FCPA Compliance Report

Thomas Fox
  • 4.7 (21)
  • Business
  • Updated Daily

The FCPA Compliance Report is the longest running podcast in the in compliance and business ethics. Join its award-winning host, Tom Fox, the Voice of Compliance as he visits with top compliance practitioners, key figures from business, the government and law firms in the top podcast dedicated to all things compliance.

  1. 2d ago ·  Bonus

    Natural Disaster Expo 2026 Speaker Series: James Caron on Lessons from Winter Storm Uri

    Welcome to Natural Disasters Expo Houston! For its fifth year, Natural Disasters Expo USA comes back to Houston on October 14–15, 2026, at the George R. Brown Convention Center. And there’s no better place. This city knows what it takes to prepare for disasters, respond, and rebuild afterward. For two days, industry leaders, government agencies, first responders, and resilience professionals will come together with one shared goal: helping communities weather the next storm stronger than the last. Explore new solutions and technology, learn from experts on the front lines, and meet the partners who will help you turn preparedness into action. Whether you’re here to learn, share, or collaborate, you’re part of the effort to build a more resilient nation. In this speaker series, Tom Fox interviews James Caron on Lessons from Winter Storm Uri and Business Risk Preparedness. James Caron is the director of weather operations for North America at Atmospheric G2 and owner of Caron Weather Consultancy. He discusses his upcoming Disaster Expo 2026 presentation in Houston, “Storm Ready: Analyzing Winter Storm Uri and Preparing for Future Winter Hazards.” Caron explains forensic meteorology as expert witness work in litigation involving weather-related incidents, then outlines how a displaced polar vortex during Uri placed all 254 Texas counties under winter storm warnings, drove Dallas–Fort Worth to -2°F, nearly collapsed ERCOT, cut power to about 4.5 million customers, and spiked natural gas prices above 1,000 MMBTU. He will use his financial institution lead-time forecasting experience as a case study and offer practical preparedness guidance for emergency management, grid and energy operators, and businesses, noting that Uri broadened business awareness of winter risk and that a strong El Niño could elevate winter 2026/27 threats. Resources: Connect with James Caron on LinkedIn Natural Disasters Expo USA Get your Ticket Conference Agenda Speakers 2026 Learn more about your ad choices. Visit megaphone.fm/adchoices

    Natural Disaster Expo 2026 Speaker Series: James Caron on Lessons from Winter Storm Uri

  2. 3d ago ·  Bonus

    Natural Disaster Expo 2026 Speaker Series: Mike Mulligan on Lessons from Harvey

    Welcome to Natural Disasters Expo Houston! For its fifth year, Natural Disasters Expo USA comes back to Houston on October 14–15, 2026, at the George R. Brown Convention Center. And there’s no better place. This city knows what it takes to prepare for disasters, respond, and rebuild afterward. For two days, industry leaders, government agencies, first responders, and resilience professionals will come together with one shared goal: helping communities weather the next storm stronger than the last. Explore new solutions and technology, learn from experts on the front lines, and meet the partners who will help you turn preparedness into action. Whether you’re here to learn, share, or collaborate, you’re part of the effort to build a more resilient nation. In this speaker series, Tom Fox interviews Atascocita Fire Department Chief Mike Mulligan about Hurricane Harvey Frontline Leadership Lessons. Chief Mulligan serves the Atascocita Fire Department, which covers a 25-square-mile area with 75,000–90,000 residents in unincorporated northeast Harris County. Mulligan previews his conference panel, “Lessons From the Front Line,” describing Harvey-era preparation and rescue execution, political and resource-prioritization challenges, the unexpected arrival of the Cajun Navy, and an EMS-related “tug-of-war” over a resource that drove extended after-action discussions. He explains that before Harvey, the department had limited high-water exposure, lacked boats and swift-water capability, and then added equipment and planning after prior floods while still maintaining normal EMS call volume during Harvey. Mulligan also discusses attending a broader disaster conference to learn how emergency response affects downstream mitigation and recovery. Resources: Connect with Chief Mulligan on LinkedIn Natural Disasters Expo USA Get your Ticket Conference Agenda Speakers 2026 Learn more about your ad choices. Visit megaphone.fm/adchoices

    Natural Disaster Expo 2026 Speaker Series: Mike Mulligan on Lessons from Harvey

  3. 4d ago ·  Bonus

    Natural Disaster Expo 2026 Speaker Series: Leading Through a Disaster: Dalton Rice on Lessons from Back-to-Back 1000-year Floods

