This Week in FCPA

Oct 23 2020 35 mins 3

Want to catch up the week’s top compliance and ethics stories in one podcast? This Week in FCPA is the podcast for you. Tom Fox, the Compliance Evangelist and Voice of Compliance and Jay Rosen, Mr. Monitor wrap up the week’s top compliance and ethics stories and commentaries. Throw in sports, movies the ongoing adventures of Mrs. Monitor and the twins and this podcast will be one of the most enjoyable 30 minutes you spend listening to each week.





Episode 227 – the Sending the Elevator Back Down edition
Oct 23 2020 28 mins  
As the Great Women in Compliance hosts publish their first book and Goldman Sachs settles its massive FCPA enforcement action over 1MDB, Tom and Jay are back to look at top compliance articles and stories which caught their eye this week. 1. Goldman Sachs settles FCPA enforcement action involving 1MDB. See, DOJ Press Release and Remarks of Acting Assistant Attorney General Brian Rabbitt. 2. What have we learned? Team #GWIC (Mary Shirely and Lisa Fine) publish their first book, Sending the Elevator Back Down. Annoucement on CCI. 3. What are the lessons of J&F Investments? Tom takes a deep dive in a 5-Part series on the FCPA Compliance and Ethics Blog. Part 1-Introduction, Part 2-the Bribery Scheme, Part 3-the SEC Order, Part 4-the Plea Agreement, Part 5-Final Thoughts. Mike Volkov does as well in a 4-Part series on Corruption Crime and Compliance. Part 1, Part 2, Part 3, Part 4. Tom and Matt Kelly go into the weeds on Compliance into the Weeds. 4. World Bank to put more resources into evaluating compliance programs. Joshua Ray in the FCPA Blog. 5. Do DPAs and NPAs encourage recidivism? Dylan Phillips continues the debate in the FCPA Blog. 6. Is there more corruption now in college sports? Pat Forde in SI.com. 7. What is the future of financial fraud? Jonathan Karpoff in the Harvard Law School Forum on Corporate Goverance. 8. Will FinTech be the great enabler of the next Industrial Revolution? Ingrid Vasiliu-Feltes on xpertsleague.com. 9. The Everything Compliance gang is back. In this episode, they consider what enforcement might look like under a Trump or Biden Administration. Listen here. 10. On the Compliance Podcast Network, on 31 Days to a More Effective Compliance Program, we continue our exploration of compliance for Business Ventures. Monday-Tying it all together for JVs; Tuesday-Know Your Customer; Wednesday- the Corporate Controller and Business Ventures; Thursday- Financial review of your business venture partner; Friday-Distributors as Business Venture Partners. 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 and Sam Silverstein for an Executive Forum on Ethics and Accountability on October 28, 2020 12-1 PM CT. Check at the agenda and register here. 12. Join Tom, Holly Sais Phillippi, Head of Americas Risk Sales, Refinitiv and Kelly M. Slavitt in a Refinitiv sponsored webinar, The Future of Due Diligence: Third-Party Risk in the Era of COVID-19, Tuesday, October 27, 1-2 PM CT. Check at the agenda and register here. 13. Check out the replay of the Navex Next 9th Annual Risk & Compliance Virtual Conference event Beyond the Moment. For more information, go here. Tom Fox is the Compliance Evangelist and can be reached at [email protected] Jay Rosen is Mr. Monitor and can be reached at [email protected] Learn more about your ad choices. Visit megaphone.fm/adchoices

Episode 226– the Losing My Yips edition
Oct 16 2020 28 mins  
As the (non-cheating) Houston Astros to attempt to return to the World Series, Tom and Jay are back to look at top compliance articles and stories which caught their eye this week. J&F Investments settles FCPA criminal case. Harry Cassin (as usual) breaks the story in FCPA Blog. Why third-party due diligence is an ongoing exercise. Mike Volkov in Corruption Crime and Compliance. Jim Nortz takes a deep dive into 3rd party risk management in Part 1 of a six-part series on CCI. Citigroup spanked for $400MM by OCC and the Fed. Matt Kelly with a double dive on Radical Compliance (Part 1 & Part 2). Matt and Tom take a deep dive on Compliance into the Weeds. Ephemeral messaging frowned upon by SEC. Jonathan Marks in Board and Fraud. The WEF’s ESG reporting now includes anti-corruption metrics. Worth MacMurray and Elaine Dezenski in the FCPA Blog. Supply Chains under more scrutiny. Vera Cherepanova in Navex Global’s Risk and Compliance Matters. Some open-door tales. Richard Leisner with a guest post on the D&O Diary. Do the FinCen Papers show we need an AM whistleblower protection program? Hamsa Mahendranathan in NYU Compliance and Enforcement Blog. On the Compliance Podcast Network, on 31 Days to a More Effective Compliance Program, we continue our exploration of compliance for Business Ventures. Monday-Safe Harbor in M&A; Tuesday-Pre-acquisition DD, the business perspective (with special guest Vin DiCianni); Wednesday- Pre-acquisition risk assessment; Thursday- Pre-acquisition due diligence; Friday-Integrating post acquisition (with special guest Eric Feldman). 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. Join Tom and Sam Silverstein for an Executive Forum on Ethics and Accountability on October 28, 2020 12-1 PM CT. Check at the agenda and register here. Join Tom, Holly Sais Phillippi, Head of Americas Risk Sales, Refinitiv and Kelly M. Slavitt in a Refinitiv sponsored webinar, The Future of Due Diligence: Third-Party Risk in the Era of COVID-19, Tuesday, October 27, 1-2 PM CT. Check at the agenda and register here. Check out the Navex Next 9th Annual Risk & Compliance Virtual Conference event Beyond the Moment October 22 from 10 AM to 4 PM. Check at the agenda and register here. Tom Fox is the Compliance Evangelist and can be reached at [email protected] Jay Rosen is Mr. Monitor and can be reached at [email protected] Learn more about your ad choices. Visit megaphone.fm/adchoices


Episode 225 – the I Beat Covid edition
Oct 09 2020 33 mins  
As President Trump claims to be ‘Covid-free’ and the (non-cheating) Houston Astros prepare to return to the ALCS, Tom and Jay are back to look at top compliance articles and stories which caught their eye this week. JPMorgan pays $920 million fine for spooking. Matt Kelly looks at it in Radical Compalince. Tom and Matt take a deep dive in Compliance into the Weeds. Mike Volkov considers on Corruption Crime and Compliance. What is ‘efficient patent infringement’ (sort of like being ‘just a little bit’ pregnant)? Jon Rusch in Dipping Through Geometries. Of donut holes and cyber attacks. Jonathan Marks in Board and Fraud. What is effective discipline? Jeff Kaplan in CEP Magazine. Is the SEC moving to increase its penalties in light of Lui? Robert Cohen and Stefani Johnson Myrick in NYU’s Compliance and Enforcement Blog. Mobile devices and internal investigations. David Carns in CCI. What is a Grand Jury subpoena? Sara Kropf in Grand Jury Target. The Everything Complaince gang takes a dive into the Herbalife FCPA resolution. Monday-Mike Volkov on what he would have done; Tuesday-Jay Rosen on the lack of a monitorship; Wednesday-Matt Kelly on the role of Internal Audit; Thursday-Jonathan Marks on the role of gatekeepers; Friday-Jonathan Armstrong on the UK perspective. On the Compliance Podcast Network, on 31 Days to a More Effective Compliance Program, we continue our exploration of compliance for Business Ventures. Monday-Dis-linking illegal conduct; Tuesday-JV Risks Under the FCPA; Wednesday- JV Due Diligence; Thursday-Compliance T&C’s in JV agreements; Friday-Auditing JVs .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. Join Tom (and Matt Kelly) for Home Stretch 2020, a webinar sponsored by Complaince Line. Check at the agenda and register here. Tom Fox is the Compliance Evangelist and can be reached at [email protected] Jay Rosen is Mr. Monitor and can be reached at [email protected] Learn more about your ad choices. Visit megaphone.fm/adchoices

Episode 224 – the White Supremacist edition
Oct 02 2020 34 mins  
As President Trump fumbles through the worst performance ever in a Presidential debate, the NBA Finals and MLB Playoffs are here. Tom and Jay are back to look at top compliance articles and stories which caught their eye this week. Sara Kropf admitted to American College of Trial Lawyers. On how she became a lawyer in Grand Jury Target. Calling a bribe a facilitation payment doesn’t make it legal. Dick Cassin explains in the FCPA Blog. Tom takes a deep dive into the Sargeant Marine FCPA enforcement action. Part 1-Intro, Part 2-the Enforcement Action, Part 3-the Penalty, Part 4-the Individual Guilty Pleas, and Part 5-Lessons Learned. Compliance risk around collaboration tools. Matt Kelly in Radical Compliance. Tom and Matt take a deep dive in Compliance into the Weeds. Can VW change its culture? Mengqi Sun and Jack Hagel in the WSJ Risk and Compliance Journal. Is your company (and you as well) ready for the future. Jim DeLoach on how to do so in CCI. NYC Bar releases recommendation on CCO liability in regulated industries. NYU Compliance and Enforcement Blog. Jonathan Marks asks “Quis Custodiet Ipsos Custodes”? In his Board and Fraud blog. This month on The Compliance Life, I am joined by DeAnna Nwankwo. In this week’s Part 4, DeAnna talks about standing your ground when you have to do so as a CCO. On the Compliance Podcast Network, on 31 Days to a More Effective Compliance Program, we conclude this month focuses on internal controls. This week saw the following offerings: Monday- Aseessing internal controls; Tuesday- Gap Analysis; Wednesday- Culture as an internal control. Join us in October for Business Ventures. 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. Join Jay and Tom at Converge20. Convercent’s top compliance conference is going virtual this year. Check at the agenda and register here. Tom Fox is the Compliance Evangelist and can be reached at [email protected] Jay Rosen is Mr. Monitor and can be reached at [email protected] Learn more about your ad choices. Visit megaphone.fm/adchoices

Episode 223 – the FinCen Papers edition
Sep 25 2020 32 mins  
As the ICIJ releases some 2100 SARs from FinCen detailing over $2 trillion in illegal banking activity, the fires in California, Oregon and Washington finally abate. Tom and Jay are back to look at top compliance articles and stories which caught their eye this week. The FinCen Papers. Banks and SARs. (NYT) HSBC allowed Ponzi scheme. (BBC) Cache of FinCen docs made public. (BBC) Aaron Nicodemus says it puts compliance in a bad light in Compliance Week (Sub Req’d). Martin Woods on the breach of trust in Compliance Week (Sub Req’d). Jaclyn Jaeger says look at the banks, In Compliance Week (Sub req’d). Matt Kelly weighs in on Radical Compliance. More data analytics tools for compliance. Dylan Tokar in the WSJ Risk and Compliance Journal. What makes a ‘Great Woman in Compliance’. Mary Shirley reports on her journey as co-host of #GWIC in CCI. What does doing more with less mean for compliance? Matthew McFillin and Amanda Rigby in the FCPA Blog. What are the 7 sins of ESG Management? FTI in the Harvard Law School Forum on Corporate Governance. The largest AML case in Hong Kong history. Jon Rausch in Dipping Through Geometries. Oil trader cops to FCPA violation. Harry Cassin breaks the story on the FCPA Blog Why the Board needs a separate Compliance Committee. Mike Volkov in Corruption Crime and Compliance. This month on The Compliance Life, I am joined by DeAnna Nwankwo. In this week’s Part 3, DeAnna talks about building trust as a CCO. On the Compliance Podcast Network, on 31 Days to a More Effective Compliance Program, this month focuses on internal controls. This week saw the following offerings: Monday- Objective I; Tuesday- Objective II;Wednesday- Objective III; Thursday- Objective IV; and Friday- Objective 5. 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. Join Jay and Tom at Converge20. Convercent’s top compliance conference is going virtual this year. Check at the agenda and register here. Join K2 Intelligence FIN, on September 30 for a webinar with the AIBACP, "Strategies for Surviving an Offsite Regulatory Examination," featuring Koby Bambilia, K2 FIN Managing Director, and a panel of experts, from banks to regulators. Registration and information here. Tom Fox is the Compliance Evangelist and can be reached at [email protected] Jay Rosen is Mr. Monitor and can be reached at [email protected] Learn more about your ad choices. Visit megaphone.fm/adchoices

Episode 222 – the Trees Gone Bad edition
Sep 18 2020 32 mins  
As Donald Trump blames the California and Oregon forest fires on ‘trees gone bad’; Tom and Jay continue to brave the surge in Covid cases by staying safe at home. They are back to look at top compliance articles and stories which caught their eye this week. How does Bluebell apply to cyber claims against a Board of Directors? Paul Ferllio, Bob Zukis and Christophe Veltsos in the Harvard Law School forum on Corp Governance. VW Monitor closes out monitorship. Jack Ewing in the NYT. Mengqi Sun in the WSJ Risk and Compliance Journal. Tom takes a deep dive into Herbalife. Part 1, Part 2, Part 3 and Part 4. The intersection of anti-human trafficking and ABC compliance. Vanessa Hans in the FCPA Blog. Does the DOJ have to turn in SEC investigative material in a criminal FCPA trial? Matt Kelly goes legal in Radical Compliance. The intersection of compliance and internal audit? Mike Volkov in Corruption Crime and Compliance. Who is a PEP? Dick Cassin considers a plethora of definitions in the FCPA Blog. Has Covid-19 changed the relationship between senior management and the Board? Dottie Schindlinger and Kira Ciccarelli in CCI. This month on The Compliance Life, I am joined by DeAnna Nwankwo. In this week’s Part 2, DeAnna talks about some of the skills she needed in the CCO chair. On the Compliance Podcast Network, on 31 Days to a More Effective Compliance Program, this month focuses on internal controls. This week saw the following offerings: Monday- Internal controls for 3rd parties; Tuesday- Internal controls for GTE; Wednesday- BOD oversight as an internal control; Thursday- Code of Conduct as an internal control; and Friday- What is the COSO Internal Controls Framework. The month of August is being sponsored by Affiliated Monitors. 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. Join Jay and Tom at Converge20. Convercent’s top compliance conference is going virtual this year. Check at the agenda and register here. Join a great upcoming K2 Intelligence FIN webinar. Robin Henry on how investigators can use social media, Thursday, 9-24 at 1600 GMT. Registration and information here. Join Tom, Charlie Voelker, Legal Compliance Solutions, Skillsoft and Stephen Martin, Partner, StoneTurn for a joint Skillsoft/StoneTurn webinar on evolving your compliance program under the 2020 Update to the Evaluation of Corporate Compliance Programs. Wednesday, September 23, from 12 PM - 1 PM EDT. Information and registration here. Tom Fox is the Compliance Evangelist and can be reached at [email protected] Jay Rosen is Mr. Monitor and can be reached at [email protected] Learn more about your ad choices. Visit megaphone.fm/adchoices

Episode 221– the Remembrance edition
Sep 11 2020 33 mins  
On this 19th anniversary of 9/11 Tom and Jay ask you to consider all that has changed for America in the past 19 years. Most importantly, remember there was a time when we were united as a country. We can do so again. We continue to brave the surge in Covid cases by staying safe at home. We are back to look at top compliance articles and stories which caught their eye this week. Lebanon, Corruption and a Bomb. NYT reporters: Ben Hubbard, Maria Abi-Habib, Mona El-Naggar, Allison McCann, Anjali Singhvi, James Glanz and Jeremy White. Are today’s CCO ‘Super Execs’? Dick Cassin explores in the FCPA Blog. Time for a compliance housecleaning? Dylan Tokar in the WSJ Risk and Compliance Journal. A turning point in AML enforcement? Jack Hagel in the WSJ Risk and Compliance Journal. HerabLife settles long standing FCPA matter. Mike Volkov goes deep in a 3-part series. Part 1, Part 2and Part 3. Does HerbalLife portend the end of monitors? Robert Anello in com. DOJ charges former Uber CISO for lying about data breach. Lawyers from Cleary Gottlieb in NYU’s Compliance and Enforcement Blog. Deutsche Bank fined yet again (twice). Matt Kelly reports in Radical Compliance. This month on The Compliance Life, I am joined by Deanna Nwankwo. She came to the CCO chair after a stint at QA in NASA. In this week’s Part 1, the message ‘The good news is you’re the new CCO. The bad news is you’re the new CCO.’ On the Compliance Podcast Network, on 31 Days to a More Effective Compliance Program, this month focuses on internal controls. This week saw the following offerings: Tuesday- Assessing internal controls in international operations; Wednesday-risk assessments and internals controls; Thursday- mapping internal controls; and Friday- Implementing internal controls. The month of September is being sponsored by Affiliated Monitors. 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. Join Jay and Tom at Converge20. Convercent’s top compliance conference is going virtual this year. Check at the agenda and register here. Two great K2 Intelligence FIN webinars upcoming. 1. Kevin Mullins and Yomi Peirce on procurement fraud during Covid-19, September 16, 2020; 1:00 PM ET. Registration and information here. 2. Robin Henry on how investigators can use social media, Thursday, 9-24 at 1600 GMT. Registation and information here. Tom Fox is the Compliance Evangelist and can be reached at [email protected] Jay Rosen is Mr. Monitor and can be reached at [email protected] Learn more about your ad choices. Visit megaphone.fm/adchoices

