194 episodes

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. 

This Week in FCPA Thomas Fox

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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 248 – the Impact 2021 edition

    Episode 248 – the Impact 2021 edition

    As Gary Gensler is confirmed to chair the SEC, Tom and Jay are back to look at this week’s stories top compliance and ethics stories which caught their interest on This Week in FCPA. We are joined by special guest Pat Harned to talk about the upcoming ECI Impact 2021.
    Stories

    Environmental crime enforcement under the Biden Administration. Mike Volkov in Corruption Crime and Compliance.

    Jason Meyer on what the Masters means to him, on LinkedIn.

    Policies and Procedures not enough in compliance. Klaus Moosemeyer in the FCPA Blog.

    PCAOB charged with discrimination in suit. Aaron Nicodemus in Compliance Week. (sub req’d)


    AI in compliance. Shurti Shah and Joanthan Rusch in NYU’s Compliance and Enforcement Blog.

    What is audit fieldwork. Dr. Herman Murdock in XpertsLeague.

    DOJ to increase cross-border enforcement? Jon New and Patrick Campbell in CCI.

    Is moral leadership an art? Brett Beasley in Center for Ethical Leadership.

    FTC gearing up on enforcement. Get ready. Jaclyn Jaeger in Compliance Week. (sub req’d)


    More on ESG. Jonathan Marks in BoardandFraud. 


    Podcasts and Events

    Tom and Megan Dougherty are doing a special podcast series around The Falcon and The Winter Soldier, currently streaming on Disney+. Check out Episodes 1&2, Episode 3, Episode 4.

    Check out the 5-part podcast series, sponsored by Lextegrity on the most cutting edge use of data analytics in compliance. All on the Compliance Podcast Network.

    This month on The Compliance Life, Tom welcomes Jonathon Kellerman. In Episode 1, Jonathon discusses the path he took to compliance. In Episode 2, he talks about his early professional career in healthcare compliance consulting.

    This week on The Compliance Handbook, I visit with AMI’s Vin DiCianni and Eric Feldman on the role of culture in compliance. Check outthe video podcast here.

    CCI releases a new eBook, The FCPA Year in Review by the Compliance Evangelist, Tom Fox. You can obtain a copy here. Best of all its available at no charge.

    Join Tom and Jay at ECI’s IMPACT 2021, which will be held virtually April 20-22. Listeners to this podcast will receive a 20% discount to the event. For more information and registration details click here. Use the code Tom20for your discount.

    Join K2 Integrity’s financial crimes compliance professionals on Thursday, 22 April 2021, at 10 AM ET for DOLFIN’s “Ask an Expert FINQuiry” webinar, for a discussion on the impact of ongoing developments in the financial integrity community. Information and Registration here. Third-party due diligence, through creative and comprehensive gathering of information and intelligence, can help organizations better assess the third-party and associated risks and identify areas of potential concern or opportunity that would otherwise have gone uncovered. Join K2 Integrity’s Anna Gumowska and Shannon Rainey on Wednesday, 21 April as they discuss scenarios in which third-party due diligence helped uncover areas of risk and opportunity for clients. Information and Registration here.

    Tom announces his latest book, The Compliance Handbook, 2nd edition is available for presale purchase. Use the code FOX25 and go here. The Compliance Handbook 2ndedition will be available in both print and eBook editions. This week on The Compliance Handbook podcast, the ladies from #GWIC join Tom for a deep dive into written standards.

    Tom Fox is the Voice of Compliance and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.
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    • 47 min
    Episode 247 – the GES edition

    Episode 247 – the GES edition

    As the Baylor Bears win their first NCAA BB title and Ethisphere’s annual Global Ethics Summit is just around the corner, Tom and Jay are back to look at this week’s stories top compliance and ethics stories which caught their interest on This Week in FCPA. This week we are joined by special guest Kevin McCormack from Ethisphere who highlights the 2021 Global Ethics Summit.
    Stories

    Credit Suisse feels the pain of poor risk management. Matt Kelly in Radical Compliance. Dylan Tokar in the WSJ Risk and Compliance Journal. Tom Smith in the Financial Times.

    Jason Meyer sees a win for compliance and ethics, on LinkedIn.

    Is a SOX whistleblower required to prove fraud? Jason Zuckerman in the Whistleblower Protection Blog.

    Karen Woody named Herndon Fellow. Peter Jettons in The Columns.

    Accountability: it’s all of us. Sam Sliverstein in LinkedIn.

    Time for a national privacy law. Steven Cavey in CCI.

    Is what you need Goldilocks compliance? Jeff Kapan in CEP.

    Ready to move into compliance or risk management? Dick Cassin says asks some questions first, in the FCPA Blog.

