FCPA Compliance Report

Join Tom Fox as he welcomes back MoFo partner James M. Koukios to discuss the themes and strategies observed in recent FCPA trials and the DOJ’s prosecutorial approach. They explore the importance of making juries care about corruption cases, the themes of abuse of power and financial motive, and the significance of concealment in establishing guilt. The conversation also touches on the future of FCPA trials and the DOJ’s commitment to prosecuting individuals involved in corporate misconduct. And of course Go Blue! 

Key Highlights 

·      Making juries care about the impact of corruption is crucial.

·      Abuse of power is a central theme in corruption cases.

·      Concealment of actions indicates consciousness of guilt.

·      Compliance programs must emphasize transparency and documentation.

·      Jurors expect good governance and are sensitive to abuse of power.

·      Financial incentives in corporations should align with compliance.

·      Prosecuting individuals remains a priority for the DOJ.

 Resources 

Morrison Foerster

James Koukios

Expect DOJ To Repeat 4 Themes From 2024’s FCPA Trials

 Tom Fox

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Join Tom Fox as he welcomes Simon Airey and Caitlin Sheard, partners at McDermott, Will and Schulte and both experts in the fields of investigation and compliance from both sides of the Atlantic. They take a deep dive into issues around self-disclosure on both sides of the Atlantic. 

Simon Airey and Caitlin Sherd are leading experts in the field of investigations and compliance, each bringing a nuanced perspective to the complexities of self-reporting to the Department of Justice (DOJ) in the US and the Serious Fraud Office (SFO) in the UK. Simon, a distinguished barrister, underscores the incentives for companies to self-report but cautions that the process is fraught with complexities, particularly in the UK where court approval is required for deferred prosecution agreements. Caitlin highlights the potential benefits of self-disclosure, such as possible declinations, but notes the associated costs, including time, legal fees, and reputational risks. Both experts emphasize the necessity of strategic planning and legal counsel to navigate the intricacies of international compliance, particularly in light of increasing enforcement activity and evolving legal landscapes. 

Key Highlights 

·      Incentives for Self-Disclosure in DOJ and SFO

·      Strategic Self-Disclosure Consideration for Legal Cases

·      Cross-Border Self-Disclosure Strategies for Companies

·      Global Challenges in Corporate Self-Disclosure Processes

·      Whistleblower Tips Driving Future FCPA Enforcement 

Resources

 McDermott, Will and Schulte

Simon Airey

Caitlin Shread

Cross-Atlantic Impact: DOJ and SFO Self-Reporting and Enforcement Priorities

Tom Fox

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Join Tom Fox as he welcomes Pat Poitevin, a compliance veteran with extensive experience in enforcement, consulting, and academia. Pat shares his professional journey, beginning with his work at the Royal Canadian Mounted Police (RCMP), and discusses the importance of establishing strong ethics and compliance cultures within organizations. He emphasizes the role of AI in transforming compliance functions and enhancing the effectiveness of risk management. Pat also touches on the future of compliance, talent acquisition, and the impact of technology on business ethics. The conversation offers valuable insights for compliance professionals looking to refine their programs and align them with business strategies for sustained growth.

Key highlights:

• Current Projects and Focus Areas
• Building a Strong Ethics and Compliance Culture
• Leveraging AI in Compliance
• Compliance Strategies for Geopolitical and Technological Changes
• Balancing Policies and Human Behavior
• Future of Compliance and Technology

Resources:

Pat Poitevin

🔸 LinkedIn: Pat Poitevin

🔸 Consulting Firm: Active Compliance and Ethics Group (ACEG)

Tom Fox

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Join Tom Fox as he welcomes back Evie Wentink back to the FCPA Compliance Report. Evie shares her journey from a compliance professional to an innovator in the field, discussing her unique approach to compliance training and the role of middle managers. With nearly two decades of experience, Evie has transformed her career by leveraging social media and creating engaging content to inspire compliance professionals worldwide. Discover how Evie’s innovative strategies are reshaping the compliance landscape and learn about her new venture, Ethical Edge Experts LLC.

Key Takeaways

– 🌍 Embrace change and see the world beyond your keyboard.

– 💡 Innovation in compliance through social media and engaging content.

– 🏢 The critical role of middle managers in compliance programs.

– 📚 The importance of continuous learning and professional growth.

– 🎯 Selling compliance by making it personal and relatable.

Key Highlights

·      Embracing Change and Innovation  

·      Training and the Role of Middle Managers  

·      Bridging the Gap in Compliance Perspectives  

·      Utilizing Social Media for Compliance Engagement  

·      The Importance of Being Coachable  

·      Ethical Edge Experts LLC  

 Resources 

Evie Wentink

🔸 LinkedIn: Evie Wentink

🔸 Consulting Firm: Ethical Edge Experts

Tom Fox

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For more information on the use of AI in Compliance programs, my new book, Upping Your Game. You can purchase a copy of the book on Amazon.com

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Join Tom Fox as he welcomes back Mary Inman, a leading expert in whistleblower law and compliance, to discuss the dynamic landscape of whistleblowing in 2025. Mary shares her insights on the rise of whistleblowing, the impact of AI, and the evolving legal protections for whistleblowers. 

Key Takeaways  

– 🚨 Whistleblowing is on the rise due to changes in administration and rapid technological advancements. 

– 🌐 International cooperation is crucial, with new SEC initiatives focusing on cross-border enforcement. 