Episode 220 – the I Like to Watch edition
Aug 28 2020 40 mins  
As we move to our first non-PG podcast and channel our inner Chauncy Gardner with signature line, “I like to watch”, Tom and Jay continue to brave the surge in Covid cases by staying safe at home. They are back to look at top compliance articles and stories which caught their eye this week. What is monitoring and oversight? Matt Kelly draws compliance inspiration from Jerry Falwell who (allegedly) likes to watch his wife having sex with another man. What is risk-based due diligence? Financial regulators opine. Mengqi Sun in the WSJ. Bank/government partnership to fight financial crime. Dylan Tokar in WSJ. Why fraud matters, the Steve Bannon indictment. Mike Volkov. Why does the Palantir S-1 appear to be like the children of Lake Wobegon — stronger, better-looking, and above average? Francine McKenna explains on The Dig. Lucenda Shen sees a flag-waving, in Term Sheet. How bad was the sexual harassment on the Washington Football Club? Very Bad. Expose in the Washington Post. Are we losing the war on AML? Martin Woods says yes. More on McDonald’s suit against its former CEO? Fenwick West lawyers. This month on The Compliance Life, I am joined by Louis Sapirman. In Part 1, we looked at Louis personal and professional journey into compliance. In Part 2, we discussed the qualities of a successful CCO. In Part 3, communication as a driver of compliance. In this month’s final episode Part 4, Sapirman takes a look at the CCO role down the road. On Compliance and Coronavirus we had a week of Exiger. Tuesday had Brandon Daniels on Data Management and Data Security Moving out of Covid-19, Michael Beber on on M&A, IPOs and SPACs During and After Covid-19; and Anna Osborn on managed services and outsourced compliance. On the Compliance Podcast Network, on 31 Days to a More Effective Compliance Program, this month focuses on the role of the Board in compliance. This week saw the following offerings: Monday- BOD and succession planning; Tuesday-incorporating compliance strategy into long-term BOD planning; Wednesday-areas of BOD inquiry into compliance; Thursday- special guest Vin DiCianni on 3 specific BOD inquiries on compliance; and Friday-20 questions. The month of August is being sponsored by Affiliated Monitors. 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. Please join us in September where I take a deep dive into Internal Controls. Join Jay and Tom at Converge20. Convercent’s top compliance conference is going virtual this year. Check at the agenda and register here. There’s a place where True Crime meets Compliance, and its name is Fraud Eats Strategy. Check out this new show by Scott Moritz of FTI consulting, and catch all the episodes, notes, resources and more on the Compliance Podcast Network! We’d love to hear what you think of the show, and we’d love it even more if you shared it with a friend, colleague or that one guy you think might be a secret oligarch. Check out this great new podcast series here. This week on the FCPA Compliance Report, some of the top commentators in compliance have joined Tom to discuss some of the top developments in compliance over the past 10 years. The schedule for this week is as follows: Monday, Aug. 24 – Episode 495 - Mike Volkov on changes in FCPA enforcement; Tuesday, Aug. 25 - Episode 496 - Matt Kelly on changes in compliance from the business journalist perspective; Wednesday, Aug. 26 - Episode 497 - Jonathan Armstrong in changes in data protection/data privacy compliance; Thursday, Aug. 27 - Episode 498 - Jay Rosen in changes to proactive monitoring from the business development perspective; and Friday, Aug. 28 - Episode 499 - Jonathan Marks on how changes in internal audit both mirror and even foreshadow some of the changes he has seen in compliance. Learn more about your ad choices. Visit megaphone.fm/adchoices

Episode 219 – the Failure to Prevent edition
Aug 21 2020 43 mins  
As the Trump Administration backtracks from its avowed goal to destroy the USPS, Tom and Jay brave the surge in Covid cases by staying safe at home. They are back to look at top compliance articles and stories which caught their eye this week. 1. First DOJ Opinion Release in 6 years. What is the significance? Tom explains it all in the FCPA Compliance and Ethics Blog. 2. FCPA enforcement action involving international adoptions. Harry Cassin in the FCPA Blog. 3. Bank/government partnership to fight financial crime. Dylan Tokar in WSJ Risk and Compliance Journal. 4. Once a cheater, always a cheater? Daimler pays $2bn fine. Aaron Nicodemus in Compliance Week(sub req’d) 5. At the one year anniversary of the Business Roundtable’s Statement on the Purpose of a Corporation, Mike Volkov reviews Board performance in a 4-part series on Corruption, Crime and Compliance. Part 1, Accountability. Part 2, diversity. Part 3, challenges for Board decision-making. Part 4, steps to advance corp governance. 6. Is ‘Failure to Prevent’ the next big crime in the UK? Cordery Compliance alert. 7. When can you use a corruption defense in litigation? VE lawyers in the State Bar of Texas Int’l Law Journal. 8. Does the McDonald’s suit against its former CEO implicate D&O coverage? Kevin LaCroix opines in the D&O Diary. 9. This month on The Compliance Life, I am joined by Louis Sapirman. In Part 1, we looked at Louis personal and professional journey into compliance. In Part 2, we discussed the qualities of a successful CCO. In this week’s Part 3, communication as a driver of compliance. 10. On Compliance and Coronavirus we had a week of AMI. Tuesday had Eric Feldman discussing culture and compliance during Covid-19, Vin DiCianni on using compliance ambassadors during Covid; and Deb Waugh on challenges in the health care profession. 11. On the Compliance Podcast Network, on 31 Days to a More Effective Compliance Program, this month focuses on the role of the Board in compliance. This week saw the following offerings: Monday-what leads to a successful BOD investigation; Tuesday- Board metrics for compliance;Wednesday-BOD failures with special guest Vin Dicianni; Thursday- BOD & doing business in China; and Friday-the Board’s role in hiring. The month of August is being sponsored by Affiliated Monitors. 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. 12. Join Jay and Tom at Converge20. Convercent’s top compliance conference is going virtual this year. Check at the agenda and register here. 13. Join Tom and Vince Walden (host of The Walden Pond) for a webinar on the ROI of Compliance, Tuesday August 25, 10 AM CT. Registration and Information here. 14. Join Tom and AMI’s Don Stern for a review of the 2020 Update to the Evaluation of Corporate Compliance Programs as a part of Navex Global’s quarterly MasterClass on Thursday, August 27. Information and registration here. 15. Join K2 Intelligence FIN’s Bernard Factor for a webinar entitled “Examining the Nuances of Correspondent Banking to Address BSA/AML Compliance Risk”. Registation and Information here. 16. Join Tom next week on the FCPA Compliance Report, as he leads up to the 500th episode. All next week some of the top commentators in compliance will join Tom to discuss some of the top developments in compliance over the past 8 year. It is all leading up to the 500th anniversary episode which will run Monday, August 31. Tom Fox is the Compliance Evangelist and can be reached at [email protected] Jay Rosen is Mr. Monitor and can be reached at [email protected] Learn more about your ad choices. Visit megaphone.fm/adchoices

Episode 218 – the Bags of Cash edition
Aug 14 2020 37 mins  
Tom and Jay brave the surge in Covid cases by staying safe at home. They are back to look at top compliance articles and stories which caught their eye this week. World Acceptance bribed with bags of cash. Mike Volkov in Crime Corruption & Compliance. Implications from the end of Privacy Shield. Lawyers from Debevoise & Plimpton in NYU’s Compliance and Enforcement blog. NRA shoots itself in foot over non-compliance? Kyle Brausser in Compliance Week. (sub req’d) Using lessons learned. Jeff Kaplan and Rebecca Walker in CCI. Dick Cassin asks ‘are agents ever legal under the FCPA?’ in the FCPA Blog. Applying 2020 Updates to anti-trust compliance. Matt Kelly writing in Navex Global’s Ethics and Compliance Matters. What is a metric’s inventory and why do you need one? Tom explains in the FCPA Complaince and Ethics Blog. Follow on corruption litigation is expensive. Kevin LaCroix in the D&O Diary. This month on The Compliance Life, I am joined by Louis Sapirman. In Part 1, we looked at Louis personal and professional journey into compliance. In this week’s Part 2, we discussed the qualities of a successful CCO. On Compliance and Coronavirus this week, we had John Fanning discusses the increased need for due diligence during Covid-19, Andy Goldstrom on compliance adaptations during Covid; and Jed Gardner on business as usual. On the Compliance Podcast Network, on 31 Days to a More Effective Compliance Program, this month focuses on the role of the Board in compliance. This week saw the following offerings: Monday-BOD’s inquiring up and down; Tuesday- the BOD’s role in internal controls; Wednesday-BOD as an internal control; Thursday- BOD governance and risk oversight; and Friday-what is your Board’s investigative protocol. The month of August is being sponsored by Affiliated Monitors. 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. Join Jay and Tom at Converge20. Convercent’s top compliance conference is going virtual this year. Check at the agenda and register here. Tom Fox is the Compliance Evangelist and can be reached at [email protected] Jay Rosen is Mr. Monitor and can be reached at [email protected] Learn more about your ad choices. Visit megaphone.fm/adchoices


Episode 217 – the Fahrenheit 451 edition
Aug 07 2020 36 mins  
How does Fahrenheit 451 foretell non-compliance regulation in Germany? Tom and Jay brave the surge in Covid cases by staying safe at home to tell the tale. They are back to look at top compliance articles and stories which caught their eye this week. OFAC focusing on screening errors. Mike Volkov with a 3-part series on Corruption Crime and Compliance. Part 1, Part 2 and Part 3 There is no single panacea for stopping corruption. Matthew Stephenson in GAB. 5 top steps for data transfer after Schrems III. Neil Hodge in Compliance Week. (sub req’d) What’s the cost of non-compliance? For Wells Fargo, a staggering $15.8 Billion. Matt Kelly explores on Radical Compliance. Fahrenheit 451, compliance and German regulators? Rosemary Lark considers in the FCPA Blog. Coronavirus Comeback planner. Navex Global’s Ethics and Compliance Matters. A compliance approach to excessive force in policing. Joseph Murphy and Emil Moschella in NYU’s Compliance and Enforcement Crisis preparedness and the BOD? Joydip Day explores in CCI. This month on The Compliance Life, I am joined by Louis Sapirman. In Part 1, we looked at Louis personal and professional journey into compliance. AMI week on Compliance and Coronavirus as Maurice Gilbert discusses the compliance hiring scene Covid-19, Andy Goldstrom on business sustainability; and Laura Petrolino on storytelling for communications. On the Compliance Podcast Network, Tom begins a new month on 31 Days to a More Effective Compliance Program, this month focusing on the role of the Board in compliance. This week saw the following offerings: Monday-legal obligations of the BOD; Tuesday- prudent discharge of BOD obligations; Wednesday-BOD Compliance Committees; Thursday- OIG guidance for BODs; and Friday-Compliance expertise on the BOD. The month of July is being sponsored by Affiliated Monitors. 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. Join Jay and Tom at Converge20. Convercent’s top compliance conference is going virtual this year. Check at the agenda and register here. Tom Fox is the Compliance Evangelist and can be reached at [email protected] Jay Rosen is Mr. Monitor and can be reached at [email protected] Learn more about your ad choices. Visit megaphone.fm/adchoices

Episode 216 - the 1MDB Moves Towards Resolution edition
Jul 31 2020 33 mins  
As the international fight against corruption took two small steps forward this week in the 1MDB case, Tom and Jay brave the surge in Covid cases by staying safe at home. They are back to look at top compliance articles and stories which caught their eye this week. Goldman Sachs settles with Malaysia for nearly $4bn. Ben Otto and Chester Tay report in the WSJ. Former Malaysia PM convicted in 1MDB scandal, Harry Cassin reports in the FCPA Blog. Mike Volkov reports on two big enforcement actions in Pharma. Indivior and illegal marketing of opioid products. Taro Pharma and price-fixing. What are the shared elements in a best practices compliance program? Jaclyn Jaeger explores in Compliance Week. (sub req’d) How can you test your hotline? Matt Kelly explores on Radical Compliance. Why is Germany soft of corporate crime? Dick Cassin considers in the FCPA Blog. Whistleblower management in the EU. Frank Staelens in CCI. How can you audit AI? James Bone explores in CCI. What should be the goal of effective internal controls? Alex Movchan interviews Edmund Sanders in Risk and Compliance Platform Europe. This month on The Compliance Life, I am joined by Scott Sullivan, Chief Integrity and Compliance Officer at Newport Mining. In Part 1, we discussed the need for empathy in a CCO. In Part 2, we looked at reading the tea leaves and staying ahead of the (corp) wolf pack. In Part 3, we considered who a CCO needs on their compliance team. In this concluding Part 4, we look at the CCO and compliance function down the road. AMI week on Compliance and Coronavirus as Jerry Coyne discusses telemedicine and Covid-19, Don Stern on how Covid-19 will impact federal prosecutors and Mikhail Reider-Gordon compliance issues during the business reopenings. On the Compliance Podcast Network, Tom concludes the topic of 3rd party risk management. This week saw the following offerings: Monday-freight forwarders; Tuesday- risk ranking in the Supply Chain; Wednesday-data and 3rd party risk management (Vin DiCianni as guest); Thursday-enforcement actions; and Friday-wrap up. The month of July is being sponsored by Affiliated Monitors. 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. Join us in August for the role of the Board of Directors. Upcoming Webinars: K2-FIN, Windward, and C4ADS Webinar—New Sanctions Developments in the Maritime Sector: UK Sanctions Shipping Guidance and Venezuelan Shipping in Focus, August 5, 2020 at 10:45 to 11:45 AM EST; with Juan Zarate and Eric Lorber. Registration and Information here. Tom Fox is the Compliance Evangelist and can be reached at [email protected] Jay Rosen is Mr. Monitor and can be reached at [email protected] Learn more about your ad choices. Visit megaphone.fm/adchoices

Episode 215 – the Something’s Burning edition
Jul 24 2020 36 mins  
As the Chinese Consulate burns papers after its closure, Tom and Jay brave the surge in covid cases by staying safe at home. They are back to look at top compliance articles and stories which caught their eye this week. 1. More compliance guidance from OFAC. Dick Cassin reports in the FCPA Blog. 2. First ComEd fined $200MM in Illinois, then Speaker of Ohio House charged in massive state corruption probes. Matt Kelly in Radical Compliance on Illinois. Julie Wernau and Katherine Blunt in WSJ on Ohio. 3. Was Willie Nelson or Patsy Cline crazy? Bill Steinmann says it’s the FCPA year 2020 in the FCPA Blog. 4. Mike Volkov goes Old Testament about Amazon OFAC sanctions. In Corruption Crime and Compliance. 5. From 3 Lines of Defense to the 3 Lines Model as the IIA updates its model. Matt Kelly back with a rare double double for This Week in FCPA in Radical Compliance. 6. Compliance really is a journey. Mary Shirley in CCI. 7. How is Covid-19 impacting compliance? Jennifer Sun explores in CCI. 8. The Ethical Revolution in Business. Philip Winterburn and Jane Mitchell in Converge. 9. This month on The Compliance Life, I am joined by Scott Sullivan, Chief Integrity and Compliance Officer at Newport Mining. In Part 1, we discussed the need for empathy in a CCO. In Part 2, we looked at reading the tea leaves and staying ahead of the (corp) wolf pack. This week in Part 3, we considered who a CCO needs on their compliance team. 10. On the Compliance Podcast Network, Tom continues the topic of 3rd party risk management this month.This week saw the following offerings: Monday-the ROI of 3rd party compliance (Linda Justice as guest); Tuesday- 3rd parties as innovation partners (Eric Feldman as guest), Wednesday-3rd party risk expansion; Thursday-termination of 3rd parties; and Friday-distributor compensation. The month of July is being sponsored by Affiliated Monitors. 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. Great Upcoming Webinars: K2 Intelligence Fin Webinar with AIBACP: Pandemics to Recession—Finding AML and ABC Synergies in Tough Times, July 30, 2020 at 1:30 PM - 2:30 PM EST; with JoAnn Taylor and Adam Frey. Registration and Information here. ECI's Best Practice Forum, a Q&A Session with Brian Rabbitt, Acting Assistant Attorney General for the Criminal Division on the FCPA Resource Guide, 2nd edition, Thursday, July 30, 2:00 - 4:00 p.m. EDT. Registration and Information here. Tom Fox is the Compliance Evangelist and can be reached at [email protected] Jay Rosen is Mr. Monitor and can be reached at [email protected] Learn more about your ad choices. Visit megaphone.fm/adchoices

