of corruption a dream of fools? The Basel Institute on Governance says no. 4.    What is cognitive governance? James Bone begins a 5-part series. 5.     AML and Sanctions Trends Under the Trump Administration. Lawyers from WilmerHale explain. 6.    What it the federal extortion and blackmail statute? Sara Kropf begins a two-part series. 7.    Does everyone want to do the right thing? Calvin London says maybe not in CCI. 8.    How to make your Code of Conduct great. Ed Petry tells us. 9.    Swiss bank ignores compliance officer; pays $10.7M for tax evasion. Jaclyn Jaeger reports.10.  SFO issues guidance for corporate cooperation. 11. Join Jay Rosen and myself for a 5 part exploration of Everything You Always Wanted to Know about Monitors But Were Afraid to Ask. Sponsored by AMI, it is a special production of the Compliance Podcast Network. 12.  Our colleague, Doug Cornelis successfully participated in the annual 2-day, 192 mile Pan-Mass Bike Challenge which raises money for the fight against cancer. I hope you will join me again in supporting Doug by donating to PMC. Information on Doug’s ride, why he rides and donation button are all found here.13.  Looking for one of the top conferences around. Look no further than Converge19, which is being put on by Convercent on October 2-3. Listeners to this podcast can garner a complimentary pass by using the code “foxvip”. Registration and information can be found here. Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.  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

The Astros hit a home run on the last minute of the trading deadline by obtaining Zack Greinke and Jay asks just how insufferable Tom will be until the Astros win the World Series again (Hint: Very). While Tom gloats, he and Jay turn their collective eyes to some of this week’s top compliance and ethics stories. 1.    Third parties are still the highest FCPA risk. So why are you still using them? Alexandra Gillies explores. 2.    How to manage high-risk distributors? Mike Volkov with a 2 part series.3.    What is conspicuous integrity in the corporate setting? Shirin Ahlhauser explains. 4.    What is cognitive governance? James Bone begins a 5-part series. 5.    What is present responsibility and how does it related to debarment? Jay explains. 6.     What are the disclosure and notification requirements when managing a crisis? Lawyers from Cleary Gottlieb explain. 7.    Wonder if ethics and compliance still matter? Four Wachtel Lippon lawyers explain. 8.    Why do you need social media compliance as part of your ethics and compliance program. John Horowitz tells us in Navex Global’s Ethics and Compliance Matterblog. 9.    Why the identification of high risk employees is critical. Jeff Kaplan explains. 10. Comings and goings in the DOJ Fraud Section. Dylan Tokar reports. 11.  Our colleague Doug Cornelis participates in the annual 2-day, 192 mile Pan-Mass Bike Challenge which raises money for the fight against cancer. I hope you will join my again in supporting Doug by donating to PMC. Information on Doug’s ride, why he rides and donation button are all found here. Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com. 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

While Facebook announces a settlement with the FTC and Microsoft settles an outstanding FCPA enforcement action, Tom and Jay return to discuss both events and some of this week’s top compliance and ethics stories which caught their collective eyes.  1.    Facebook settles with the FTC for $5bn. Does it matter? Mike Issac and Natasha Singer in the NYT. Kevin LaCroix on why data privacy is such a high corporate risk. SEC piles on with another $100MM. 2.    Microsoft settles FCPA enforcement action for $25MM. 3.    Can an ethical culture be measured? Vera Cherepanova says yes. 4.    What is a ‘pulse check’ for compliance? Mary Shirely explains. 5.    What is the intersection of FCPA enforcement and suspension and debarment? Jay explains.6.     What are the 5 complaince takeaways from the Walmart FCPA enforcement action? Jaclyn Jaeger weighs in. (sub req’d)7.    Is Santa Claus real? Jonathan Rusch on the Chinese anti-corruption efforts around Belt and Road. 8.    Are there too many cooks in the FCPA enforcement kitchen? Helen Jiang says no. 9.    Trade sanction fines hit alltime high. Mengqi Sun reports.  10. The week’s notable milestone-Mike Volkov celebrates his 100thanniversary show. 11. This week Tom had a special 5-part podcast series sponsored by AMI on the use of monitors by State AGs, with Jerry Coyne. Check out the following: Part 1-Introduction to the Role of State AGs; Part 2-Big Tobacco litigation; Part 3- Litigation in the post-tobacco era; Part 4-Current Multistate litigation challenges; Part 5-the Road Ahead.   The podcast is available on multiple sites: the FCPA Compliance Report, iTunes, JDSupra, Megaphone,YouTube,  Spotifyand Corporate Compliance Insights. The Compliance Podcast Networkjoins C-Suite Radio. 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