    Welcome to Natural Disasters Expo Houston! For its fifth year, Natural Disasters Expo USA comes back to Houston on October 14–15, 2026, at the George R. Brown Convention Center. And there's no better place for it. This city knows what it takes to prepare for disasters, respond, and rebuild afterward. For two days, industry leaders, government agencies, first responders, and resilience professionals will come together with one shared goal: helping communities weather the next storm stronger than the last. Explore new solutions and technology, learn from experts who have been on the front lines, and meet the partners who will help you turn preparedness into action. Whether you're here to learn, share, or collaborate, you're part of the effort to build a more resilient nation. In this speaker series, Tom Fox interviews Dalton Rice, City Manager of Kerrville, ahead of the Natural Disaster Expo 2026, where Rice will speak on “Leading Through a Disaster: Hill Country Floods 2025.”  Rice previews a leadership-focused talk on how individuals and organizations navigate disasters, emphasizing immediate mental health support, burnout prevention, and adapting operations while continuing to run cities and departments. He plans to incorporate lessons from Kerrville’s July 4, 2025, flood and a second major flood on July 16, 2026, noting differences between fatality events and devastation-only disasters and how politics, resources, and pace of response affect outcomes. Rice says he values the conference for networking and building a “Rolodex” of peers, and he explains his goal of creating practical guidance for city managers, including challenges such as legislative dynamics, IT issues, hate mail, death threats, and separating disaster response from organizational operations. Key highlights: Dalton Rice Role and Background Talk Preview: Leading Disaster Back-to-Back Flood Lessons Resilience Mindset and Burnout Conference Goals: Networking Why Share Lessons Learned Resources: Dalton Rice Profile Natural Disasters Expo USA  Get your Ticket Conference Agenda Speakers 2026 Learn more about your ad choices. Visit megaphone.fm/adchoices

  4. 6d ago

    From Prosecutor to White Collar Lawyer to CCO and Back: Mike Koenig

    In this episode, Tom Fox welcomes Mike Koenig to talk about his career and his recent move back to private practice after a 5-year stint at JBS. Mike is one of the few folks to move from private practice to an in-house CCO role, then back to private practice. Mike began by reviewing his career, from 25 years in private practice and a 2003 DOJ Fraud Section stint prosecuting corporate fraud to becoming chief compliance officer at JBS in August 2021 amid DOJ and SEC settlement agreements requiring an effective compliance program. He describes learning to operate within business-driven priorities by building relationships, learning the business and culture, “educating not dictating,” and securing C-suite, board, and audit committee buy-in, including CEO-driven training completion. He explains that he uses trusted outside experts and focuses on the specific problem to solve rather than “boiling the ocean.” After JBS completed the settlements and listed on the NYSE in June 2025, he returned to private practice at Friedman Kaplan to advise on investigations and compliance, emphasizing concise, solution-oriented counsel. He warns against de-prioritizing compliance despite reduced enforcement, urges risk assessments (tariffs, export controls, and human rights), and recommends using DOJ compliance guidance to review programs. Key highlights: Career Journey Recap Joining JBS In-House Building Compliance Fast Relationships Not Dictates Leadership Buy-In FCPA Pause or a Wake-Up Call Compliance Through 2030 Resources: Mike Koenig on LinkedIn Mike Koenig at Friedman Kaplan Friedman Kaplan Tom Fox Instagram Facebook YouTube Twitter LinkedIn My first work of general non-fiction is now out: Deluge Before Dawn, the story of the 2025 flood in Kerr County, Texas, which killed 119 people and devastated a county. It is a story of tragedy, heartbreak, survival, and resilience. It is available on the following sites: Amazon.com Stoney Creek Publishing Barnes and Noble Texas A&M University Press Bookshop.org Google.Books Walmart This week only, the Kindle e-book version is available for $0.99 on Amazon. Learn more about your ad choices. Visit megaphone.fm/adchoices

    From Prosecutor to White Collar Lawyer to CCO and Back: Mike Koenig

  5. Sep 18

    Natural Disaster Expo Houston: Preparedness, Resilience, and Business-to-Government Networking