    How to protect whistleblowers? Alexander Ghavinian in the FCPA Blog. Six principles of whistleblower protection. František Nonnemann the Risk and Compliance Platform Europe.

    As int’l anti-corruption evolves, is the US losing its place. Robert Clark explores in the FCPA Blog. 


    Podcasts and Events

    On Integrity Through Compliance, Don Stern and Eric Feldman host former DAG Rod Rosenstein for a two-part series on the past, present and furture of compliance and independent monitoring. Check out Part 1 here.

    Tom and Megan Dougherty are doing a special podcast series around The Falcon and The Winter Soldier, currently streaming on Disney+. Check out Episodes 1&2 and Episode 3.

    This month on The Compliance Life, Tom welcomes Jonathon Kellerman. In Episode 1, Jonathon discusses the path he took to compliance.

    CCI releases a new eBook, The FCPA Year in Review by the Compliance Evangelist, Tom Fox. You can obtain a copy here. Best of all its available at no charge.

    Join Tom and Jay at Ethisphere’s 2021 Global Ethics Summit, which will be held virtually April 13-15. Listeners to this podcast will receive a 15% discount to Ethisphere’s Global Ethics Summit For more information and registration details click here. Use the code tomfox15 for your discount.

    Join K2 Integrity’s financial crimes compliance professionals on Thursday, 22 April 2021, at 10 AM ET for DOLFIN’s “Ask an Expert FINQuiry” webinar, for a discussion on the impact of ongoing developments in the financial integrity community. Information and Registration here.

    Tom announces his latest book, The Compliance Handbook, 2nd edition is available for presale purchase. Use the code FOX25 and go here. The Compliance Handbook 2ndedition will be available in both print and eBook editions. This week on The Compliance Handbook podcast, the ladies from #GWIC join Tom for a deep dive into written standards.

    Tom Fox is the Voice of Compliance and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.
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    • 46 min
    Episode 246, week ending April 2, 2021 – the GWICies edition

    Episode 246, week ending April 2, 2021 – the GWICies edition

    As the Great Women in Compliance podcast series hits its 100 anniversary, the first annual #GWICies are awarded. Tom and Jay are back to look at this week’s stories top compliance and ethics stories which caught their interest on This Week in FCPA. 
    Stories

    Tom takes a deep dive into Ethisphere’s WME awards and reports. Part 1-WME awards. Part 2-managing a global workforce. Part 3-managing third-party risks. Part 4-communications and training.

    What is the price of nice? Mary Shirley explores in CCI.

    Criminalization of sports corruption. Ubong Udoeyo in GAB.

    Are you FARA compliant? Jonathan Marks in Board and Fraud.

    James Comey channels Bette Davis (and Jim Deloach). Aly McDevitt in Compliance Week. (sub req’d)


    How to prevent money-laundering. Alia Noor in XpertsLeague.

    Where to start with ESG reporting. MaryAnn Rains in Risk and Compliance Matters.

    Should compliance have outside competition? Dick Cassin opines in the FCPA Blog.

    Are you curious? (Not in a blue or yellow way) Joe Murphy channels Tim Harford in LinkedIn.

    Are you tone deaf from the top. Jon May in LinkedIn. 


    Podcasts and Events

    The Great Women in Compliance has its 100th anniversary edition. Mary and Lisa reflect back on their journey. Join us in congratulating them. Listen in on the Compliance Podcast Network.

    MoFo joins the Compliance Podcast Network. Check out this week’s episode where Morrison & Foerster partner James Koukios speaks with fellow partner Brandon Van Grack about what to expect in the National Security space under the new Biden Administration.

    Coffee & Regs joins the Compliance Podcast Network. In this episode, host Natalie Silverman, former Chief Compliance Officers Matt Calabro and Allison Fraser sit down to discuss public pension fund independent compliance reviews.

    CCI releases a new eBook, The FCPA Year in Review by the Compliance Evangelist, Tom Fox. You can obtain a copy here. Best of all its available at no charge.

    Join Tom and Jay at Ethisphere’s 2021 Global Ethics Summit, which will be held virtually April 13-15. Listeners to this podcast will receive a 15% discount to Ethisphere’s Global Ethics Summit For more information and registration details click here. Use the code tomfox15 for your discount.

    Tom announces his latest book, The Compliance Handbook, 2nd edition is available for presale purchase. Use the code FOX25 and go here. The Compliance Handbook 2ndedition will be available in both print and eBook editions. This week on The Compliance Handbook podcast, the ladies from #GWIC join Tom for a deep dive into written standards.