The DOJ announces a new compliance initiative from the antitrust division. Tom and Jay consider it and some of this week’s top compliance and ethics stories which caught their collective eyes.  1.    What can companies learn from FIFA’s ongoing corruption scandals? Vera Cherepanova takes a look. 2.    A close look at FCPA related securities litigation. Kevin Lacroix explores.3.    What is the new DOJ Antitrust Evaluation of Corporate Compliance Programs? Mike Volkov takes a deep dive.4.    How much does a steak and lobster dinner really cost you? Jonathan Rusch considers.5.    What does it take to be a great Board of Director? Henry Wolfe considers.6.    How should you evaluate ESG factors in a business analysis? Todd Northman and Savannah Fox (no relation) explore. 7.    SEC says 7 years not enough time to evaluate whistleblower information to make an Dodd-Frank whistleblower award (or deny it). Kristin Broughton reports. 8.    Another DPA in the UK. Another set of not guilty verdicts for individuals. Dylan Toklar explains.9.    Matt Kelly travels and considers All Things Compliance. 10.  Tom hosts Affilated Monitors in Houston! The AMI gang will be discussing the 2019 Guidance on Monday July 22, from 4:30 to 6 PM at Goode Company Seafood, 10211 Katy Freeway. Questions and RSVP to jrosen@affiliatedmonitors.com. Best of all, there is no charge to attend.. 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

The All-Star Game has come and gone and the Astros are halfway back to returning the World Series trophy to Houston.  As Tom and Jay look forward to the second half of the baseball season,  they are back  to discuss some of this week’s top compliance and ethics stories which caught their collective eyes.  1.    GDPR week. 2.    Why do FCPA resolutions take so long? Matthew Stephenson considers through the lens of the Walmart FCPA enforcement action. I3.    What is suspension and debarment? Jay Rosen explains in Part 1 of a five-part series.4.    The FBI is actively investigating in Latin America. Matt Ellis reports.5.    What finance can learn about compliance from recent corporate scandals. 6.    Deutsche Bank now under scrutiny for its role in 1 MDB scandal. Dylan Toklar continues to nail. 7.    What is data maintenance and why is it so critical to compliance? 8.    CCOs and D&O coverage. Julie DeMauro and Janaya Moscony. 9.    Caremark is alive and well, at least when it comes to ice cream. 10. Have you checked in on Trekkng Through Compliance? If not sample of this week’s exploration of Star Trek-the Original Series and compliance. Check out the following: Monday-Metamorphosis; Tuesday-Journey to Babel; Wednesday-Friday’s Child; Thursday-The Deadly Years; and Friday-Obsession. The podcast is available on multiple sites: the FCPA Compliance Report, iTunes, JDSupra, Megaphone,YouTube,  Spotify and Corporate Compliance Insights,  Compliance Podcast Networkand now on the C-Suite Radio Network. 11. Tom and Jonathan Marks are joining Sean Freidlin (back from his honeymoon) on a Hanzo webinar on Wednesday, July 17 at 2 PM EDT. We discuss compliance research, trend and key enforcement actions from Q2. The event is free. For more information and registration details, 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