Episode 214 – the SFO Gets a Win edition
Jul 17 2020 33 mins  
As the SFO finally garners convictions at trial, Tom and Jay brave the surge in covid cases to stay safe they are back to look at top compliance articles and stories which caught their eye this week. SFO finally garners convictions. Susan Hawley reports in the FCPA Blog. Did the SFO get played? Kristen Ridley considers in Reuters. EU Court of Justice invalidates Privacy Shield. Catherine Stupp in WSJ Risk and Compliance Journal. Cordery Compliance with a client alert. The SEC and its China Problem. Francine McKenna in The Dig. The biggest gold scandal ever? Jon Rausch in Dipping Through Geometries. UK imposes Magnitsky sanctions. Dick Cassin in the FCPA Blog. SEC has $3.8MM whistleblower payout. SEC Press Release. Is compliance in the need for a digital transformation? Adam Shinder shows the way in CCI. How to conduct an audit engagement in a high risk region. Alex Movchan in Risk and Compliance Platform Europe. How much did ego and greed lead to Wirecard scandal? Michael Tobee in CCI. This month on The Compliance Life, I am joined by Scott Sullivan, Chief Integrity and Compliance Officer at Newport Mining. In Part 1, we discussed the need for empathy in a CCO. In Part 2, we look at reading the tea leaves and staying ahead of the (corp) wolf pack. On the Compliance Podcast Network, Tom started the topic of 3rd party risk management this month.This week saw the following offerings: Monday-the how question in due diligence; Tuesday-metrics on 3rd party management, Wednesday-managing 3rd parties; Thursday-auditing of 3rd parties; and Friday-ongoing monitoring of 3rd parties. The month of July is being sponsored by Affiliated Monitors. 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. Great Upcoming Webinars: Navigating the Risks of Prescribing Opioids for Chronic Pain in the COVID-19 Era, Wednesday, July 22, 2020 12:00 PM EDT; with Jesse Caplan, Deb Waugh and Amy Fogelman, M.D. Registration and Inforamtion here. Computer Say ‘No’: Mitigating Legal & Ethical Risks in Public Agency Use of Automated Decision-Making Tools, Tuesday, July 28, 2020 12:00 PM EDT; with David Shonka, Mikhail Reider-Gordon and Jonathan Redgrave. Registration and Information here. ECI's Best Practice Forum, a Q&A Session with Brian Rabbitt, Acting Assistant Attorney General for the Criminal Division on the FCPA Resource Guide, 2nd edition, Thursday, July 30, 2:00 - 4:00 p.m. EDT. Registration and Information here. Tom Fox is the Compliance Evangelist and can be reached at [email protected] Jay Rosen is Mr. Monitor and can be reached at [email protected] Learn more about your ad choices. Visit megaphone.fm/adchoices

Episode 213 – the Second Edition edition
Jul 10 2020 35 mins  
The DOJ/SEC drop the 2nd edition to the FCPA Resource Guide at 5 PM on July 2. As Tom and Jay brave the surge in covid cases to stay safe they are back to look at top compliance articles and stories which caught their eye this week. FCPA Resource Guide, 2nd edition released. Tom takes a deep dive in a 5-part blog post series on the FCPA Complinace and Ethics Blog. Part 1-The New Hallmark, Part 2-FCPA Corporate Enforcement Policy, Part 3- the Accounting Provisions, Part 4- Policy and Case Law Updates, Part 5-What does it all mean? Jonathan Marks on Borad and Fraud. Tom and Matt Kelly in Compliance into the Weeds. After its FCPA settlement, Novatris pays another $678MM for corruption inside the US. Mike Volkov in Corruption Crime and Compliance. A plan to restore trust in South Africa ABC enforcement. Larry Kirsch guest posts in GAB. A reassessment of due diligence in China? Jenny Liang opines in the FCPA Blog. Venezuela can’t get its gold out of England. Jon Rausch in Dipping Through Geometries. Amazon settles OFAC sanctions enforcement action. Mengqui Sun in the WSJ Risk and Compliance Journal. How can you make a risk management committee effective? Jim DeLoach shows the way in CCI. Is Deutsche Bank the world’s most corrupt? Matt Kelly digs in on Radical Compliance. Going from disaster recovery to business continuity? Carrie Penman in Ethics and Compliance Matters. On Compliance and Coronavirus, I was joined this week by Paul Mueller on how to reset, restart and accelerate your business in the era of Coronavirus; Ian Denis on employment and communication during Covid-19 and Breeda Miller on caregiving in the era of Covid-19. On the Compliance Podcast Network, Tom started the topic of 3rd party risk management this month.This week saw the following offerings: Monday-Questionniare; Tuesday-Due Diligence,Wednesday-levels of DD; Thursday-evaluating DD and clearing red flags; and Friday-compliance terms and conditions. The month of July is being sponsored by Affiliated Monitors. 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. Great Upcoming Webinars: Navigating the Risks of Prescribing Opioids for Chronic Pain in the COVID-19 Era, Jul 22, 2020 12:00 PM in Eastern Time (US and Canada); with Jesse Caplan, Deb Waugh and Amy Fogelman, M.D. Registration and Inforamtion here. Computer Say ‘No’: Mitigating Legal & Ethical Risks in Public Agency Use of Automated Decision-Making Tools, Jul 28, 2020 12:00 PM in Eastern Time (US and Canada); with David Shonka, Mikhail Reider-Gordon and Jonathan Redgrave. Registration and Information here. ECI's Best Practice Forum, a Q&A Session with Brian Rabbitt, Acting Assistant Attorney General for the Criminal Division on the FCPA Resource Guide, 2nd edition, Thursday, July 30 2:00 - 4:00 p.m. EDT. Registration and Information here. Tom Fox is the Compliance Evangelist and can be reached at [email protected] Jay Rosen is Mr. Monitor and can be reached at [email protected] Learn more about your ad choices. Visit megaphone.fm/adchoices

Episode 212 – the Happy July 4th edition
Jul 02 2020 38 mins  
As President Trump allows Russia to pay bounties for the Taliban to kill American soldiers, self-isolating (again) Jay and Tom have a special Thursday July 4th edition to look at top compliance articles and stories which caught their eye this week. The Novartis FCPA settlement. Tom has a 5 part series Part 1-Introduction, Part 2-the Bribery Schemes,Part 3-Internal Controls, Part 4-Fines, Penalties and Recidivism; Part 5-Data Analytics. Matt Kelly with Radical Compliance. Mike Volkov has a 3 part series on Corruption Crime and Compliance. Matt and Tom take a deep dive on Compliance into the Weeds. After all this Novatris pays another $678MM for corruption inside the US, see DOJ Press Release. Why you need a plan for distributors under the FCPA. Bill Steinman opines in the FCPA Blog. Alexion settles FCPA enforcement action. Dick Cassin breaks the story in the FCPA Blog. Banks facing increased compliance risks. Mengqi Sun in the WSJ Risk and Compliance Journal. The DOJ 2020 Update to the Evaluation of Corporate Compliance Programs with a new emphasis on middle management. Dylan Tokar and Jack Hegal in the WSJ Risk and Compliance Journal. How badly did EY botch the Wirecard audit? Michael Rapaport guest posts on Francine McKenna’s The Dig. CCPA went live on July 1. Were you ready? Jessica Wilburn on Navex Global’s Ethics Matters. What is the role of compliance in the future of work? Neta Meidav in CCI. On Compliance and Coronavirus, I was joined this week by Ryan Schonfeld to discuss IT and physical security in the era of Coronavirus; Cindy Flynn on employment law issues and Bill Sanderson business change in the era of Covid-19. On the Compliance Podcast Network, Tom concluded his one month look at the role of HR in compliance on 31 Days to a More Effective Compliance Program and started a new month of looking at 3rdThis week saw the following offerings: Monday-the parameters of attorney/client privilege; Tuesday-Miranda warnings in internal investigations. On July 1, the new month brought the new topic of 3rd party risk management. Wednesday-the 3rdParty risk management process; Thursday-the business rationale. The month of July is being sponsored by Affiliated Monitors. 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 [email protected] Jay Rosen is Mr. Monitor and can be reached at [email protected] Learn more about your ad choices. Visit megaphone.fm/adchoices

Episode 211 – the Missing $2bn edition
Jun 26 2020 3 mins  
As Wirecard seems to be missing $2bn, Texas Covid-19 cases explode as self-isolating Tom and self-distancing Jay are back to consider some of the week’s top compliance articles and stories on This Week in FCPA. Supreme Court rules on profit disgorgement. Harry Cassin breaks the story in the FCPA Blog. Tom and Matt Kelly discuss in this week’s Compliance into the Weeds. Mengqi Sun opines it could shrink whistleblower awards, on the WSJ Risk and Compliance Journal. What are 5 ways to use a risk assessment? Jeff Kaplan in the FCPA Blog. Is the SEC on a rampage around internal controls? Bill Steinman thinks so, in the FCPA Blog. What are some of the problems with foreign issuers? Alissa Kole Amico on the Harvard Law School Forum on Corporate Governance. Covid-19 issues and compliance, all on CCI. David England on 3rd Party Risk Management; Chris Jeffrey on your control environment; and Casey Pozarowszczky on fraud risk. What do global ABC enforcement agencies look like? Jon Rausch explores on Dipping Through Geometries. Wirecard is the first and biggest fraud of the 20’s. Reports in the WSJ-CEO Arrested & Missing $2bn, NYT-CEO Resigns, FT-the Reckoning. Novartis settles massive FCPA enforcement action. WSJ Risk and Compliance Journal. Interested in moving to the CCO chair? Check out my latest podcast series The Compliance Lifewhere I interview one CCO type for a month on their journey to the CCO chair and beyond. In on this month’s edition I visit with Ryan Rabalais. In this concluding Part 4, he reflects on the role of coprorate culture. The Compliance Life is now available on iTunes. On Compliance and Coronavirus this week, a week of AMI: Rod Grandon on government bailouts and PPP compliance issues; Jesse Caplan on health care issues during crisis; Dionne Lomax joins me to M&A issues that may be coming down the road. Compliance and Coronavirus is available on iTunes here. On the Compliance Podcast Network, on 31 Days to a More Effective Compliance Program, this month’s topic has been internal reporting and investigations. This week’s offerings: Monday-How an investigation informs remediation; Tuesday-Asking some tough questions; Wednesday-Board investigative protocols; Thursday- how to have a successful Board investigation; Friday- how the Yates Memo changed investigations. Note 31 Days to a More Effective Compliance Program now has its own iTunes channel. Join Tom and Convercent’s Philip Winterburn to look at hotline reporting data during Covid-19 and what it means for compliance practitioners going forward. Tuesday June 30 at 10 AM CT. Registration and information are available here. It’s free. Tom Fox is the Compliance Evangelist and can be reached at [email protected] Jay Rosen is Mr. Monitor and can be reached at [email protected] Learn more about your ad choices. Visit megaphone.fm/adchoices

Episode 210 – the Bostock edition
Jun 18 2020 41 mins  
As Trump has trouble drinking a glass of water and walking (Note-not at the same time), Covid-19 cases spike, the US Supreme Court hands down a landmark decision on protections for the LGBTQ community in the workplace, self-distancing Tom and Jay are back to consider some of the top compliance articles and stories over the past week. Mike Volkov takes the chickens out to roost in a 3-part series on the DOJ Antitrust Division charges of price-fixing and bid-rigging conspiracy. In Corruption Crime & Compliance. Jon Rausch weighs in on Dipping Through Geometries. How will WFH change business? Alison Taylor opines on the World Economic Forum What are the three ‘R’s’ of a speak up culture? Lloydette Bai-Marrow on the FCPA Blog. GOP stymies data privacy/data protection legislation yet again. Dave Uberti reports in the WSJ. It’s your culture stupid. Jim Nortz in CCI. How is Covid-19 changing internal audit. Matt Kelly explores in Radical Compliance. Viva La France. Dylan Tokar reports in the WSK Risk and Compliance Journal. Making sure compliance is not marginalized during financial dislocation. A plethora of authors contribute on NYU’s Compliance and Enforcement Blog. The ethical upside to WFH. In the Center for Ethical Leadership Interested in moving to the CCO chair? Check out my latest podcast series The Compliance Lifewhere I interview one CCO type for a month on their journey to the CCO chair and beyond. In on this month’s edition I visit with Ryan Rabalais. In this Part 3, he details some of key skills of a CCO. The Compliance Life is now available on iTunes. On Compliance and Coronavirus this week,: Scott Price on cyber security risks going forward; Gabe Gumbs data privacy and data protection during the economic dislocation and Covid-19; David McLaughlin joins me to discuss increasing automation to enhance compliance. Compliance and Coronavirus is available on iTunes here. On the Compliance Podcast Network, this month topic: internal reporting and investigations; all on 31 Days to a More Effective Compliance Program. This week’s offerings: Monday-The Investigative Team; Tuesday-investigative challenges; Wednesday-the witness interview; Thursday- issues in cross-border investigations; Friday- who and when to suspend. Note 31 Days to a More Effective Compliance Program now has its own iTunes channel. How does the Hundred Acre Wood inform compliance? Check out Tom’s 5-part blog post series on the FCPA Compliance and Ethics Blog. Monday-Tigger and Sales; Tuesday-Kanga, Roo & Ombudsman; Wednesday-Eeyore and corp legal; Thursday-Piglet and Finance; Friday-Winnie the Pooh as CECO. Tom Fox is the Compliance Evangelist and can be reached at [email protected] Jay Rosen is Mr. Monitor and can be reached at [email protected] Learn more about your ad choices. Visit megaphone.fm/adchoices


Episode 209 – the George Floyd is Buried edition
Jun 12 2020 38 mins  
As Trump goes back into hiding in his bunker, the rest of the country continues to reopen. Self-Tom and Jay are back to consider some of the top compliance articles and stories over the past week. Final thoughts on the DOJ 2020 Update to the Evaluation of Corporate Compliance Programs. Tom summarizes the highlights on the FCPA Compliance and Ethics Blog. Mike Volkov gives his five top takeaways. Want to see examples of ham-fisted leadership. Matt Kelly on Radical Compliance. Tom and Matt take a deep dive in Compliance into the Weeds. Why does WFH raise compliance risks? Vera Cherapanova on the FCPA Blog. How did Jho Low use Kuwait to continue his fraud? Reporting in the WSJ. Common features of corruption and police brutality. Matthew Stephenson opines in GAB. How can you sharpen your cyber security? Jim DeLoach in CCI. How can you build a listen up culture? Bob Conlin on Navex Global’s Ethics and Compliance Matters Managing risk in compliance staffing. Kathryn Reimann on NYU’s Compliance and Enforcement Blog. Brian Benczkowski bails the DOJ. Dylan Tokar on the WSJ Risk and Compliance Journal. Interested in moving to the CCO chair? Check out my latest podcast series The Compliance Lifewhere I interview one CCO type for a month on their journey to the CCO chair and beyond. In on this month’s edition I visit with Ryan Rabalais. In this Part 2, he details why the corp compliance function can be seen as a Black Box. The Compliance Life is now available on iTunes. On Compliance and Coronavirus this week, I feature three podcasts from the folks at K2 Intelligence FIN: Gabe Hidalgo on lessons for financial institutions during the time of Covid-19; Sepideh Rowland on PPP and changing risks for financial institutions; Ray Dookhie joins me to discuss evolving fraud risk during the time of Covid-19. Compliance and Coronavirus is available on iTunes here. On the Compliance Podcast Network, this month topic: internal reporting and investigations; all on 31 Days to a More Effective Compliance Program. This week’s offerings: Monday-internal reporting and whistleblowers during layoffs; Tuesday-triage of allegations; Wednesday-the investigation protocol; Thursday- preparing for an investigation; Friday- selection of investigative counsel. Note 31 Days to a More Effective Compliance Program now has its own iTunes channel. Join Tom and Jonathan Marks for a webinar on the 2020 Update to the Evaluation of Corporate Compliance Programs. Thursday, June 18 at noon CT. Registration and information available here. Join Jay’s AMI colleagues Dionne Lomax and Jesse Caplan for a webinar entitled, “The DOJ’s New Guidance for Antitrust Compliance Programs + Special Considerations During the COVID Pandemic”. This webinar will discuss the U.S. Department of Justice Antitrust Division’s recently announced initiative to encourage corporations to develop and implement effective antitrust compliance programs. Our panel will discuss the new guidance and special considerations during the COVID pandemic and provide practical tips for developing a comprehensive program, including tips on how to handle a federal and/or state antitrust investigations. The event will be held next Tuesday, June 16th, at 12P EST/9A PST. Registration and information can be found here. Tom Fox is the Compliance Evangelist and can be reached at [email protected] Jay Rosen is Mr. Monitor and can be reached at [email protected] Learn more about your ad choices. Visit megaphone.fm/adchoices