    Tom Fox is the Voice of Compliance and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.
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    • 49 min
    Episode 245 – the Sister Jean edition

    Episode 245 – the Sister Jean edition

    As March Madness descends upon us in the bubble this year, Sister Jean leads Loyola of Chicago into the Sweet 16. Tom and Jay are back to look at this week’s stories top compliance and ethics stories which caught their interest on This Week in FCPA.
    Stories
    1.     Universities behaving badly. Tom looks at the KU hiring and firing of Les Miles in a four-part blog post series on the FCPA Compliance and Ethics Blog. 
    2.     Bette Davis and Jim Deloach both say fasten your seatbelts. Jim Deloach in CCI. 
    3.     Do you have a Money Laundering Reporting Officer? Alia Noor in XpertsLeague.
    4.     How to avoid an OIG investigation. Sara Kropf in Grand Jury Blog. 
    5.     Why do SPACs give compliance fits? Aaron Nicodemus in Compliance Week. (sub req’d)   
    6.     Risk Management and IT Security in WFH. Sam Abadir in Risk and Compliance Matters.  
    7.     Building bridges between compliance and BD. Mike Volkov in Crime Corruption and Compliance. 
    8.     Three significant CCO hires. What does it mean? Nicholas Trutanich to Fox Corp (WSJ); David Searle to Tesla (Bloomberg) and Antonio Fernández to FirstEnergy (WSJ).
    9.     Why ignoring red flags around Iran is bad. Doug Cornelius in Compliance Building. 
    10.  Paucity of FCPA enforcement in Q1, good or bad? Harry Cassin explore in the FCPA Blog. 
    Podcasts and Events
    11.  On The Compliance Life, Rob Chesnut joins me for the month of March.  In the first episode, In Episode 1, Rob talks about his academic career at UVA and how its Honor Code influenced his thinking about ethics in his professional career and his his career as an AUSA. In Episode 2, Rob moves cross country to join eBay. In Episode 3, Rob talks about moving into the Chief Ethics Officer role at Airbnb. In Episode 4, Rob looks down the road for compliance. 
    12.  Microsoft has joined the Compliance Podcast Network, with two podcasts, Voice of Data Protection and Uncovering Hidden Risks. In Episode 5 of Voices of Data Protection, Bhavanesh Rengarajan discusses your information governance and records management journey.  In Episode 5 of Uncovering Hidden Risks, Raman Kalyan Talhah Mir how far insider risk programs have come.
    13.  Coffee & Regs joins the Compliance Podcast Network. In this week’s episode, hosts Natalie Silverman visits with Alison Taylor and Victoria Olsen to discuss the compliance playbook for regulagtory change. 
    14.  AMI’s Mikhail Reider-Gordon and Eric Feldman continue their discussion on trends in independent monitoring in this episode of Integrity Through Compliance. 
    15.  Tom announces his latest book, The Compliance Handbook, 2nd edition is available for presale purchase. Use the code FOX25 and go here. The Compliance Handbook 2nd edition will be available in both print and eBook editions. This week on The Compliance Handbook podcast, the ladies from #GWIC join Tom for a deep dive into written standards. 
    Tom Fox is the Voice of Compliance and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.
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    • 48 min
    Episode 244 – the March Madness edition

    Episode 244 – the March Madness edition

    As March Madness descends upon us in the bubble this year, Tom and Jay look at this week’s stories top compliance and ethics stories which caught their interest on This Week in FCPA. 
    Stories
    1.     Retaliation against whistleblowers on the rise. Tom interviews Pat Harned on the FCPA Compliance Report. 
    2.     Novaris announces a new ABC compliance program. Harry Cassin in the FCPA Blog. 
    3.     Expect closer cooperation between DOJ and SFO. Neil Hodge in Compliance Week. (sub req’d)   
    4.     Developments in state of New York antitrust law. WilmerHale lawyers in NYU Compliance and Enforcement Blog.
    5.     NatWest facing criminal charges in UK over money-laundering. Mengqi Sun in WSJ Risk and Compliance Journal.
    6.     Due Diligence and SCRM. Matt Kelly in Navex Global’s Risk and Compliance Matters Blog. 
    7.     Braskem investigates bribery of Pemex official in Mexico. Dylan Tokar in WSJ Risk and Compliance Journal.
    8.     Here be the Dragon for Internal Audit. Ali Noor in XpertsLeague. 
    9.     Continuous monitoring through continuous auditing. Jonathan Marks in Board and Fraud. 
    10.  What do BODs and senior execs see as the top risks for 2021. Jim Deloach in CCI. Charles Mitchell in the Harvard Law School Forum on Corp Governance.
     