    In this episode, Tom Fox welcomes Jack Moss, CEO & Board Member at Fortem International, to discuss the Natural Disaster Expo series and the upcoming Houston event (October 14–15). Moss explains the expo evolved from a UK Flood Expo launched about 10 years ago and expanded in the U.S. after interest from major agencies and stakeholders, including FEMA, Homeland Security, NASA, and NOAA, first in Miami and later California, then Houston as disasters increased in Texas. The conference brings together government entities, municipalities, first responders, private industry, risk and compliance professionals, reconstruction and construction providers, and funding-related participants to source products and services and learn how to predict, prevent, and manage disasters. Listeners can get a free pass to the event by using the link and code below. Key highlights: From UK to US Why Disaster Expo Expanding Across States Preparing for Disasters Resources: Natural Disaster Expo Click for Free Pass Tom Fox Instagram Facebook YouTube Twitter LinkedIn My first work of general non-fiction is now out: Deluge Before Dawn, the story of the 2025 flood in Kerr County, Texas, which killed 119 people and devastated a county. It is a story of tragedy, heartbreak, survival, and resilience. It is available on the following sites: Amazon.com Stoney Creek Publishing Barnes and Noble Texas A&M University Press Bookshop.org Google.Books Walmart This week only, the Kindle e-book version is available for $0.99 on Amazon. Learn more about your ad choices. Visit megaphone.fm/adchoices

    Natural Disaster Expo Houston: Preparedness, Resilience, and Business-to-Government Networking

  6. Sep 14

    Michelle Tavares on Why Compliance Teams Need EB-5 on Their Radar

    In this episode, Tom Fox welcomes Michelle Tavares, a former federal government forensic accountant and former USCIS EB-5 compliance officer who helped rewrite the EB-5 statute into the Reform and Integrity Act (RIA). Tavares explains EB-5 as an investor visa program where foreign nationals invest $1,000,000 (or $800,000 in a TEA) in U.S. projects that must create jobs, and she describes how EB-5 transactions sit at the intersection of immigration, securities, banking/AML, and corporate governance, making consistent documentation and a unified “story” critical for adjudication. She outlines the roles of regional centers, NCEs, and JCEs; the challenges of proving a lawful source of funds; and the importance of third-party oversight, KYC/AML controls, and tone-from-the-top governance. She discusses how RIA added compliance expectations, penalties, and increased scrutiny of regional centers and overseas promoters, and shares why she founded Standard & Proof Investigations to close knowledge gaps in EB-5 compliance. Key Highlights: EB-5 Basics and Why It Matters RIA Overhaul and New Compliance Inside the Adjudicator Mindset Boardroom Governance for EB-5 Third-Party Oversight Essentials Resources: Standard & Proof Investigations Counsel Ready Michelle Tavares on LinkedIn Tom Fox Instagram Facebook YouTube Twitter LinkedIn My first work of general non-fiction is now out: Deluge Before Dawn, the story of the 2025 flood in Kerr County, Texas, which killed 119 people and devastated a county. It is a story of tragedy, heartbreak, survival, and resilience. It is available on the following sites: Amazon.com Stoney Creek Publishing Barnes and Noble Texas A&M University Press Bookshop.org Google.Books Walmart This week only, the Kindle e-book version is available for $0.99 on Amazon. Learn more about your ad choices. Visit megaphone.fm/adchoices

    Michelle Tavares on Why Compliance Teams Need EB-5 on Their Radar

  7. Sep 11

    9/11 Twenty-Five Years Later: Part 6: John Lee Dumas - “I Knew I Was Going to War”