Episode 208 – the Trump Administration Attacks Americans edition
Jun 05 2020 33 mins  
As peaceful protesters are attacked by the Army on the order of the Trump Administration, Tom and Jay ask “now that Trump has his wall around the White House, will Mexico pay for it?” Self-distancing Tom and Jay are back to consider some of the top compliance articles and stories on the new 2020 Update to the DOJ Evaluation of Corporate Compliance Programs. Tom Fox goes through a multipart deep dive. Part 1-Overall Themes, Part 2-Data and Continuous Improvement, Part 3-Third parties and M&A, Part 4-CCO and the Complaince Function, Part 5-Conclusion. Matt Kelly explores on Radical Compliance. Matt Kelly goes Pizza Pizza with another article in Navex Global’s Ethics and Compalince Matters. Dylan Tokar reports in WSJ Risk and Compliance Journal. Mike Volkov has a 3-part exploration on Corruption Crime and Compliance. Part 1, Part 2 and Part 3. Dick Cassin explores organizational justice in the FCPA Blog. Jonathan Marks looks at it from the forensic perspective in Board and Fraud. Interested in moving to the CCO chair? Check out my latest podcast series The Compliance Lifewhere I interview one CCO type for a month on their journey to the CCO chair and beyond. In on this month’s edition I visit with Ryan Rabalais. In this Part 1, he details his journey into compliance and the winding road which took him to the CCO Chair. The Compliance Life is now available on iTunes. On Compliance and Coronavirus this week: David Wolf on using podcasting and audio white papers as communication tools during the time of Covid-19; James Green on operationalizing risk management during this health crisis; Eden Gillott joins me to discuss crisis communication during the time of Covid-19. Compliance and Coronavirus is available on iTunes here. On the Compliance Podcast Network, this month topic: internal reporting and investigations; all on 31 Days to a More Effective Compliance Program. This week’s offerings: Monday-intro to internal reporting and investigations; Tuesday-Advantages of an internal reporting system; Wednesday-Internal reporting case study; Thursday- Internal Reporting Best Practices; Friday- Answering DOJ questions on internal reporting. Note 31 Days to a More Effective Compliance Program now has its own iTunes channel. Tom Fox is the Compliance Evangelist and can be reached at [email protected] Jay Rosen is Mr. Monitor and can be reached at [email protected] Learn more about your ad choices. Visit megaphone.fm/adchoices

Episode 207 – the End of May edition
May 29 2020 37 mins  
As May ends and June begins, Tom and Jay ask “will the next month be any different for you?” Self-distancing Tom and Jay are back to consider some of the top compliance articles and stories which caught their collective eye this week. Andrew Weissmann says DOJ needs dedicated compliance resource. Dylan Tokar reports in WSJ Risk and Compliance Journal. What will the economic downturn mean for compliance departments and compliance budgets? Kristen Broughton reports in WSJ Risk and Compliance Journal. How does WFH trigger new compliance concerns? Lloydette Mai-Barrow in the FCPA Blog. Did OFAC create a giant compliance headache? Dick Cassin explores in the FCPA Blog. What steps can you take to refresh your whistleblower system? Lawyers from Wachtell Lipton opine in NYU’s Compliance and Enforcement Blog. When does cooperation become collusion? David Cross and Margaret Webb explore CCI. Five ideas for compliance officers in the new normal. Robert Biskup explains in CCI. Why is the Fraud Pentagon even more important in age of coronavirus? Jonathan Marks in Board and Fraud. What does Blue Bell mean for executive liability? Michael Peregrine and David Rosenbloom in Harvard Law School Forum on Corporate Governace. Interested in moving to the CCO chair? Check out my latest podcast series The Compliance Life where I interview one CCO type for a month on their journey to the CCO chair and beyond. In on this month’s edition I visit with Ellen Hunt, CCO at AARP. In this concluding Part 4, Hunt discusses what options are available to a CCO after leaving the CCO chair. Join me for the June series, which will feature Ryan Rabalais. The Compliance Life is now available on iTunes. On Compliance and Coronavirus this week: Julie Myers Wood data privacy in the time of Covid-19; Melissa Koch on platformizing compliance during in this health crisis; Mary Ann Faremouth joins me to discuss what you can do if you are economically disolcated. Compliance and Coronavirus is available on iTunes here. On the Compliance Podcast Network, this month topic: written standards; all on 31 Days to a More Effective Compliance Program. This week’s offerings: Tuesday-Enforcement actions featuring facilitation payments; Wednesday-Policies facilitation payments; Thursday- Policies for third parties;Friday- policies on extortion payments. Note 31 Days to a More Effective Compliance Program now has its own iTunes channel. Tom Fox is the Compliance Evangelist and can be reached at [email protected] Jay Rosen is Mr. Monitor and can be reached at [email protected] Learn more about your ad choices. Visit megaphone.fm/adchoices

Episode 206 – the Start of Summer edition
May 22 2020 36 mins  
The Memorial Day weekend traditionally signifies the start of summer. What does it mean this year? Self-distancing Tom and Jay are back to consider some of the top compliance articles and stories which caught their collective eye this week. How can you assess a conflict of interest risk? Jeff Kaplan in the Conflict of Interest blog. Deemed exports rears its ugly head in Higher Ed. Matt Kellyexplains in Radical Compliance. Mike Volkov takes a deep dive into beneficial ownership in a four-part series on Corruption Crime and Compliance. What were the top anti-compliance enforcement developments from this decade. James Koukios and Amanda Aikman in CCI. What steps can you take to refresh your whistleblower system? Lawyers from Wachtell Lipton opine in NYU’s Compliance and Enforcement Blog. What does a modern bank heist look like? Jon Rusch explores in Dipping Through Geometries. What are some old school fraud schemes? Francine McKenna discusses in The Dig. How can company’s win the trust of whistleblowers back? Jonathan Marks in Board and Fraud. Three more (former) KPMG partners go down in the firm’s test cheating scandall. Aaron Nicodemus in Compliance Week. (sub req’d) Interested in moving to the CCO chair? Check in on this month’s edition of The Compliance Life where Tom visits with Ellen Hunt, CCO at AARP. In this Part 3, Hunt discusses what happens when you finally sit in CCO chair. New episodes appear each Tuesday in May at 1 PM CST. The Compliance Life is now available on iTunes. On Compliance and Coronavirus this week: John Shegerian explains why data is the new oil in the time of Covid-19; Matt Whitteker on supply chain risks in this health crisis; Matt Kelly joins me to discuss the requirement for Covid-19 health attestation by Massachusetts businesses reopening in Phase 1 of the state’s reopening. Compliance and Coronavirus is available on iTunes here. On the Compliance Podcast Network, this month topic: written standards; all on 31 Days to a More Effective Compliance Program. This week’s offerings: Monday-Charitable donation enforcement actions; Tuesday-Opinion Release guidance on charitable donations; Wednesday-Policies and procedures on charitable donations; Thursday- Policies on political contributions; Friday- the problems with Facilitation Payments. Note 31 Days to a More Effective Compliance Program now has its own iTunes channel. Tom Fox is the Compliance Evangelist and can be reached at [email protected] Jay Rosen is Mr. Monitor and can be reached at [email protected] Learn more about your ad choices. Visit megaphone.fm/adchoices

Episode 205 – the Not So Fast edition
May 15 2020 31 mins  
As federal judge Emmet Sullivan reminded the Justice Department that he, not they, run his court this week, self-distancing Tom and Jay are back to consider some of the top compliance articles and stories which caught their collective eye this week. Former Wal-Mart lawyer sues for allegedly refusing to change internal investigation report on FCPA. Matt Kelly in Radical Compliance. Dylan Tokar in the WSJ Risk & Compliance Journal. How to mobilize for an internal investigation. In the WSK Risk & Compliance Journal. What is trade based money laundering? Jon Rausch in Dipping Through Geometries. Moving towards a more agile compliance and internal audit. Alex Movchan interviews Alkistis Gkiosi for the Risk and Compliance Platform Europe. What steps can you take to safeguard a compliance program during Covid-19? Kara Brockmeyer, Andrew M. Levine and Philip Rohlikin opine in NYU’s Compliance and Enforcement Blog. Should the role of the CCO be expanded? Klaus Moosemeyer says yes in the FCPA Blog. Using data analytics in a compliance regime. Szilvia Andriasik in the FCPA Blog. A new cyber-compliance playbook? Rod Rosenstein & Sumon Dantiki in Compliance Week. (sub req’d) How to handle an internal investigation in during Covid-19? Lara Burke & Dominique Strieder in Compliance Week. (sub req’d) Interested in moving to the CCO chair? Check in on this month’s edition of The Compliance Life where Tom visits with Ellen Hunt, CCO at AARP. In this Part 2, Hunt relates how to move towards the CCO chair. New episodes appear each Tuesday in May at 1 PM CST. The Compliance Life is now available on iTunes. On Compliance and Coronavirus this week: Megan Dougherty explains why you should be pod-curious; AndrewRawson on the new normal of employee relations during and after Covid-19; JohnPetrovski and Jim Belin on how the economy may reopen and the markets play out. Compliance and Coronavirus. On the Compliance Podcast Network, this month topic: written standards; all on 31 Days to a More Effective Compliance Program. This week’s offerings: Monday-Operationalization of your Code of Conduct; Tuesday-Introduction to policies and procesures; Wednesday-Revising your policies and procedures; Thursday- Policies and procedures on gifts and business entertainment; Friday- Policies and procedures on travel. Note 31 Days to a More Effective Compliance Program now has its own iTunes channel. Tom Fox is the Compliance Evangelist and can be reached at [email protected] Jay Rosen is Mr. Monitor and can be reached at [email protected] Learn more about your ad choices. Visit megaphone.fm/adchoices

Episode 204 – the Bad Ice Cream edition
May 08 2020 32 mins  
In addition to not following President Trump’s advice to have having bleach for breakfast and UV light for lunch, we now add Blue Bell Ice Cream to the “No-Eat” list for their criminal behavior leading to three deaths from listeria. Sad for this loss but determined to persevere, self-distancing Tom and Jay are back to consider some of the top compliance articles and stories which caught their collective eye this week. Blue Bell Ice Cream pleads guilty to two misdemeanor counts of distributing adulterated ice cream products. Mike Volkov blogs and podcasts about it in on Corruption Crime and Compliance. Tom intones on the FCPA Compliance and Ethics Blog. Jon Rausch on Dipping Through Geometries. More from Tom on the former CEO and Chairman of the Board criminally indicted for lying about it. Tom further reports with a two-part blog on the Board’s corporate governance failures, Part-1 COIs and Part 2-Caremark failures. Rough sailing ahead for CCOs in cruise line industry. Matt Kelly weighs in on Radical Compliance. Tom and Matt take a deep dive in this week’s Compliance into the Weeds The SEC responds to criticism and ramps up its whistleblower awards. Dave Michaels reports in the WSJ. Moro resigns in Brazil, setting off a political crisis. Jessie Bullock In the Global Anti-corruption Blog. NY DFS files action against opioid mfg for insurance fraud. Lawyers from Paul Weiss in NYU’s Compliance and Enforcement blog. Lost in a sea of regulations? Kristy Grant-Hart explains how to navigate it in a guest post on Ethics and Compliance Matters. Another Caremark case survives in Delaware. Kevin LaCroix in the D&O Diary. Did US gov purchase from sanctioned entity? Geert Vermuelean in Risk and Compliance Platform Europe. Should it be decision-making instead of risk management? Norman Marks in Governance, Risk Management and Audit. Interested in moving to the CCO chair? Check in on this month’s edition of The Compliance Life where Tom visits with Ellen Hunt, CCO at AARP. In this Part 1, Hunt discusses the start of your journey. New episodes appear each Tuesday in May at 1 PM CST. The Compliance Life is now available on iTunes. Tom has a wide ranging discussion with Nick Gallow on Compliance Lines’ new podcast, The Ethics Experts. Available on the Complaince Podcast Network. On Compliance and Coronavirus this week: James Gellert on financial health of 3rd parties as a key DD inquiry; Ben Wolf on the new normal of doing business after Covid-19; Fry Wernick on ephemeral messaging and video conferencing under the FCPA. Compliance and Coronavirus in sponsored by SAI Global. On the Compliance Podcast Network, Tom explores written standards; all on 31 Days to a More Effective Compliance Program. This week’s offerings: Monday-Clearly articulated written standards; Tuesday-the Code of Conduct; Wednesday-Code of Conduct: Structure and Format; Thursday- Design of your Code of Conduct; Friday- Training on your Code of Conduct. Note 31 Days to a More Effective Compliance Program now has its own iTunes channel. Tom Fox is the Compliance Evangelist and can be reached at [email protected] Jay Rosen is Mr. Monitor and can be reached at [email protected] Learn more about your ad choices. Visit megaphone.fm/adchoices

Episode 203 – the Bleach and UV Light edition
May 01 2020 42 mins  
As certain Americans step back from having bleach for breakfast and UV light for lunch (You don’t want dinner after those Trump-induced snacks), self-distancing Tom and Jay are back to consider some of the top compliance articles and stories which caught their collective eye this week. 1. Five questions for a Board in the time of Coronavirus. Muel Kaptein on LinkedIn. 2. FCPA enforcement to remain robust. Mengqi Sun reports in the WSJ Risk and Compliance Journal. 3. Mike Ward on how tech can assist compliance during Covid-19. Dylan Tokar reports in the WSJ Risk and Compliance Journal. 4. Is it time for a new approach to business integrity? Alison Taylor explores in the Ethical Systems blog. 5. Will Coronavirus take down any big public companies? Francine McKenna explore in The Dig. 6. Contact tracing for employees and its compliance issues. Lawyers from Debevoise & Plimpton in NYU’s Compliance and Enforcement Blog. 7. Stakeholder principles during Covid-19. Members of the World Economic Forum in the Harvard Law School Forum on Corporate Governance. 8. Using red flags to uncover fraud and corruption. Jonathan Marks on his Board & Fraud blog. 9. How does playing golf enhance a compliance program? Keith Hennessee on the FCPA Blog. 10. Elon Musk indemnifies Tesla Board. Can you spell COI? Kevin LaCroix in the D&O Diary. 11. AMI webinar on Crisis and Compliance in the Federal Marketplace. May 5 at noon EST. Registration and information here. 12. On Compliance and Coronavirus this week: Jeffrey Hayzlett on five key actions to take during Coronavirus; Mari Ryan on employee wellness; Brenda Ferraro on JumpStarting your 3rd party risk management program during Covid-19. 13. In a special series with the Brazilian law firm of Azevedo Sette, we explore the current compliance scene in Brazil. Part 1-Isabel Franco on how CarWash changed a culture; Part 2-Luis Salles on investigations and anti-trust compliance; Part 3-Glaucia Ferreira on due diligence and background investigations; Part 4-Ingrid Santos and Guiliana Bohia on #MeToo in Brazil; Part 5-Lucas Bianchinni on environmental compliance in Brazil. 14. On the Compliance Podcast Network, Tom concludes his month of exploring continuous improvement and introduces May’s topic: written standards; all on 31 Days to a More Effective Compliance Program. This week’s offerings: Monday-tech upgrades fostering continuous improvement; Tuesday-using email sweeps for continuous improvement; Wednesday-using social media for continuous improvement; Thursday-conclusion to continuous improvement to a compliance program; Friday-Introduction to written standards. 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 [email protected] Jay Rosen is Mr. Monitor and can be reached at [email protected] Learn more about your ad choices. Visit megaphone.fm/adchoices