Tom is back from Keynoting at the Le Circle De La Compliance in Paris. After the July 4thcelebrations he and Jay are back with a host of news from the world of compliance and ethics.  They are back  to discuss some of this week’s top compliance and ethics stories which caught their collective eyes.  1.    More Walmart. Dylan Tokar on the attorney/client waiver issue which arose during the case and what it may mean for the issue going forward. How and why was the Walmart monitorship issue decided. 2.    How can subcultures work to poison a corporate culture. 3.    What is the significance of the TechnipFMC Deferred Prosecution Agreement? 4.    SFO agrees to DPA (subject to court approval) with SERECO.5.    France moving towards more DPAs. 6.    CTFC awards whistleblowers $2MM. 7.    Why is ‘too good to be true’ still a correct maxim? 8.    First sitting compliance officer nominated to federal bench. 9.    Under CCPA is the biggest risk privacy or cyber security? 10. Have you checked in on Trekkng Through Compliance? If not sample of this week’s exploration of Star Trek-the Original Series and compliance. Check out the following: Monday-Who Mourns for Adonais?; Tuesday-The Changeling; Wednesday-Mirror Mirror; Thursday-The Appleand Compliance; and Friday-The Doomsday Machine.   The podcast is available on multiple sites: the FCPA Compliance Report, iTunes, JDSupra, Megaphone,YouTube,  Spotifyand Corporate Compliance Insights,  Compliance Podcast Networkand now on the C-Suite Radio Network.  Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.  For more information on how an independent monitor can help improve your company’s ethics and compliance program, visit our sponsor Affiliated Monitors at www.affiliatedmonitors.com.  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

Tom and Jay are on opposite coasts yet again. But they are back together to consider Walmart, TechnipFMC and a host of other news from the world of compliance and ethics.  They are back  to discuss some of this week’s top compliance and ethics stories which caught their collective eyes.  1.    Last week Walmart, this week TechnipFMC. 2.    The pundits weigh on Walmart. 3.    How did Walmart’s $900+ in presettlement expenditures impact its final penalty? 4.    Mike Lynch takes the stand in London, says Meg Whitman wasn’t up to the job. 5.    After FBI skewered DOJ gets conviction in Boston FCPA sting trial. 6.    Internal control airball in Sacramento? 7.    What is the state of cyber security in mid-2019? 8.    Does the EU whistleblower initiative enhance corporate culture? 9.    Can regulators leverage monitors? 10. Tom has a special 5-part podcast series this week, looking the current state of compliance with Terry Orr, MD of Kroll, who was the sponsor of the series. Check out the following: Part 1-Orr’s Journey to compliance; Part 2-significant FCPA enforcement actions; Part 3- the new DOJ Guidance; Part 4-Private Equity and Compliance; and Part 5-new challenges in healthcare compliance.   11. AP Capaldo-Aoun and Marcia Narine Weldon join the Compliance Podcast Network with their new podcast Integrity Factor. Check them out here. 12. Tom and Hanzo combine for a new eBook THE 2019 GUIDE TO INTERNAL INVESTIGATIONS FOR COMPLIANCE – An eBook on Planning, Protocols, Data Collection, Triage, and Remediation. It’s available for download at no charge 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

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

With Tom and Jay together for a week in the City of Champions (Boston) and Tom finally getting to Fenway Park to sing Sweet Caroline, he and Jay to take a break to join discuss both events some of this week’s top compliance and ethics stories which caught their collective eyes. 1.    Who owns a bribe and why does it matter? 2.    What are the 6 hats of an AML compliance professional?3.    Two prosecutors leave DOJ. 4.    What are some of the impacts of working with monitors? 5.    FBI skewered in another FCPA sting trial. 6.    Trump Tower in Moscow? What is the story? 7.    Italy enacts a law to provide credit for remediation during corruption investigations. 8.    Two top FCPA prosecutors leave DOJ and go into private practice. 9.    And you think you are having a bad day? Matt Kelly looks at an assination attempt on a CAE in South Africa. 10.  What is ghost money? 11. Tom has a special 3-part podcast series this week, looking at leadership lessons from Harry Truman, Douglas MacArthur and Truman’s firing of MacArthur on 12 O’Clock High, a podcast on business leadership. Check out the following: Part 1-Leadership lessons from Harry Truman; Part 2-Leadership lessons from Douglas MacArthur; Part 3- Leadership lessons from Truman’s firing of MacArthur.  The podcast is available on multiple sites: the FCPA Compliance Report, iTunes, JDSupra, Megaphone,YouTube,  Spotifyand Corporate Compliance Insights,  Compliance Podcast Networkand now on the C-Suite Radio Network. 12. The Everything Compliance gang begins a two-part podcast series looking at the Trump Administration’s first 6 months of 2019, from the compliance perspective. In Part 1, Matt Kelly, Sarah Hadden and Mike Volkov weigh in. In Part 2 (to be released June 27) Jay Rosen, Jonathan Armstrong and Tom Fox opine.  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