    Podcasts and Events
    11.  On The Compliance Life, Rob Chesnut joins me for the month of March.  In the first episode, In Episode 1, Rob talks about his academic career at UVA and how its Honor Code influenced his thinking about ethics in his professional career and his his career as an AUSA. In Episode 2, Rob moves cross country to join eBay. In Episode 3, Rob talks about moving into the Chief Ethics Officer role at Airbnb.
    12.  Microsoft has joined the Compliance Podcast Network, with two podcasts, Voice of Data Protection and Uncovering Hidden Risks. In Episode 3 of Voices of Data Protection, Bhavanesh Rengarajan discusses the value of information governance.  In Episode 3 of Uncovering Hidden Risks, Raman Kalyan Talhah Mir consider using HR data to uncover insider risk.
    13.  Check out some hoops and ethics in the 2021 Ethics Madness during the first day of March  Information and registration here. 
    14.  In a special five-part podcast series, I visited with Pat Harned, President of Ethics & Compliance Initiative (ECI), about the organization’s 2021 Global Business Ethics Survey. In Episode 1, we review some of the key trends. In Episode 2, we review the key findings. In this Episode 3, we take up the most troubling finding in the GBES; that being the huge uptick in retaliation. In Episode 4, we consider the impact of Covid-19 on compliance. We conclude with Episode 5 on Conclusions and Recommendations. Full series available on iTunes here.
    15.  Tom announces his latest book, The Compliance Handbook, 2nd edition is available for presale purchase. Use the code FOX25 and go here. The Compliance Handbook 2nd edition will be available in both print and eBook editions. This week on The Compliance Handbook podcast, the ladies from #GWIC join Tom for a deep dive into written standards. 
    Tom Fox is the Voice of Compliance and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.



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    • 40 min
    Episode 243 – the Mask Free Texas edition

    Episode 243 – the Mask Free Texas edition

    As Texas prepares for a wide open (and mask-free) Spring Break and St. Patty’s Day, Tom and Jay look at this week’s stories top compliance and ethics stories which caught their interest on This Week in FCPA.
     Stories

    Increase in SEC penalties coming? Matt Kelly in Radical Compliance.

    Why don’t more employees speak up? Vera Cherepanova in the FCPA Blog.

    What happens when you have a regulartory sand box? Neil Hodge in Compliance Week. (sub req’d)  

    First DFS cyber breach resolution. Debevoise lawyers in NYU Compliance and Enforcement Blog.

    The continuing wreckage of the Solar Winds hack. Mike Volkov in Crime Corruption and Compliance.

    What is the state of your DEI program. Chai Feldblum and Emily Cuneo DeSmedt in Navex Global’s Risk and Compliance Matters Blog.

    Are you too old to be in compliance? Dick Cassin the FCPA Blog.

    DOJ ramps up FCPA enforcement fire power. Dylan Tokar in the WSJ Risk and Complaince Journal.

    Podcasts and Events

    On The Compliance Life, Rob Chesnut joins me for the month of March. In the first episode, In Episode 1, Rob talks about his academic career at UVA and how its Honor Code influenced his thinking about ethics in his professional career and his his career as an AUSA. In Episode 2, Rob moves cross country to join eBay.

    Microsoft joins the Compliance Podcast Network, with two podcasts, Voice of Data Protection and Uncovering Hidden Risks. In Episode 2 of Voices of Data Protection, Bhavanesh Rengarajan discusses information protection strategies. In Episode 2 of Uncovering Hidden Risks, Raman Kalyan Talhah Mir consider how to determine your next insider risk.

    Cordery Compliance joins the Compliance Podcast Network with its Cordery Head to Head podcast. In this episode, Jonathan Armstrong visits with Prof. Eric Sinrod as they look ahead at what 2021 might mean for the world of technology. Check it out here.

    Episode 4 of Integrity Through Compliance.This podcast will focus on the role of an independent monitor. You will hear from two of my AMI colleagues who are experts in corporate compliance and ethics, Senior Vice President, Eric Feldman and Managing Director, Mikhail Reider-Gordon who provide practical advice about the benefits of having an independent monitor. Check it out here.

    Join K2 Integrity's financial crimes risk and compliance experts on March 18 as they discuss the impact of ongoing developments in the financial integrity community. Topics will include: Regulatory trends and predictions for 2021 and beyond, Changes in the AML/CFT and ABC landscape, and Implications of evolving OFAC sanctions programs. Information and registration here.

    Tom announces his latest book, The Compliance Handbook, 2nd edition is available for presale purchase. Use the code FOX25 and go here. The Compliance Handbook 2ndedition will be available in both print and eBook editions. This week on The Compliance Handbook podcast, the ladies from #GWIC join Tom for a deep dive into written standards.

    Tom Fox is the Voice of Compliance and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.
    Learn more about your ad choices. Visit megaphone.fm/adchoices

    • 38 min

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