Episode 202 – the Gronk Returns edition
Apr 24 2020 37 mins  
As Gronk ends his self-imposed isolation from the Pats to rejoin the Golden Boy in Tampa Bay, self-distancing Tom and Jay are back to consider some of the top compliance articles and stories which caught their collective eye this week. For the SEC drops a Friday Happy Hour FCPA enforcement action involving ENI. Matt Kelly breaks the story in Radical Compliance. Tom provides lessons learned in the FCPA Compliance and Ethics Blog. Tom and Matt take a deep dive in their podcast Compliance into the Weeds. Harry Cassin in the FCPA Blog. Dylan Tokar reports in the WSK Risk and Compliance Journal. Tenacious whistleblower awarded $27MM. Kevin LaCroix in the D&O Diary. Some post COVID-19 scenarios. Gemma Aiolfi explores in the FCPA Blog. Leaders, dirty hands and COVID-19. Muel Kaptien in Risk and Compliance Platform Europe. Data and security requirements are here to stay. William Schildknecht in NYU’s Compliance and Enforcement Blog. Why companies should leave compliance alone. Jenna Voss, Christina Arianna and Chase Goldstein In CCI. EY takes a brand beating. Martin Woods in Compliance Week. (Sub Req’d) Where was, and is, and will be your Board? Carrie Penman asks in Navex Global’s Ethics and Compliance Matters Can the government forgfeit a defense lawyers fees? Sara Kropf explores in Part 2 on Grand Jury Target. On Compliance and Coronavirus this week: Fizza Khan on financial regulation during COVID-19; Gordon Firemark on force majeure; Sundar Narayanan on a CCO using empathy during the coronavirus crisis. On the Compliance Podcast Network, Tom continues his month of exploring continuous improvement, all on 31 Days to a More Effective Compliance Program. This week saw the following offerings:Monday-keeping track of current events for continuous improvement; Tuesday-big data and continuous improvement; Wednesday-using big data; Thursday-measuring the effectiveness of a compliance program; Friday-Proactive monitoring for continuous improvement. Note 31 Days to a More Effective Compliance Program now has its own iTunes channel. If you want to binge out and listen to only these episodes, click here. This month’s sponsor is Affiliated Monitors, Inc. Tom Fox is the Compliance Evangelist and can be reached at [email protected] Jay Rosen is Mr. Monitor and can be reached at [email protected] Learn more about your ad choices. Visit megaphone.fm/adchoices


Episode 201– the Emperor Trump edition
Apr 17 2020 36 mins  
As Emperor Trump says that only he can decide when the country will re-open for business and Congress can adjourn and the lads note the passing of Brian Dennehy, self-distancing Tom and Jay are back to consider some of the top compliance articles and stories which caught their eye this week. 1. Former Goldman exec charged with FCPA violations. Harry Cassin breaks the story in the FCPA Blog. Matt Kelly says Goldman Sachs got a great outcome, in Radical Compliance. 2. How beliefs impact mindset. Jaclyn Jaeger reviews both angles in Compliance Week. 3. What will happen to ‘Made in China”? Dick Cassin explores in the FCPA Blog. 4. What steps can be taken to fight corruption in the response to Coronavirus. Sarah Steingrüber in the Global Anti-Corruption Blog. 5. What FCPA landmines are lurking beneath COVID-19? Scott Roybal in National Law Review. 6. Does the Coronavirus health crisis hobble monitors? Mengqi Sun in the WSJ Risk and Compliance Journal. 7. BAT under investigation for export control violation. Mengqi Sun in the WSJ Risk and Compliance Journal. 8. What might a national US privacy law look like? Logan Finucan in CCI. 9. What do scam PACs and Coronavirus have in common? Sara Kropf explores on Grand Jury Target. 10. On Compliance and Coronavirus this week: Abikoff and Huneke on why neither enforcement nor compliance ever sleep; Ryan Wilkins on corp governance issues during COVID-19; Tricia Cornell on why new and different time horizons during the coronavirus crisis. 11. The Everything Compliance gang is back with a look at compliance and coronavirus. Check it out on iTunes here. 12. On the Compliance Podcast Network, Tom concludes a month of looking at the role of innovation in compliance And opens a month of exploring continuous improvement, all on 31 Days to a More Effective Compliance Program. This week saw the following offerings: Monday-the Culture Audit; Tuesday-the Fraud Audit; Wednesday-the Integrity Audit; Thursday-the Mock Audit; Friday-Monitoring for continuous improvement. Note 31 Days to a More Effective Compliance Program now has its own iTunes channel. If you want to binge out and listen to only these episodes, click here. This month’s sponsor is Affiliated Monitors, Inc. Tom Fox is the Compliance Evangelist and can be reached at [email protected] Jay Rosen is Mr. Monitor and can be reached at [email protected] Learn more about your ad choices. Visit megaphone.fm/adchoices

Episode 200-the 200th Episode edition
Apr 10 2020 40 mins  
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 [email protected] Jay Rosen is Mr. Monitor and can be reached at [email protected] Learn more about your ad choices. Visit megaphone.fm/adchoices

Episode 199, week ending April 3, 2020 – the (mostly) Non-Coronavirus edition
Apr 03 2020 35 mins  
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 [email protected] Jay Rosen is Mr. Monitor and can be reached at [email protected] Learn more about your ad choices. Visit megaphone.fm/adchoices

Episode 198 – the Grandparents are at Risk edition
Mar 27 2020 33 mins  
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 [email protected] Jay Rosen is Mr. Monitor and can be reached at [email protected] Learn more about your ad choices. Visit megaphone.fm/adchoices

Episode 197– the Compliance Doesn’t Sleep edition
Mar 20 2020 35 mins  
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 [email protected] Jay Rosen is Mr. Monitor and can be reached at [email protected] Learn more about your ad choices. Visit megaphone.fm/adchoices

Episode 196 – the We Won’t Screw You (Again) edition
Mar 13 2020 34 mins  
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 [email protected] Jay Rosen is Mr. Monitor and can be reached at [email protected] Learn more about your ad choices. Visit megaphone.fm/adchoices

Episode 195 – the Where are you going for Spring Break edition
Mar 06 2020 30 mins  
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 [email protected] Jay Rosen is Mr. Monitor and can be reached at [email protected] Learn more about your ad choices. Visit megaphone.fm/adchoices

Episode 194 – the What’s $3bn between friends edition
Feb 28 2020 29 mins  
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 [email protected] Jay Rosen is Mr. Monitor and can be reached at [email protected] Learn more about your ad choices. Visit megaphone.fm/adchoices


Episode 193 – the Astros Blowback Continues edition
Feb 21 2020 32 mins  
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 [email protected] Jay Rosen is Mr. Monitor and can be reached at [email protected] Learn more about your ad choices. Visit megaphone.fm/adchoices

Episode 192 – the We Won the World Series edition
Feb 14 2020 34 mins  
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 [email protected] Jay Rosen is Mr. Monitor and can be reached at [email protected] Learn more about your ad choices. Visit megaphone.fm/adchoices

Episode 191 - the All Hail Airbus edition
Feb 08 2020 36 mins  
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 [email protected] Jay Rosen is Mr. Monitor and can be reached at [email protected] Learn more about your ad choices. Visit megaphone.fm/adchoices

Episode 190 – the What’s $4 Billion Between Friends edition
Jan 31 2020 35 mins  
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 [email protected] Jay Rosen is Mr. Monitor and can be reached at [email protected] Learn more about your ad choices. Visit megaphone.fm/adchoices

Episode 189 – the Off With Their Heads edition
Jan 24 2020 33 mins  
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 [email protected] Jay Rosen is Mr. Monitor and can be reached at [email protected] Learn more about your ad choices. Visit megaphone.fm/adchoices

Episode 188 – the Say it Ain't So edition
Jan 17 2020 37 mins  
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 [email protected] Jay Rosen is Mr. Monitor and can be reached at [email protected] Learn more about your ad choices. Visit megaphone.fm/adchoices

Episode 187, week ending January 10, 2020 – the Looking Back and Looking Forward
Jan 10 2020 40 mins  
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 [email protected] Jay Rosen is Mr. Monitor and can be reached at [email protected] Learn more about your ad choices. Visit megaphone.fm/adchoices

Episode 186 – the Ghosn the Ghost edition
Jan 03 2020 38 mins  
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 [email protected] Jay Rosen is Mr. Monitor and can be reached at [email protected] 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


Episode 185 – the Boeing CEO (finally) Fired edition
Dec 27 2019 45 mins  
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 [email protected] Jay Rosen is Mr. Monitor and can be reached at [email protected] Learn more about your ad choices. Visit megaphone.fm/adchoices

Episode 184 – the The Rise of Skywalker edition
Dec 20 2019 41 mins  
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 [email protected] Jay Rosen is Mr. Monitor and can be reached at [email protected] 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

Episode 183 – the We’re No. 2 edition
Dec 13 2019 41 mins  
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 [email protected] Jay Rosen is Mr. Monitor and can be reached at [email protected] 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

Episode 182 – the Farewell to DC Fontana edition
Dec 06 2019 45 mins  
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 [email protected] Jay Rosen is Mr. Monitor and can be reached at [email protected] 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

Episode 181-the Fishy Letters edition
Nov 22 2019 39 mins  
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 [email protected] Jay Rosen is Mr. Monitor and can be reached at [email protected] 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

Episode 180 – the Hoskins is Guilty edition
Nov 15 2019 36 mins  
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 [email protected] Jay Rosen is Mr. Monitor and can be reached at [email protected] 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

Episode 179 – the Live from São Paulo edition
Nov 08 2019 40 mins  
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 [email protected] Jay Rosen is Mr. Monitor and can be reached at [email protected] 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

Episode 178 – the Congrats to the Nats edition
Nov 01 2019 44 mins  
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 [email protected] Jay Rosen is Mr. Monitor and can be reached at [email protected] 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


Episode 177 – the Natitude edition
Oct 25 2019 35 mins  
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 [email protected] Jay Rosen is Mr. Monitor and can be reached at [email protected] 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

Episode 176– the Lets Go To Doral edition
Oct 18 2019 33 mins  
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 [email protected] Jay Rosen is Mr. Monitor and can be reached at [email protected] 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

Episode 175 – the NBA Steps In It edition
Oct 11 2019 35 mins  
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 [email protected] Jay Rosen is Mr. Monitor and can be reached at [email protected] 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

Episode 174 – the Reflections on Converge19 edition
Oct 05 2019 36 mins  
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 [email protected] Jay Rosen is Mr. Monitor and can be reached at [email protected] 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

Episode 173– the Franchise Record edition
Sep 27 2019 25 mins  
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 [email protected] Jay Rosen is Mr. Monitor and can be reached at [email protected] 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

Episode 172 – the Tribute to Joe Mont edition
Sep 20 2019 31 mins  
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 [email protected] Jay Rosen is Mr. Monitor and can be reached at [email protected] 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

Episode 171 – the Jay Clayton Speaks (or not) edition
Sep 13 2019 31 mins  
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 [email protected] Jay Rosen is Mr. Monitor and can be reached at [email protected] 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

Episode 170 – the Alabama Sharpie edition
Sep 06 2019 28 mins  
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 [email protected] Jay Rosen is Mr. Monitor and can be reached at [email protected] 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


Episode 169 – the how deep is the ocean edition
Aug 30 2019 31 mins  
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 [email protected] Jay Rosen is Mr. Monitor and can be reached at [email protected] 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

Episode 168 – the Chosen One edition
Aug 23 2019 34 mins  
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 [email protected] Jay Rosen is Mr. Monitor and can be reached at [email protected] 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 Week in FCPA-Episode 167 – the Good-bye and Hello edition
Aug 16 2019 30 mins  
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 [email protected] Jay Rosen is Mr. Monitor and can be reached at [email protected] 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 Week in FCPA-Episode 166 - the El Paso and Dayton tragedies edition
Aug 09 2019 31 mins  
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 [email protected] Jay Rosen is Mr. Monitor and can be reached at [email protected] 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

Episode 165, week ending August 2, 2019 – the Greinke to the Astros edition
Aug 02 2019 30 mins  
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 [email protected] Jay Rosen is Mr. Monitor and can be reached at [email protected] 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 Week in FCPA-Episode 164 – the Microsoft and Facebook settle edition
Jul 26 2019 27 mins  
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 [email protected] Jay Rosen is Mr. Monitor and can be reached at [email protected] 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 Week in FCPA-Episode 163 – the new Antitrust Compliance Guidance edition
Jul 19 2019 32 mins  
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 [email protected] Best of all, there is no charge to attend.. Jay Rosen is Mr. Monitor and can be reached at [email protected] 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 Week in FCPA-Episode 162 – the Halfway to ‘Take it Back’ edition
Jul 12 2019 28 mins  
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 [email protected] Jay Rosen is Mr. Monitor and can be reached at [email protected] 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 Week in FCPA-Episode 161 – Happy July 4th Weekend
Jul 06 2019 38 mins  
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 [email protected] Jay Rosen is Mr. Monitor and can be reached at [email protected] 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 Week in FCPA-Episode 160, the 6 Months to the Holidays edition
Jun 29 2019 31 mins  
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 [email protected] Jay Rosen is Mr. Monitor and can be reached at [email protected] 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 Week in FCPA-Episode 159– the KPMG Trainwreck and Walmart Settles edition
Jun 21 2019 39 mins  
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 [email protected] 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 [email protected] Jay Rosen is Mr. Monitor and can be reached at [email protected] 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 Week in FCPA-Episode 158 – the Sweet Caroline edition
Jun 14 2019 27 mins  
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 [email protected] Jay Rosen is Mr. Monitor and can be reached at [email protected] 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 Week in FCPA-Episode 157 – We’re on iTunes edition
Jun 07 2019 33 mins  
As the enjoy the Astros continue their decimation of their AL West opponents and the lads celebrate finally getting their own iTunes show, they return to discuss both events some of this week’s top compliance and ethics stories which caught their collective eyes. 1. Complexity and compliance, how do you deal with this in your compliance program?2. The SEC gives two whistleblowers a premium for reporting internally before disclosing to regulators. 3. Wither CITGO? Tom predicts things will go downhill quickly in a FCPA kind of way.The next day the government announces a subpoena to CITGO for potential FCPA violations. 4. The Malaysian Anti-Corruption Commission on extending the commitment of management to do business in compliance and ethically. 5. Managing Anticorruption Compliance Under the EU’s General Data Protection Regulation. An article by Ruta Mrazauskaite.6. Is Exxon evil? Jaclyn Jaeger thinks so and explains why in an Op-Ed. 7. Mike Volvok follows his 3-part series on auditing your investigative protocol with a 4-part series on a sanctions compliance program. 8. Why is compliance is critical in the daily changing Trump trade wars against everyone. Paul Ziobro reports on FedEx. 9. Why a ‘necessary evil’ does not constitute effective compliance. Mary Bennett explains. 10. ESG Screening Underscores Challenges in Third-Party Risk Management. Brian Alster considers. 11. This week Tom had a special 5-part podcast series sponsored by AMI on the new Justice 2019 Guidance featuring Eric Feldman. 12. Join Tom in Boston for his industry leading Compliance Master Class on June 11 & 12. Listeners who attend will receive a complimentary copy of The Compliance Handbook. Registration and Information is here. Join Tom, Eric Feldman, Vin DiCianni and Jay at the AMI Roundtable in Boston on June 13 for a deep dive into the DOJ’s new Evaluation of Corporate Compliance Programs-2019 Guidance. Information and registration is here. Tom Fox is the Compliance Evangelist and can be reached at [email protected] Jay Rosen is Mr. Monitor and can be reached at [email protected] Learn more about your ad choices. Visit megaphone.fm/adchoices