    Ed. Note-Five years ago, I looked back on 9/11 in a 20 year retrospective. This week is the 25th anniversary of that event. I am rerunning this award winning podcast series so that we never forget.  On the 20th anniversary of the 9/11 terrorist attack, Tom Fox and guests look back on the tragic event and what it meant for them personally, as well as how it impacted the world of compliance. Today Tom’s guest is John Lee Dumas. John is the host of the award-winning podcast Entrepreneurs on Fire, joins Tom Fox on the last installment of Looking Back at 9/11 to commemorate the 20th anniversary of the 9/11 attack. He tells Tom how his life changed in that pivotal moment, and the big lessons he learned.  A Time of War John tells Tom that he was in his final year at Providence College, and in the ROTC cadets, on 9/11. When he saw the towers fall, he knew at once that it would change the trajectory of his career. He and his roommate looked at each other and they knew “that our next four years of active duty army experience went from being in the peacetime army to looking like we were going to war.” Within hours they were called to active duty: “We just became officers in the US army during a time of war,” John recalls. Leadership Lessons from the Army Tom asks John what leadership lessons he learned from his time in the army. John outlines three major takeaways that his time in combat taught him: To learn from those who went before. “I learned right at the beginning, I needed to stand upon the shoulders of giants,” he remarks. A good decision now is better than a great decision later. Action is everything. Make the best decision you can with the information you have, take action, then adjust if you need to when you know more. If you discover later on that you made a wrong decision, cut your losses and move on. Don’t compound that mistake by staying in a bad place, John advises. “I kept being willing to pull back and say let's try again, until I finally made a great decision. It took six years to make my first great decision, but that great decision has led to the last 10 years of living the exact life that I want to live.” What Americans Should Remember John wants Americans to appreciate their freedom, because it was hard won. He tells listeners, “So few people have ever experienced what true lawlessness is. And until you’ve experienced that, it's hard to really appreciate what we do have here. But you know, this is a great country and it is the home of the free because of the brave. And I hope that's just something that we will always remember.” Resources John Lee Dumas: ⁠Entrepreneurs on Fire⁠ | ⁠Twitter   Learn more about your ad choices. Visit megaphone.fm/adchoices

  8. Sep 10

    9/11 Twenty-Five Years Later: Part 5: Scott Moritz – It Changed Overnight

    Ed. Note: Five years ago, Tom Fox looked back on 9/11 in a 20-year retrospective. This week is the 25th anniversary of that event. We will be rerunning this award-winning podcast so we never forget. On the 20th anniversary of the 9/11 terrorist attack, Tom Fox and guests look back on the tragic event and what it meant for them personally, as well as how it impacted the world of compliance. Today, Tom’s guest is Scott Moritz for this episode of Looking Back at 9/11, where Scott talks about how the events of 9/11 impacted the FBI. ⁠How 9/11 Changed The FBI: Structural and Cultural Ambidexterity 9/11 fundamentally changed the FBI overnight. Scott remarks that for a long time after 9/11, the FBI was primarily focused on the attack on the Trade Center. That was the Bureau’s main investigation, and all FBI field offices and virtually every foreign attaché office in the world worked on it. Many scholars, through various organizational studies and surveys, assumed that the FBI would have created simultaneous frontline structures and processes to balance its two competing missions: national security and law enforcement. The scholars also posited that the FBI might engage in cultural ambidexterity by refusing to take on the national security mission altogether. The FBI did something altogether unexpected and tackled both.  The Benefit of One Agency “There was this rapid emergence of two clear, but distinct, identities, and eventually, you know, one new unified identity: the FBI, but some changes were that terrorism cases were centralized at headquarters…This was a big departure from the way that the FBI normally operated,” Scott tells Tom. By staying a single agency, the FBI had better access to local law enforcement and could better leverage defendants for information that could advance the national security mission. A Shift in the Private Sector Tom asks Scott to talk about any changes in the private sector he was personally involved in. The major post-9/11 change in the private sector, especially for financial institutions, was the enactment of the Patriot Act, which also paved the way for other significant changes. Financial Institutions and broker-dealers had to harden the security of buildings and supply chains across the country’s infrastructure. There was also an explosion of no-fly lists, watch lists, and terrorist watch lists. Banks, building owners, and brokerage companies often had to navigate these systems quickly. Scott was heavily involved in helping these institutions meet their anti-money-laundering and security obligations.  Looking to the Future Tom asks Scott to share reflections on 9/11 and the future. Scott remarks that after 9/11, the country was more united and people were more compassionate toward one another. The best of humanity in the form of kindness and outpouring of love was seen not just from Americans to each other, but from the rest of the world to America. He hopes he can see that kind of love and unity again someday.  Resources: Scott Moritz | ⁠LinkedIn⁠ ⁠Fraud Eats Strategy Front Office Agents Podcast Learn more about your ad choices. Visit megaphone.fm/adchoices

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4.7
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About

The FCPA Compliance Report is the longest running podcast in the in compliance and business ethics. Join its award-winning host, Tom Fox, the Voice of Compliance as he visits with top compliance practitioners, key figures from business, the government and law firms in the top podcast dedicated to all things compliance.

Information

  • Creator
    Thomas Fox
  • Years Active
    2013 - 2026
  • Episodes
    1.6K
  • Rating
    Explicit

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