1,426 episodes

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.

FCPA Compliance Report Thomas Fox

    • Business
    • 4.6 • 19 Ratings

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.

    FTX and Risk: Part 1 - Financial Institutions

    FTX and Risk: Part 1 - Financial Institutions

    Welcome to the award-winning FCPA Compliance Report, the most senior podcast in compliance. In this episode, I begin a 2-part series on the subjects of FTX and risk. I am joined by Gilbert Paiz and Andrew Gay, principals in the Texas Hill Country Advisors. In Part 1, we consider risk and risk management through the lens of US domiciled financial institutions and how their risk management protocols help to not only assess risk, but manage risk throughout the life cycle of a banking customer relationship. In Part 2, we will consider individual risk in investing and what type of background information, questions and due diligence individual should engage in and how this questions and background investigations apply equally to larger investments made by sophisticated investors, hedge funds  and institutional investors; who should have made them before investing in FTX but they all failed to do so.  Some of the highlights include: 
    ·      How do banks think of risk?
    ·      What internal processes or controls are in place to help a bank manage its risks?
    ·      What types of oversight do banks and financial institutions use to help manage risk?
    ·      Why are levels of review so critical?
    ·      How do banks think about customers in terms of risk?
    ·      Who decides how much risk to allow a customer to engage in with a banks money, whether through loans or other capital?
    ·      Do bank employees receive ongoing training on risk management issues?
    ·      What tech is in place to facilitate the management of risk?
     Resources
    Texas Hill Country Advisors
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    • 23 min
    Ty Francis on LRN Acquisition of Compliance Learning Solutions

    Ty Francis on LRN Acquisition of Compliance Learning Solutions

    Welcome to the award-winning FCPA Compliance Report, the longest running podcast in compliance. In this special episode, I visit with Ty Francis, the Chief Advisory Officer at LRN. We discuss the just-announced LRN acquisition of the Compliance Learning business unit from Thomson Reuters. The acquisition will further establish LRN’s position as the largest global provider of E&C program management and learning solutions serving over 2,500 companies and tens of millions of learners. It will place LRN literally across every continent, including a larger strategic presence in Asia-Pacific markets. This acquisition also enhances LRN’s capabilities and expertise in the financial services marketplace and will help accelerate several of its vertical market product strategies. Some of the highlights include:
    ·      How this acquisition allows LNR to bring compliance training to where a customer’s employees are located.
    ·      How this acquisition will facilitate data-driven compliance. 
    ·      Why a holistic, worldwide scope for compliance learning will be a business positive. 
    ·      How this acquisition will meet the continued growth in the regulatory landscape on a global basis. 
    Resources
    LRN
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    • 19 min
    Investigative Protocols After the Monaco Memo

    Investigative Protocols After the Monaco Memo

    In this episode, I take things in a different direction today as I post the recording of a webinar I recently put on for i-Sight Software Solutions. In this presentation, I detail what the Monaco Memo means your corporate investigative protocol.  Some of the highlights include: 
    ·      What changes did the Monaco Memo portend for corporate investigative protocols?
    ·      What unintended consequence did the Russian invasion of Ukraine bring to the public view of whistleblowers? 
    ·      Why is triage a key aspect of your investigative protocol?
    ·      Why should you create an investigative protocol long before an investigation becomes needed?
    ·      How do you create an investigative protocol to keep key decision makers in the loop?
     Resources
    For a White Paper on these issues, click here.
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    • 48 min
    David Simon and Mike Walsh on Global Supply Chain Disruption and Compliance, Part 2

    David Simon and Mike Walsh on Global Supply Chain Disruption and Compliance, Part 2

    In this episode, I visit with Foley & Lardner partners David Simon and Mike Walsh on the disruption to the global supply chain, which I focused on in the podcast series, Never the Same. They have co-authored an article entitled,  Managing Supply Chain Disruption in an Era of Geopolitical Risk on the topic. In this Part 2 of a two-series, we continue our exploration of the current global supply chain and focus on issues relating to China.  Some of the highlights include: 
    ·      Why ever company should prepare for a China confrontation over Taiwan.
    ·      Is the UFLPA a true game changer for supply chains and compliance? 
    ·      What is the impact of China’s Belt and Road program? It’s debt financing?
    ·      Why is the global supply chain and indeed the global economy of the past 30 years now dead?
    ·      What steps compliance functions should take now around the global supply chain of the future.
     Resources
    David Simon
    Mike Walsh
    Managing Supply Chain Disruption in an Era of Geopolitical Risk by Mike Walsh and David Simon
    Why Supply Chain Will Never Be the Same After the Russian Invasion by Tom Fox
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    • 25 min
    David Simon and Mike Walsh on Supply Chain Global Disruption and Compliance, Part 1

    David Simon and Mike Walsh on Supply Chain Global Disruption and Compliance, Part 1

    In this episode, I visit with Foley & Lardner partners David Simon and Mike Walsh on the disruption to the global supply, which I explored in the podcast series, Never the Same. They have co-authored an article entitled,  Managing Supply Chain Disruption in an Era of Geopolitical Risk on the topic. In this Part 1 of a two-series, we begin to explore the topic of the events which have led to the disruption of the global supply chain and the impact on compliance functions. Some of the highlights include: 
    ·      What led to the disruption in the global supply chain? 
    ·      Will this continue for the foreseeable future?
    ·      Why is the global supply chain and indeed the global economy of the past 30 years or so now dead?
    ·      Why the impact of this supply chain disruption is greater in the EU than US.
     Resources
    David Simon
    Mike Walsh
    Managing Supply Chain Disruption in an Era of Geopolitical Risk by Mike Walsh and David Simon
    Why Supply Chain Will Never Be the Same After the Russian Invasion by Tom Fox
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    • 21 min
    Shannon Martin on Internal Podcasts for the Corporate Compliance Function

    Shannon Martin on Internal Podcasts for the Corporate Compliance Function

    In this episode, I visit Shannon Martin, Director of Communications and Corporate Podcasting Specialist at Podbean, a podcast hosting platform. We discuss how companies and, more specifically, corporate compliance functions can use internal podcasts to communicate compliance and ethics concepts using storytelling and other informative techniques. Some of the highlights include:

    Why storytelling works in the corporate world.

    Why the power of voice works so well.

    How internal podcasts can help a compliance function avoid compliance communication fatigue.

    Why your imagination only limits you.

     Resources
    Shannon Martin on LinkedIn
    Podbean
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    • 19 min

Customer Reviews

4.6 out of 5
19 Ratings

19 Ratings

somedudeinGA ,

Well worth your time!

Tom Fox does a great job explaining compliance related things. What he does better than anyone is relate complex compliance topics to the real world. He weaves in stories about his Astros (and my Red Sox) and so much more. Nothing but respect for the FCPA master!

Bluerafters ,

The Wirecard Series Is Absolutely Phenomenal

The best for up to date information!

uuuuuuuuuuudu ,

I enjoyed this podcast

I just heard the compliance series.

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