This Week in FCPA-Episode 156 – the Farewell to May edition
May 31 2019 33 mins  
As the lads wish a fond farewell to May, enjoy the Astros still leading the MLB with the best record and looking forward to the start of summer, they return to discuss both events some of this week’s top compliance and ethics stories which caught their collective eyes. 1. Dave Lefort’s Top 10 takeaways from Compliance Week 2019. (sub req’d) Tom, Mary Shirley, Lisa Fine and Amii Bernard-Bahn provide their reflections on a cross-posted podcast. 2. Why ethics matters at the top. 3. Can UNCAC help Mozambique recover funds stolen through corruption? Rick Messick explores. 4. What is cooperation and remediation? Matt Kelly explores. 5. Why is pre-acquisition DD from the compliance perspective now critical in France? Antoine F. Kirry, Frederick T. Davis, and Alexandre Bisch discuss. 6. How much does a monitorship cost? Jay continues his multipart series on monitorships . 7. How do you audit your investigative protocol? Mike Volkov explains in a 3-part series on his blog site Corruption, Crime and Compliance. 8. Why is visibility key for compliance? Elsa Chan explores. 9. CITGO now part of PdVSA/Venezuelan corruption scandal. Dick Cassin reports. Marissa Luck. 10. Is there a legal duty to set the right ‘tone at the top?”11. This week Tom had a special 5-part podcast series sponsored by Hanzo on using AI and data analytics in compliance investigations. Check out the following: Part 1-Current State of Investigations; Part 2-Using AI and Web-Based Evidence; Part 3- Overcoming Investigative Challenges; Part 4-Improving Investigative Efficiencies; Part 5-Where are investigations headed? 12. Join Tom in Boston for industry leading Compliance Master Class on June 11 & 12. Listeners who attend will receive a complimentary copy of The Compliance Handbook. Registration and Information is here. Join Tom, Eric Feldman, Vin DiCianni and Jay at the AMI Roundtable in Boston on June 13 for a deep dive into the DOJ’s new Evaluation of Corporate Compliance Programs-2019 Guidance. Information and registration is here. Tom Fox is the Compliance Evangelist and can be reached at [email protected] Jay Rosen is Mr. Monitor and can be reached at [email protected] 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 Week in FCPA-Episode 155 – the Memorial Day edition
May 24 2019 27 mins  
Highlights include: 1. Have you checked out the new OFAC compliance program? If not see Mike Volkov’s 5-part series on Corruption, Crime and Compliance. 2. Hui Chen and Pam Davis weigh in on the 2019 DOJ FCPA Guidance. 3. Noose tighten around Credit Suisse and Privinvest in Mozambique tuna boat scandal? 4. What are the compliance lessons from a messy and very public food fight? Matt Kelly explores in two postings on Radical Compliance. 5. How does scape-goating come into play in cross-border anti-corruption enforcement? 6. Jay continues his exploration of using a monitor. 7. What do dawn raids have in common with fires (at least in the UK)? 8. Is Equifax about to settle for its massive data breach? 9. Why should compliance training start with a smile? 10. What are the compliance lessons for hospitality around major sporting events? 11. This week Tom had a special 5-part podcast series sponsored by Assent Compliance on the issue of maintaining market access. Check out the following: Part 1-Introduction to Market Access; Part 2-Trade Compliance; Part 3- Continuous Monitoring; Part 4-FARs and flow downs; Part 5-Chemical and Product Compliance. 12. Join Tom in Boston for industry leading Compliance Master Class at the offices on AMI on June 11 & 12. Listeners who attend will receive a complimentary copy of The Compliance Handbook. Registration and Information is here. Join Tom, Eric Feldman, Vin DiCianni and Jay at the AMI Roundtable in Boston on June 13 for a deep dive into the DOJ’s new Evaluation of Corporate Compliance Programs-2019 Guidance. Information and registration is here. Tom Fox is the Compliance Evangelist and can be reached at [email protected] Jay Rosen is Mr. Monitor and can be reached at [email protected] 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 Week in FCPA-Episode 154 - the Take It Back edition
May 17 2019 30 mins  
This week's highlights include: 1. Uber stumbles at going IPO. What role did its culture, lack of compliance and ethics play? 2. Belying those who advocate a paper program compliance defense, DOJ/SEC require compliance programs which actually works. 3. What is up with Ephemeral Messaging for Businesses? Avi Gessner, Daniel Foerster and Mengyi Xu consider. 4. What criteria should be used to make reparations to victims of corruption? Sam Hickey explores. 5. Hong Kong criminally indicts ex-JP Morgan banker in Princeling case. Harry Cassin reports.6. FCPA Unit head Dan Kahn discusses evolution in FCPA enforcement. Clara Hudson reports. 7.How should you repay victims of corruption? Sam Hickey. 8. Federal judge lambastes SEC for filing on VW nearly 4 years after emissions-testing scandal erupted. David Shepardson reports.10. What is the fraud risk for non-profits? 11. Join Tom and Jay at Compliance Week 2019. It is one of the top compliance and ethics conferences of the year. This year, Tom is joined by Jonathan Marks in leading a pre-conference workshop on Sunday afternoon about handling internal investigations and performing a root cause analysis. Monday will include a keynote address from the always popular Hui Chen, Tuesday Preet Bharara. As a listener, you are eligible for a discount on the conference cost. Enter code “TOM300” at checkout to save $300 from your registration. Tom Fox is the Compliance Evangelist and can be reached at [email protected] Jay Rosen is Mr. Monitor and can be reached at [email protected] 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 Week in FCPA-Episode 153 – the You’ll Never Walk Alone edition
May 10 2019 43 mins  
A big tip of the hat to the Liverpool Football Club for its stunning 4-0 trouncing of Barcelona at Anfield to roar back into the Champions League finals for the second consecutive year. With Tom still singing You’ll Never Walk Alone, he takes a break to join Jay to discuss both events some of this week’s top compliance and ethics stories which caught their collective eyes.Roger Ng extradited to US. Is he cooperating with authorities? Want to take a deep dive into the 2019 Guidance. Who are the Top Minds for 2019? Regime change ensnares two more companies: Shell and ENI.What is the Corporate Identification Doctrine in Canada and the UK? Would you but a new plane from Boeing? Should compliance be siloed? What is moral harassment and will it ever be prosecuted in the US. JIn Part 2 of a two-part series on monitors, Jay discusses dealing with a monitor after the settlement. What happens when the DOJ outsources its investigations? Two low level players convicted in NCAA bribery case. Tom has a special 5-part podcast series with Don Stern, Managing Director at AMI on Use of Monitors by Defense Counsel. Check out the following: Part 1-Introduction;Part 2-the Nuts and Bolts; Part 3- Case Studies; Part 4-in the Health Care industry; Part 5-Non-Profits and Varsity Blues. The podcast is available on multiple sites: the FCPA Compliance Report, iTunes, JDSupra, Megaphone,YouTube, Spotifyand Corporate Compliance Insights. The Compliance Podcast NetworkTom Fox is the Compliance Evangelist and can be reached at [email protected] Jay Rosen is Mr. Monitor and can be reached at [email protected] 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 Week in FCPA-Episode 152, week ending May 3, 2019 – the Farewell to Chewbacca edition
May 03 2019 29 mins  
On this day prior to “May the 4th Be With You” the lads bid farewell to Chewbacca the Wookiee and hello to the DOJ new Guidance on what constitutes a best practices compliance program. Jay and Tom discuss both events some of this other week’s top compliance and ethics stories which caught their collective eyes. 1. New Guidance released by the DOJ. 2. Assistant Attorney General Brian Benczkowski delivered the goods on compliance programs at ECI IMPACT 2019. 3. Why is GDPR like sex education? 4. Credit Suisse in more deep trouble over tuna boat scandal. 5. Compliance Week premiers a new website. EIC Dave Lefort explains what it means for you. 6. Management of 3rdparties is where the rubber meets the road. 7. European Banking Authority ends investigation into Danske bank scandal with no action. 8. What’s the social nature of work? 9. Veronica Martinez says there are four stages of a compliance program: Prevent, Detect, Investigate and Remediate. 10. Tom has a special 5-part podcast series with David Greenberg, Special Advisor at LRN on Boards and Compliance. Check out the following: Part 1-What’s the Tone at the Very Top; Part 2-Board Understanding and Your Game Plan; Part 3- Not Enough Time/Not Enough Depth; Part 4-Metrics and Senior Management; 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 Networkpremiers.11. Jay and Tom are joined by Sean Friedlin to take a deep dive in Marvel’s Endgame in Popcorn and Compliance. The podcast posts on Saturday, May 4 at 6 AM on the above sites. 12. Our favorites scenes involving Chewbacca. Tom Fox is the Compliance Evangelist and can be reached at [email protected] Jay Rosen is Mr. Monitor and can be reached at [email protected] 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 Week in FCPA-Episode 151 – the World Domination edition
Apr 26 2019 36 mins  
Is the US utilizing FCPA enforcement for world domination? Recovering screenwriter Jay Rosen and frustrated novelist Tom Fox consider this while they also take a look at some of this week’s top compliance and ethics stories which caught their collective eyes this week. 1. Does the statute of limitations run while Trump is in office? Sara Kropf opines. 2. What is the compliance response to the Varsity Blues scandal? Sandra Erez reports. 3. NYDFS cybersecurity requirements are live, is your organization ready? Michael McGrath. 4. Matt Kelly has a twitter storm on Boeing, sales strategy and ethics. Tom and Matt take a deep dive into the imbroglio. 5. Is the US using FCPA to garner world domination? Henry Astier opines.6. What are the best practices for managing employee hotline reports? Jaclyn Jaeger reports.7. What do the WME companies have in common? Aarti Maharaj. 8. Transparency challenges in CSR. Dunstan Allison-Hope. 9. Tom is speaking at ECI’s IMPACT 2019 next week in Dallas about the importance of measuring the quality and maturity of your high quality E&C program. Regisration and information is available here. 10. Join Tom and Jay at Compliance Week 2019 on May 20-22, in Washington DC. Listeners to this podcast can receive a $300 discount by using the code TOM300. You can check out the full agenda, see who’s speaking, and review registration information. 11. Sarah Hadden joins the Everything Compliance as our latest panelist. Listen in on Episode 45, the Drinkin’ the Kool-Aidedition. Tom Fox is the Compliance Evangelist and can be reached at [email protected] Jay Rosen is Mr. Monitor and can be reached at [email protected] 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 Week in FCPA-Episode 150– the Easter/Passover edition
Apr 19 2019 31 mins  
On this weekend, we have the dual celebrations of Easter and Passover. As Tom enjoys the Astros 11-0 run and sweeps of the Yankees and Mariners; Jay mourns his Red Sox going into the doghouse, they also take a look at some of this week’s top compliance and ethics stories which caught their collective eyes this week. 1. Corporations behaving badly are looming large in the news this week. What does Boeing’s culture teach us about compliance and ethical behavior? Former VW CEO Martin Winterkorn charged criminally in Germany.2. Mike Volkov takes a deep dive into the Standard Chartered $1bn fine for failures in AML controls, on his blog Corruption, Crime and Compliance. 3. How can you get compliance right when there are no regulations on it? Jo Ritcey-Donohue explores.4. Jay joins the bandwagon on compliance program as business enhancer. 5. GDPR-what happened to one-stop enforcement?6. How can the role of a monitor go murky? 7. When is a facilitation payment a bribe? Dick Cassin uses the Uber FCPA investigation disclosure to explore. 8. Trump administration moves to eviscerate agency ruling making? Joe Mont reports. (sub req’d) Matt Kelly discusses the pitfalls. 9. What businesses need to do now to prepare for Cyber Attacks. 10. This week Tom visits with AMI MD Rod Grandon on federal contractors and compliance programs. Check out the following: Part 1-Reponsible Contractors; Part 2- What the Government Expects; Part 3- Small Business Compliance Programs; Part 4-Why are we still talking about this?; and Part 5-Keeping it Fresh. Tom Fox is the Compliance Evangelist and can be reached at [email protected] Jay Rosen is Mr. Monitor and can be reached at [email protected] 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 Week in FCPA-Episode 149 – the White Privilege edition
Apr 12 2019 44 mins  
After a one-week hiatus, the lads are back. While debating white privilege and the Varsity Blues scandal, they also take a look at some of this week’s top compliance and ethics stories which caught their collective eyes this week. 1. Guilty pleas begin in the Varsity Blues scandal. For those who did not plead guilty, additional charges filed. Jay interviews Justin Paperny about the Varsity Blues sting. For one of the best and fullest explanations, see Caitlan Flanagan’s article in The Atlantic.2. Does your company lack integrity? Mike Volkov gives 5 signs which show it does. 3. Standard Chartered joins the $1 bn fine club.4. What is the intersection of DD and AI? 5. OFAC enforcement action demonstrates need for pre-acquisition due diligence? 6. What is ethical AI?7. What are the shifting reasons for FCPA enforcement?. 8. What are the risks to investors in Uber? 9. This week Tom explores the intersection of Shakespeare and Compliance through the lens of King Lear. Check out the following: Part 1-Innovation;Part 2- Changing Your Focus; Part 3- Engaging Your Audience; Part 4-a Different Interpretation; and Part 5-The Fool. The podcast is available on multiple sites: the FCPA Compliance Report, iTunes, JDSupra, Panoplyand YouTube. The Compliance Podcast Network is now also on Spotifyand Corporate Compliance Insights. Tom Fox is the Compliance Evangelist and can be reached at [email protected] Jay Rosen is Mr. Monitor and can be reached at [email protected] 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 Week in FCPA-Episode 148 – the Hope Springs Eternal edition
Mar 29 2019 44 mins  
As Opening Day near and the Astros are predicted to unseat Jay’s Red Sox to win the 2019 World Series, both lads are eternally hopeful for their hometown heroes. While debating this issue, they also take a look at some of this week’s top compliance and ethics stories which caught their collective eyes this week. 1. Former Hong Kong official sentenced for FCPA violations. 2. SEC awards two whistleblowers $50MM. Kristin Broughton in the. Matt Kelly takes a deep dive. Doug Cornelius gets snarky. Jonathan Marks weighs in. 3. Jonathan Ruschand William Weaverdebate whether corruption can be measured. Both on the FCPA Blog. 4. Was it fraud or was it incompetency? The HP v. Autonomy civil trial begins in London. 5. What is the difference in whistleblowing and extortion? Joe Mont explains.6. What are your supply chain risks? Russ Berland explores in Part 1 of a two-part blog post. 7. Looking at enforcement of financial market crimes in Canada and UK. Anita Anand reports. 8. What steps can you take to reduce whistleblower retaliation? Matt Kelly opines. 9. OECD slams Canadian government for interfering in SNC-Lavalin corruption investigation. Jonathan Rausch reports.10. Join Tom and AMI’s Jesse Caplan for a 5-part exploration of emerging issues in healthcare compliance and monitoring. 11. In Houston on April 11? Join the Greater Houston Business and Ethics Roundtable for a presentation for one year look back on GDPR. Registration and information are here. 12. Check out the latest edition of Great Women in Compliance where Mary Shirley visits with Marianne Ibrahim. Tom Fox is the Compliance Evangelist and can be reached at [email protected] Jay Rosen is Mr. Monitor and can be reached at [email protected] 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 Week in FCPA-Episode 147 – the Spring has Sprung edition
Mar 23 2019 38 mins  
As the St. Patrick’s Day weekend is past and Spring has sprung all over Tom and Jay are back to take a look at some of this week’s top compliance and ethics stories which caught their collective eyes this week. 1. What are some of the lessons for compliance professionals from the college admissions scandal? 2. How did the FCPA Corporate Enforcement Policy change for messaging apps? 3. What’s the difference between concurrent, consecutive and stacked? 4. Even the big dogs can be defrauded. Kristen Broughton reports on fraud which cost Google and Facebook over $100MM.5. Training wheels will continue to be useful in the future. 6. The business response leads to better compliance through FinTech. 7. Cyber breach disclosures are a mess. Matt Kelly reports. 8. The Editor speaks on insider threats. Compliance Week Editor Dave Lefort discusses.9. Jaclyn Jaeger looks inside the FBI Office of Integrity.10. Following up on his blog post series on the MTS FCPA settlement, Tom moves to the audio format for a podcast series on the enforcement action.Check out the following: Part 1-background;Part 2-bribery schemes; Part 3- missed red flags; Part 4-the individual indictments; and Part 5-lessons learned. 11. In Houston on Tuesday? Join Tom and Katie Smith at Convercen’s Roundtable Lunch. Registration and information are here. If you are not in Houston, then join Tom, Louis Sapirman and Katelyn Conlyn for a Convercent webinar on how to better engage with your employees. Registration and information for the webinar found here. Best of all, both events are FREE.12. Check out the latest edition of Popcorn and Compliancewhere Tom and Jay looked at Captain Marvel from the compliance perspective. 13. Join Tom and AMI’s Jesse Caplan next week for a 5-part exploration of emerging issues in healthcare compliance and monitoring. Tom Fox is the Compliance Evangelist and can be reached at [email protected] Jay Rosen is Mr. Monitor and can be reached at [email protected] 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 Week in FCPA-Episode 146 – Ides of March (formerly St. Patty’s Day) edition
Mar 15 2019 49 mins  
On this Ides of March with the St. Patrick’s Day weekend is upon, and we are all Irish at least for a day, Tom and Jay are joined by our favorite Irishman (and the Coolest Guy in Compliance), Matt Kelly to take a look at some of this week’s top compliance and ethics stories which caught their collective eyes this week. 1. Massive corruption scandal rocks college admissions across the country. 2. FARA, FARA, FARA. 3. Former KPMG national practice leader convicted in PCAOB scandal. 4. Will the US finally clamp down on shell companies? Matthew Stephenson is cautiously optimistic. General David Petraeus and Sheldon Whitehouse explain why it’s a national security issue. 5. Head coaches behaving badly as LSU head basketball coach suspended indefinitely in NCAA recruiting scandal. 6. DOJ quietly modifies Corporate FCPA Enforcement Policy. 7. Did Oracle violate the FCPA? 8. 1MDB scandal back in the news as former Goldman Sachs banker Timothy Leissner and Roger Ng banned from banking industry for life. David Simpson reports. Also-did Jho Low contribute to Trump campaign? Tom Wright and Bradley Hope report. 9. How can you engage a BOD on cyber risks? 10. Tom continues with fan fav podcast series this week, the Adventures in Compliance this week.Check out the following: Part 1-The Red Circle; Part 2-The Abbey Grange; Part 3- The Priory School; Part 4-The Six Napoleons; and Part 5-The Empty House. The podcast is available on multiple sites: the FCPA Compliance Report, iTunes, JDSupra, Panoplyand YouTube. The Compliance Podcast Network is now also on Spotify. It is now on Corporate Compliance Insights.11. In a special guest segment, Matt Kelly reports on the highlights from Ethisphere’s Global Business Ethics Summit, which was held this past week in New York.12. Check out the latest edition of Popcorn and Compliance where Tom and Jay look at Captain Marvel. It posts Saturday, March 16 on the Compliance Podcast Network. Tom Fox is the Compliance Evangelist and can be reached at [email protected] Jay Rosen is Mr. Monitor and can be reached at [email protected] 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 Week in FCPA-Episode 145– Conferencing in America edition
Mar 08 2019 37 mins  
Tom and Jay were both conferencing this week, albeit in different disciplines. Tom at Podfest Expo and Jay at the ABA White Collar Crime conference. In between they discussed some of this week’s top compliance and ethics stories which caught their collective eyes. 1. MTS has massive FCPA resolution. Harry Cassin breaks the story.2. CTFT to follow DOJ lead on enforcement and SEC lead on Whistleblowers. Dick Cassin reports.3. Hacienda Healthcare is one of the worst corporate governance failures ever. 4. Gulnara Karimova charged with conspiracy to commit money laundering in the whooping amount of $866MM. Harry Cassin reports. 5. Are consumers the new regulators of global business practices? Richard Young explores. 6. Are Boards getting sufficient information on risk? Kristin Broughton reports in the WSJ .Matt Kelly says compliance professionals can help. 7. Is Baker MacKenzie in deep trouble over JBS bribery settlement? Former partner to be deposed over hire of Brazilian prosecutor.8. Dutch prosecutors have told Shell the company will be criminally indicted over its role in obtain drilling rights in Nigeria. Chloe Taylor reports.9. Jay begins a new role as a Featured Columnist on Corporate Compliance Insights. Check out CCI’s cool new look. 10. Tom returns his periodic podcast series the Opinion Release Papers, with a five-part offering this week. Check out the following: Part 1-Opinion Release 10-03 on charitable donations under the FCPA; Part 2-Opinion Release 10-02 on hiring foreign officials as agents; Part 3- Opinion Release 07-01, travel for foreign officials; Part 4-Opinion Release 07-02, travel for and entertainment of foreign officials; Part 5-Opinion Release 11-01, why should you use the process. The podcast is available on multiple sites: the FCPA Compliance Report, iTunes, JDSupra, Panoplyand YouTube. The Compliance Podcast Network is now also on Spotify. It is now also on Corporate Compliance Insights. Tom Fox is the Compliance Evangelist and can be reached at [email protected] Jay Rosen is Mr. Monitor and can be reached at [email protected] 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 Week in FCPA-Episode 144 – Farewell to Sam edition
Mar 01 2019 39 mins  
Tom returns from London to find Sam Rubenfeld announcing his departure from the WSJ Risk and Compliance Journal via Twitter. Tom and Jay are back together to take a look at some of this week’s top compliance and ethics stories which caught their collective eyes this week. 1. Ethisphere’s 2019 World’s Most Ethical companies awards is announced. 2. Fresenius announces pending FCPA resolution. Sam Rubenfeld reports in the WSJ Risk and Compliance Journal. Sam announces his departure from the Risk and Compliance Journal via Twitter.3. The UK Serious Fraud Office closes its investigation into GSK and Rolls Royce with no individuals prosecuted. How could this happen? 4. What new industries are under FCPA scrutiny? 5. Bio-Rad GC retains most of his whistleblower award. 6. What is the intersection of Supply Chain and security? 7. What are the dangers of a GC shirking their FCPA duties? 8. What is the intersection of sports and compliance? 9. Proviti’s Jim DeLoach named recipient of the 2019 Bette Steed Leadership Award by the Greater Houston Business and Ethics Roundtable. 10. Tom has a special 4-part podcast series this week, Live from Londonwhere he was interviewed Jonathan Armstrong. Check out the following: Part 1-customers emerging as corruption risks, Part 2-state of compliance in 2019; Part 3- the Cognizant Technology FCPA declination; and Part 4-regime change and compliance. The podcast is available on multiple sites: the FCPA Compliance Report, iTunes, JDSupra, Panoplyand YouTube. The Compliance Podcast Network is now also on Spotify. It is soon to be on Corporate Compliance Insights.11. Navex Global is putting on a virtual master class-- Ethics Beyond Compliance: Retaliation, Thursday, March 14, 2019 at 8:30 AM Pacific | 10:30 AM Central | 11:30 AM Eastern | 3:30 PM GMT. Registration and agenda are availablehere. Tom Fox is the Compliance Evangelist and can be reached at [email protected] Jay Rosen is Mr. Monitor and can be reached at [email protected] 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 Week in FCPA-Episode 143 –the London Homesick Blues edition
Feb 23 2019 44 mins  
Tom in is London this week, thinking about Gary P. Nunn, the Lost Gonzo Band and London Homesick Blues(special bonus points if you have heard Nunn or his group live). He takes a look at some of this week’s top compliance and ethics stories which caught his eye, across the pond. 1. Swedish court lets Telia execs walk free. 2. How bad are things at Tesla? New GC backs out after 2 months. 3. In a stunning FCPA enforcement action, Cognizant Technologies obtains a declination. Matt Kelly is so stunned he has two blog posts on it. Tom and Mike Volkov are so stunned they have there first bonus podcast, on the the FCPA Compliance Report. Mike Volvok takes a deep dive in a four part blog post series on Corruption, Crime and Compliance.4. Former CEO and GC of Cognizant Technologies charged criminally under the FCPA. 5. What will be the impact of a Global Magnitsky Act. Kelly Swanson reports inGIR. 6. Alison Taylor continues her run of great pieces, this one on the relationship of companies to suppliers to compliance. 7. GiGo is still relevant in AI. 8. What are the basics of a Congressional investigation? 9. How do you protect the attorney-client privilege and the 5thamendment will cooperating with the government? 10. Danske Bank unceremoniously kicked out of Estonia. Tom Fox is the Compliance Evangelist and can be reached at [email protected] Jay Rosen is Mr. Monitor and can be reached at [email protected] 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 Week in FCPA-Episode 142 - the What’s in Your Supply Chain? edition
Feb 15 2019 44 mins  
A special guest joins the lads this week. Tom and Jay were panelists this week’s at Assent’s Supply Chain Conference as was our guest Pamela Fierst-Walsh who joins in for this special live edition of This Week in FCPA. The trio share their observations around one of the areas of renewed compliance focus and are back to at some of this week’s top compliance and ethics stories which caught their collective eyes. 1. KPMG executives go to trial in alleged theft of PCAOB audit protocols. 2. Hawiian businessman pleads guilty to FCPA violations. 3. Do you know who is in your supply chain? Matt Kelly on the Anheuser-Busch commercial featuring Bon & Viv. Matt and Tom consider more deeply in this week’s episode of Compliance into the Weeds.4. Why is the ‘ethics’ portion of a compliance and ethics program more important than ever? 5. Avoiding female colleagues is not the answer to #MeToo. It’s discrimination. 6. Why is health care in China still a minefield for compliance? 7. What are some great digital markets strategies for compliance? 8. How does organizational culture impact compliance? 9. Have you been microchipped? 10. Tom has a 5-part podcast series celebrating the 15th anniversary of the founding of Affiliated Monitors. 11. Tom and Louis Sapirman are joined by Sean Freidlin for a Hanzo sponsored webinar on February 28 on the intersection of a corporate compliance program and corporate communications and marketing. Learn about knocking down silos and using social media in your compliance program. Tom Fox is the Compliance Evangelist and can be reached at [email protected] Jay Rosen is Mr. Monitor and can be reached at [email protected] 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 Week in FCPA-Episode 141 - the We’re on Spotify edition
Feb 08 2019 43 mins  
The Patriots won the Super Bowl (yet again). Even more significantly This Week in FCPA is now on Spotify. To celebrate, Tom and Jay are back to at some of this week’s top compliance and ethics stories which caught their collective eyes. 1. Goldman Sachs considers clawbacks from former execs involved in the 1MDB scandal. 2. What were last year’s trends in NPAs and DPAs.3. Stupid CEO remarks=new activist investor on Board. 4. An intriguing analysis of the Wells Fargo scandal. 5. Bring out your dead.6. It’s Friday afternoon. Where are your bankers? 7. Why is tennis so susceptible to corruption? 8. Is your organization’s culture toxic? How can you assess it? 9. Did the Commerce Department violate federal law in a monitor selection? 10. Tom has a 5-part podcast series on moving from disconnected to connected compliance, sponsored by GAN Integrity.11. Tom and Jay are speaking at the Assent Compliance, Supply Chain Conference in San Diego, on February 13. If you are interested in supply chain, compliance or the FCPA, please come by and check it out. Registration and agenda are available here. Tom Fox is the Compliance Evangelist and can be reached at [email protected] Jay Rosen is Mr. Monitor and can be reached at [email protected]rs.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 Week in FCPA-Episode 140 - the Godfather retires edition
Feb 01 2019 35 mins  
The Super Bowl is Sunday. Will the ads be better than the game? Tom and Jay are back and as the pay tribute to the Godfather of compliance bloggers and commentators, Dick Cassin, who turned over Editorship of the FCPA Blog to his son, Harry Cassin. They also look at some of this week’s top compliance and ethics stories which caught their collective eyes. 1. Why lying to your bank is always a bad idea. The US government hammers Huawei with a criminal complaint. Will Huawei even be around? 2. The SEC has a busy week. 3. Got dinged by your employer for a FCPA fubar? No defamation claim for you. 4. How should a board think about its oversight role of corporate culture? 5. How should you brief a Board on Tech? 6. Where are behavioral insights in compliance? 7. Did conflicts of interest help fuel the opioid crisis? 8. Should year-end corruption perception rating be read with a grain of salt? 9. Odebrecht debarred by World Bank. 10. Fighting corruption is a money maker in Saudi Arabia. 11. Tom is back with another week of compliance lessons from The Bard as he uses Shakespeare’s Problem Play to illustrate compliance issues. Check out the following: Part 1-All’s Well that Ends Well and Compliance Resiliance; Part 2-Troilus and Cressida and Compliance as Tragedy; Part 3- Measure for Measure and Creating a Game Plan; Part 4-The Winer’s Tale and Terminating a 3rdParty; Part 5-Timon of Athens and Risk Ranking Logistics Companies. The podcast is available on multiple sites: the FCPA Compliance Report, iTunes,JDSupra, Panoplyand YouTube. Soon to be on Spotify and Corporate Compliance Insights. 12. The Godfather of FCPA blogging retired this week as Dick Cassin stepped down from day-to-day running of the FCPA Blog, turning over the Editorship to Harry Cassin. The entire compliance community owes Dick a huge debt of gratitude. Tom and Jay reflect on how Dick and the FCPA Blog impacted their compliance trajectories. Tom Fox is the Compliance Evangelist and can be reached at [email protected] Jay Rosen is Mr. Monitor and can be reached at [email protected] 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 Week in FCPA-Episode 139 - the Worst Officiating (Non) call ever edition
Jan 25 2019 30 mins  
As the Pats and Rams advance, Tom and Jay ask if the NFL even cares about get it right? They also look at some of this week’s top compliance and ethics stories which caught their collective eyes. 1. Google becomes first US company fined under GDPR. 2. What is good corporate governance under German law? 3. Deutsche Bank under US scrutiny for it role in Dansk Bank scandal. 4. Should some parts of a compliance program be kept secret? 5. Academic evidence that frauds mar a firm’s reputational value is even greater than previously thought. 6. Siloed compliance and how to overcome it. 7. Matt Kelly looks at some of the specific corruption issues around distributors. 8. Where will Bribery Act enforcement head in 2019? 9. How to handle an internal investigation in Russia. 10. This Week Tom was joined by AMI’s Vin DiCianni and Eric Feldman for a 5-part sponsored podcast series on the Benczkowski Memo and related DOJ guidance on compliance programs from 2018. 11. What is arrogance in leadership? The lads debate how the NFL can be so incompetent and seemingly not care one iota about it. Tom Fox is the Compliance Evangelist and can be reached at [email protected] Jay Rosen is Mr. Monitor and can be reached at [email protected] 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 Week in FCPA-Episode 138 - the The (Burger) King at the White House edition
Jan 19 2019 34 mins  
As Trump serves Burger King to the national champion Clemson Tigers, the Pats, Chiefs, Saints and Rams roll into the NFL’s version of the final four. Will the new guard arise (Mahomes and Goff) or will this be the last stand of the old guard (Brady and Brees)? Tom and Jay are back in the saddle for a look at some of this week’s top compliance and ethics stories. 1. Dick Cassin bookends 2018 and 2019 with the big story on compliance was from 2018and what he thinks the big story for compliance will be in 2019. Both in the FCPA Blog. 2. Robert Zink becomes the acting head of the DOJ Fraud Section. 3. First head of SEC Whistleblower Office blasts SEC proposal to gut whistleblower awards. 4. Italy adopts ‘bribe destroyer’ law (similar to the Doomsday device on TOS). 5. Be wary of false prophets (and benchmarking). 6. MSU Interim President puts foot in mouth, then eats it. 7. What will the CCO of the future look like? What does it mean? 8. Willaim Barr changes position on whistleblower. 9. What the top 10 cyber security issues for 2019. 10. This Week Tom was joined by John Gill VP of Education at the ACFE for a 5-part podcast series on the famous fraudsters. Check out the following: Part 1-Nathan Mueller; Part 2-Mark Whitacre; Part 3- Andrea Baxendale; Part 4-James Brandolino; Part 5-Joseph Grmovsek. 11. Join the Greater Houston Business and Ethics Roundtable on January 24 for a presentation by Control Risk on its 2018 Heat Map. Details and Registration are here. 12. Check in next week for a 5 part podcast series with Eric Feldman and Vin DiCianni on the DOJ’s 2018 Guidance, what it means and how a compliance professional can use it going forward. 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 Week in FCPA-Episode 137- the Double Doink edition
Jan 11 2019 44 mins  
The Texans stink up their playoff game, the Bears double-doink their way out, the Seahawks lose but have a great backdoor cover, while in the college ranks Clemson absolutely destroys the previously undefeated Crimson Tide; all while the Trump Shutdown continues into its 3rdweek. Tom and Jay are back in the saddle for a look at some of this week’s top compliance and ethics stories. 1. Nissan and Carlos Ghosn are back in the news. Nissan is investigating other senior exec). Ghosn says the Board approved all his illegal conduct, making it legal. His lawyers try to get him bail. Where is the Magna Carta when you need it 2. Will Credit Suisse skate liability in the Tuna Bond scandal? 3. OFAC goes after Venezuealans for PdVSA embezzlement scheme. Jonathan Rusch discusses it his great blog.4. What are some of the top elements for a culture assessment? 5. Want to know how to prevent fraud by using effective internal controls. 6. What does NAFTA 2 mean for the fight against corruption. 7. The DOJ Fraud Section sees hike in individual prosecutions. What does it mean? 8. What will be the impact of the Yates Memo? 9. New pharma code bans all gifts..Tom is joined by Amii Barnard-Bahn with a 5-part podcast series on the top corporate scandals from the Board perspective on Across the Board. Check out the following: Part 1-CBS and Les Moonves; Part 2-the 1MDB and Goldman Sachs; Part 3- Facebook;Part 4-Tesla and Elon Musk; Part 5-Nissan and Carlos Ghosn. 10. Start your new year off with the Compliance Evangelist in the Compliance Master Class training. The first session, hosted by Baker Tilly, will be in San Francisco on January 28 and 29. 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 Week in FCPA-Episode 136
Jan 04 2019 35 mins  
The Texas Longhorns won the Sugar Bowl and Tom is still celebrating. Will he come down to earth with both the Cowboys and Texans playing on Saturday in the first round of the NFL playoffs? Tom and Jay are back in the saddle for a look at some of this week’s top compliance and ethics stories. 1. McKinsey may well find out that nit is ever good to be on the front page of the NYT accused of advocating bribery. 2. In what is the biggest corruption scandal in 2019 (to date) 2 ex-Credit Suisse bankers, a Lebanese businessman and the former finance minister from Mozambique all charged in a massive, $2 billion bribery and corruption scandal. 3. What issues should compliance professionals be alert for in 2019? 4. When (if ever) will the bleeding ever stop for Wells Fargo paying fines and penalties for its illegal conduct? They paid another $575MM in December to state regulators. 5. Want a quick wrap up of all FCPA enforcement actions in 2018. 6. Colombian anti-corruption chief sentenced to 4 years in jail for engaging in corruption. 7. Sloan Kettering facing massive conflict of interest scandal. 8. Where is blockchain and compliance going in 2019? 9. Miller & Chevalier’s James Tillen and Ann Sultan make 3 predictions for the 2019 FCPA year. 10. Tom starts off the year with a 5-part podcast series on leadership based on General Stanley McChrystal’s book Leaders-Myth & Reality. Check out the following: Part 1-The Founders, Walt Disney and Coco Chanel; Part 2-the Geniuses, Leonard Bernstein and Albert Einstein; Part 3- the Heroes, Zheng He and Harriet Tubman; Part 4-the Power Brokers, Boss Tweed and Margaret Thatcher; Part 5-the Reformers, Martin Luther and MLK, Jr. The podcast is available on multiple site: the FCPA Compliance Report, iTunes,JDSupra, Panoply and YouTube. Soon to be on Spotify. Learn more about your ad choices. Visit megaphone.fm/adchoices

This Week in FCPA-Episode 135 - the Shutdown edition
Dec 28 2018 23 mins  
While Trump has shut down the government over the holidays, compliance and ethics has not been shutdown. With Jay taking some time off to spend time with the family over this holiday week, Tom takes a solo pull on this week’s top compliance and ethics stories. 1. Two FCPA settlements this week. Polygram receives a Declination with disgorgement from the DOJ and SEC resolution. Sam Rubenfeld reports in the WSJ Risk & Compliance Journal. Electrobras settles with the SEC. Dick Cassin reports in the FCPA Blog. 2. Why is it important to fight money-laundering? ISIS has $400MM to spend on terrorism. Jonathan Rausch explains on Dipping Through Geomotries. 3. How can the US prosecute foreign bribe takers? Tom Firestone and Maria Piontkovska suggest ways to do so in the FCPA Blog. 4. What is ‘Brexhaustion’ and how does it impact compliance? Neil Hodge explores in Compliance Week. (sub req’d)5. What are four top cybersecurity issues every small business should address going into 2019? Pamela Passman explores in Navex Global’s Ethics and Compliance Matters. 6. Ten ways to improve your risk assessment process. Jim DeLoach in Corporate Compliance Insights. 7. Measuring and assessing corporate culture becomes more important in the UK. Op-Ed piece in the Financial Times(sub req’d)8. Colin Brady completes first ever unassisted trek across Antartica. Adam Skolnick reports in the NY Times. 9. In the post holiday blahs? Get back some of that holiday spirit with the new podcast series, Popcorn and Complianceas Tom and Jay consider the holiday favorite Elffor some compliance lessons. The podcast is available on multiple site: the FCPA Compliance Report, iTunes, JDSupra, Panoplyand YouTube. 10. Start your new year off with the Compliance Evangelist in the Compliance Master Class training. The first session, hosted by Baker Tilly, will be in San Fransicso on January 28 and 29. For information and registration details, click here. 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 Week in FCPA-Episode 134
Dec 21 2018 35 mins  
As the lads put on their final holiday push to make sure they are on the nice list, they consider some of the companies that may be on the naughty list, including Les Mooves and CBS, Goldman Sachs and some of the week’s other top compliance and ethics stories. Goldman Sachs criminally indicted over its role in the 1MDB scandal. CBS denies Les Moonves $120MM in severance. Matt Kelly looks at the broader CBS culture, compliance and whistleblower protection failures. Tom and Matt hash it out on Compliance into the Weeds.What is the role of a CCO and compliance in life sciences? How to attack the demand side of bribery and corruption. The FCPA Accounting provisions govern more than bribery. Former CEO and CFO of Panasonic Avionics settle individual FCPA violations. The roundup of top matters from 2018 has been. Jaclyn Jaeger on the top 5 ethics and compliance failures of 2018.SFO finally scores bribery conviction against an individual in court. Tom premiers a five-part podcast series on how whistleblower reporting systems improve corporate profitability. Get into the holiday spirit with some Popcorn and Compliance as Tom and Jay consider the holiday favorite Elf for some compliance lessons. 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 Week in FCPA-Episode 132
Dec 07 2018 34 mins  
As Tom and Jay prepare for the December holiday season, they consider data privacy, an FCPA trial, the Moonves scandal, give personal remembrances of and say farewell to George H. W. Bush and all while reviewing the week’s top compliance and ethics stories. Topics include: 1. Compliance Week devotes an entire issue to data privacy. 2. What are some common pitfalls in 3rdParty due diligence? 3. Did Jho Low bribe US government officials? 4. Can banks improve their AML programs without fear of enforcement? US regulators say yes. State of New York-maybe. 5. How will Goldman Sach’s role in the 1MDB scandal test the DOJ? 6. Hong Kong's former home secretary was convicted of FCPA violations bribing African officials on behalf of a Chinese energy company. 7. More commentary on modifications to the Yates Memo and what it means for the CCO. 8. The investigation into Les Moonves and his conduct at CBS is damning. 9. Great Women in Compliance premiered on the Compliance Podcast Network this week. 10. Interested in learning some compliance lessons through the movies? Tom and Jay begin a new podcast series Popcorn and Compliancewhere they consider compliance lessons while indulging in their love of the movies. 11. Tom and Jay pay tribute to George H. W. Bush. 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 Week in FCPA-Episode 62
Jul 21 2017 30 mins  
This week, Jay and I return for a wide-ranging discussion on some of the week’s top compliance and ethics related stories, including: Will Canada approve DPAs for use in anti-corruption prosecutions? TI-Canada recommends they come into use. See article in Corporate Compliance by clicking here. Also see interview with RCMP Superintendent Denis Desnoyers in GIR.Midyear FCPA enforcement report by Stanford Law Journal. See article in WSJ.The first half of 2017 has brought the final resolutions of only two FCPA matters from the new administration, but they were both declinations. Both declinations have significantly strengthened the FCPA Pilot Program as a clear path forward for every company that finds itself in FCPA hot water. See Tom’s article in Compliance Week.Are Mexican anti-corruption efforts moving forward or not. See pro see article entitled, New Mexican Anti-Corruption Law Enters into Force Global Compliance News. For con see article by Juan Montes Mexican Antigraft Efforts Falter, in WSJ.With the departure of Walter Shaub from the US Office of Governmental Ethics and Hui Chen as the Compliance Counsel, who will lead the US ethics and compliance efforts. See Jaclyn Jaeger’s article in the Compliance Week.Everything Compliance-Episode 14 is out. Topics include Walter Shaub’s departure from OGE and does it even matter? Jesse Eisinger’s book The Chickenshit Club; the SFO, UK Bribery Act and the Rolls-Royce enforcement action; differences in DPA practice in the US & UK; Trump Administration & FCPA enforcement; EU’s GDPR; and Hui Chen’s departure from Justice Department; both her public rebuke of Trump, and the substance of how she believes her guidance has been mis-interpreted. Episode 15 will go up on July 27.Former Haitian Telco exec pleads guilty, Dick Cassin reports in the FCPA Blog. Dmitrij Harder jailed five years for FCPA offenses. See article by Dick Cassin the FCPA Blog.The twins are back home from summer camp. What does it mean for the Rosen household?Jay previews his weekend report. Learn more about your ad choices. Visit megaphone.fm/adchoices

This Week in FCPA-Episode 61
Jul 15 2017 37 mins  
This week, Jay and I return for a wide-ranging discussion on some of the week’s top compliance and ethics related stories, including: HSBC monitor report protected from release. See article in Reuters by clicking here.The Odebrecht scandal continues to resonate across South America. See Dick Cassin’s post in the FCPA Blog.The first half of 2017 has brought the final resolutions of only two FCPA matters from the new administration, but they were both declinations. Both declinations have significantly strengthened the FCPA Pilot Program as a clear path forward for every company that finds itself in FCPA hot water. See Tom’s article in Compliance Week.Roy Snell says it’s not who’s who but who gets it. See article in SCCE Compliance and Ethics Blog.Tom announces the rollout of the Compliance Podcast Network. It includes This Week in FCPA, FCPA Compliance Report, Compliance Report-International Edition, 12 O’Clock High, Unfair and Unbalanced, Compliance into the Weeds, Across the Board, Everything Compliance, One Month to a More Effective Compliance Program. See Tom’s article in the FCPA Compliance and Ethics Blog.The next Everything Compliance podcast is in production. Topics include Walter Shaub’s departure from OGE and does it even matter? Jesse Eisinger’s book The Chickenshit Club; the SFO, UK Bribery Act and the Rolls-Royce enforcement action; differences in DPA practice in the US & UK; Trump Administration & FCPA enforcement; EU’s GDPR; and Hui Chen’s departure from Justice Department; both her public rebuke of Trump, and the substance of how she believes her guidance has been mis-interpreted. Part I will go up on Thursday, July 20. Learn more about your ad choices. Visit megaphone.fm/adchoices



This Week in FCPA-Episode 58
Jun 23 2017 36 mins  
After last week’s guest announcers, Jay and I return for a wide-ranging discussion on some of the week’s top compliance related stories, including: The first Declination of the Session’s Justice Department, Linde gas. For a copy of the Declination click here. For Tom’s discussion of the lessons learned, click here. The son of Equatorial Guinea's president went on trial this week in France for embezzlement of funds from the country. See article by Dick Cassin in the FCPA Blog. See Day 1 of trial report in the Global Anti-Corruption Blog.The UK SFO charges four former senior executives at Barclays Bank criminally around funding issues in the 2008 financial crisis. See Tom’s article by clicking here. Embattled Uber CEO Travis Kalanick resigns under pressure. Will there be a backlash, who will run the company? See articles in the New York Times and Wall Street Journal. Compliance in the 21stcentury, welcome to ComTech. See Tom’s article in Compliance Week. Hui Chen departs the Justice Department with a flurry of tweets. Matt Kelly reports on Radical Compliance.Jay previews his weekend report.Everything Compliance-Episode 13 is in production and will be released next Thursday. Topics include Matt Kelly on Uber and the need for policies and procedures, Jonathan Armstrong on fake news around GDPR, Mike Volkov on blockchain and how it may change compliance, and Jay Rosen, Linde notwithstanding, on the dearth of recent DOJ FCPA activity. For a sneak peak, listen to Matt Kelly’s rant at the end of this podcast. Learn more about your ad choices. Visit megaphone.fm/adchoices

This Week in FCPA-Episode 57
Jun 16 2017 38 mins  
This week, as their tribute to their Dad, we are guest hosted by Jay’s daughters, Millie and Michela. They lead us through a wide-ranging discussion on some of the week’s top compliance related stories, including: The Covington and Burling report on corporate culture at Uber. For what it means to the compliance practitioner, see Tom’s piece in the FCPA Compliance & Ethics Blog. For another view on the car crash of corporate governance at Uber, see Matt Kelly’s piece in Radical Compliance. Finally for an article the on investor who took on both Uber and Silicon Valley for similar issues, see this article on NPR.Swiss banker, Jorge Luis Arzuaga pleads guilty to laundering money for FIFA officials. See article by Dick Cassin in the FCPA Blog.DOJ files civil forfeiture complaints Thursday against an additional $540 million in assets allegedly bought with money looted from a Malaysian sovereign wealth fund, 1MDB. See article in the WSJ by clicking here.Adnan Khashoggi, the Saudi arms dealer in the middle of the giant 1970s bribery scandal that led to enactment of the FCPA died this past week. See article by Dick Cassin in the FCPA Blog.CCOs still struggle with outdated technology, siloed data. See article by Aarti Maharaja in the FCPA Blog. See Ethisphere-Convercent Report, by clicking here.Brazilian prosecutor-turned-lawyer under ethics investigation following J&F settlement. See article by Michael Griffiths in GIR by clicking here (sub req’d)Jay previews his weekend report.Tom continues to talk about the release of his new book 2016 – The Year in Corporate FCPA Enforcement. For more information and to purchase, click here.Happy Father’s Day to all you dads out there. Learn more about your ad choices. Visit megaphone.fm/adchoices

This Week in FCPA-Episode 56
Jun 10 2017 36 mins  
Show Notes for Episode 56, for the week ending June 9, the Who’s On First Edition This week, Jay and I have a wide-ranging discussion on some of the week’s top compliance related stories. We discuss: The Kokesh case at the US Supreme Court is significant for SEC enforcement of the FCPA around profit disgorgement. For what it means to the compliance practitioner, see Tom’s piece in the FCPA Compliance & Ethics Blog. For a legal review of the decision, see Miller & Chevalier client alert authored by Saskia Zandieh. Marc Bohn considered the cased in the FCPA Blog. Marc and I discuss the case on the FCPA Compliance Report, Episode 332.Trevor McFadden to leave the DOJ for federal bench. See article by Matt Kelly in Radical Compliance. Hui Chen’s contract not to be renewed, her position is posted for job applicants. Apply for the position here. Andrew Weissman leaves as head of the Fraud Section to go Special Prosecutor’s staff.Former PetroTiger General Counsel Gregory Weismann is banned from SEC practice. See article in the FCPA Blog. Matthew Stephenson considers what a Wal-Mart settlement might look like. See his article in the Global Anti-Corruption Blog.The federal judge who sentenced Samuel Mebiame, the bag man for Och-Ziff; criticized the DOJ for its lack of prosecution of any individuals from the company. See article by Sam Rubenfeld in WSJ Risk and Compliance Report.Jay previews his weekend report.Tom continues to talk about the release of his new book 2016 – The Year in Corporate FCPA Enforcement. For more information and to purchase, click here. Jay Rosen can be reached: Mobile (310) 729-6746 Toll Free (866)-201-0903 [email protected] Tom Fox can be reached: Phone: 832-744-0264 Email: [email protected] Learn more about your ad choices. Visit megaphone.fm/adchoices














This Week in FCPA-Episode 44
Mar 17 2017 42 mins  
In this episode, Jay and I have a wide-ranging discussion on the intersection of culture and ethics. We discuss: German authorities raid at VW investigation counsel, Jones Day, offices in Germany and what it may portend for FCPA investigation. See Tom’s article on the FCPA Blog.British cycling team scandal. See Tom’s article on the FCPA Blog.Uber, culture and corporate governance. See FT article, “Crisis inside the cult of Travis”.Venezuela begins to investigate PDVSA for corruption. See article in the Wall Street Journal.Federal reserve seeks lifetime ban for JPMorgan bankers who ran the illegal ‘Sons and Daughters’ hiring program. See article in the FCPA Blog.Tom reveals an exciting new podcast, the Compliance Report-International Edition, which will premier next week. The initial episode will feature Carlos Ayers on recent anti-corruption developments in Brazil and South America.Jay previews his weekend report.Tom reports on a talk about 3rd party ROI at the upcoming Third-Party Risk Management & Oversight Summit, on March 20 & 21 at the Princeton Club in New York City. Listeners to this podcast will receive a 15% discount off of the regular price of the event. To take advantage of this offer enter the Code CMP 161. For more information on the event, check out the website by clicking here. Jay Rosen new contact information: Jay Rosen, CCEP Vice President, Business Development Monitoring Specialist Affiliated Monitors, Inc. Mobile (310) 729-6746 Toll Free (866)-201-0903 [email protected] Learn more about your ad choices. Visit megaphone.fm/adchoices

This Week in FCPA-Episode 43
Mar 10 2017 30 mins  
In this episode, Jay Rosen reports live from the ABA White Collar Conference at the Fontainebleau Hotel in Miami. In addition to providing his insights on the highlights of the conference and the buzz around the new Justice Department Evaluation of Corporate Compliance Programs document released in February, we discuss: Adam Davidson’s piece in the New Yorker Magazine entitled, “Donald Trump’s Worst Deal” which looks at a Trump organization transaction in Azerbaijan which raises both FCPA and sanctions issues.The newly revamped Justice Department’s Fraud Section’s website.Highlight the rollout of the International Association of Independent Certified Monitors’ (IAICM) new website.Review the week’s FCPA related issues.Take a deep dive into the blockbuster trade announced between the Houston Texans and Cleveland Browns where the Texans sent their starting QB and a second round pick to the Browns for a fourth round pick in return (who says Texans are not great horse-traders!)Jay previews his weekend report.Tom reports on a talk about 3rd party ROI at the upcoming Third-Party Risk Management & Oversight Summit, on March 20 & 21 at the Princeton Club in New York City. Listeners to this podcast will receive a 15% discount off of the regular price of the event. To take advantage of this offer enter the Code CMP 161. For more information on the event, check out the website by clicking here. Jay Rosen new contact information: Jay Rosen, CCEP Vice President, Business Development Monitoring Specialist Affiliated Monitors, Inc. Mobile (310) 729-6746 Toll Free (866)-201-0903 [email protected] Learn more about your ad choices. Visit megaphone.fm/adchoices








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