– 🏛️ The antitrust whistleblower program is a significant development, offering new opportunities for insiders. 

– 💼 Competitors are increasingly acting as whistleblowers, especially in trade fraud cases. 

– 🧠 Mental health support for whistleblowers is gaining attention, with resources becoming more available. 

Key Highlights 

·      The Current State of Whistleblowing 

·      Antitrust Whistleblower Program 

·      International Cooperation and SEC Initiatives 

·      Trade Fraud and Whistleblower Roles 

·      Whistleblower Mental Health and Compliance Lessons 

·      Evolving Legal Protections for Whistleblowers 

·      Connecting with Whistleblower Resources 

Resources 

Mary Inman 

🔸 LinkedIn: Mary Inman 

🔸 Email: Mary Inman 

🔸 Law Firm: Whistleblower Partners 

Tom Fox

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For more information on the use of AI in Compliance programs, my new book, Upping Your Game. You can purchase a copy of the book on Amazon.com

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Welcome to the award-winning FCPA Compliance Report, the longest running podcast in compliance. In this episode join Tom as he interviews Suhail Motwani from FTI Consulting on the FCPA Compliance Report. Suhail, a senior director in risk advisory and investigations, shares insights from his article ‘Navigating the Compliance Paradox‘. They discuss the challenges of balancing global oversight with local adaptation in compliance frameworks, emphasizing the importance of a hybrid model for multinational corporations.

Key Takeaways 

– 🌍 Understanding the compliance paradox: global vs. local

– 🏢 Importance of hybrid compliance structures for MNCs

– 📊 Key considerations in compliance frameworks

– 🗣️ The role of communication and training in compliance

– 🤝 Building trust and relationships in compliance teams

Key Highlights

·      Navigating the Compliance Paradox  

·      Centralized vs. Decentralized Compliance  

·      The Hybrid Compliance Model  

·      Concluding Thoughts on Relationship Dynamics

Resources

Suhail Motwani on LinkedIn

Suhail Motwani At FTI

The Compliance Paradox

Tom Fox

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For more information on the use of AI in Compliance programs, my new book, Upping Your Game. You can purchase a copy of the book on Amazon.com

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Welcome to the award-winning FCPA Compliance Report, the longest running podcast in compliance. In this episode join Tom as he interviews Adeyinka Adejugbe, a seasoned business lawyer and compliance expert, about his professional journey and insights into compliance frameworks across different industries and countries.  

Adeyinka is a business lawyer, HR specialist, and certified chief compliance officer with an MBA. He has extensive experience across various industries and is passionate about creating systems of fairness and accountability. Adeyinke shares his experiences and the importance of tailoring compliance strategies to specific sectors, as well as the role of leadership in fostering a culture of ethical conduct and psychological safety. 

Key Takeaways from the discussion:

– 🌍 The importance of aligning compliance strategies with industry-specific needs.

– 📚 Insights into the differences and similarities between Nigerian and US compliance frameworks.

– 🚀 The role of AI and technology in the future of compliance.

– 🛡️ The significance of whistleblower protection in fostering a safe work environment.

– 🤝 How US and Nigerian compliance programs can learn from each other. 

Key Highlights 

·      Career Milestones and Compliance Insights  

·      Comparative Compliance Frameworks: Nigeria vs. USA  

·      Whistleblowing and Leadership in Compliance  

·      Future of Compliance and Final Thoughts  

 Resources

Adeyinka Adejugbe on LinkedIn

 Tom Fox

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For more information on the use of AI in Compliance programs, my new book, Upping Your Game. You can purchase a copy of the book on Amazon.com

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Welcome to the award-winning FCPA Compliance Report, the longest-running podcast in compliance. In this episode, we discuss President Trump’s review of other interests in US business and its implications for compliance.

The panel explores the evolving landscape of government involvement in major U.S. corporations and the resulting compliance and anti-corruption risks. With recent actions by the Trump administration to acquire stakes or exert control over companies like US Steel and Intel, the discussion centers on the implications for FCPA enforcement, the definition of “instrumentality,” and the challenges facing compliance professionals as the boundaries between public and private sectors blur. The episode also examines international perspectives, potential conflicts of interest, and the impact on global business relationships.

Key highlights:

• Introduction: Are We Becoming Socialist?
• Golden Share and Control Mechanisms
• Anti-Corruption Risks and FCPA Instrumentality
• International Law and Foreign Supplier Risks
• Conflicts of Interest and Board Representation
• International Perspectives: UK and EU Compliance
• Politically Exposed Persons and Due Diligence
• Closing Thoughts: Navigating Uncharted Territory

Resources:

Matt Kelly in Radical Compliance

Tom Fox

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Welcome to the award-winning FCPA Compliance Report, the longest-running podcast in compliance. In this episode, Tom Fox welcomes back Vince Walden, CEO of konaAI, a Covasant company.

In this podcast, they take a deep dive into the UK’s Failure to Prevent Reporting (FTPR) offense, particularly in the context of vendor interactions and employee-third-party relations. Walden advocates for the implementation of robust compliance and fraud risk management programs, leveraging AI and machine learning to detect high-risk transactions and enhance business efficiency. He also highlights the global relevance of regulations like the UK Economic Crime and Corporate Transparency Act, stressing the necessity of robust fraud prevention measures to ensure compliance in a rapidly evolving legal landscape.

Key highlights:

• Addressing Various Fraud Offenses Under ECCTA
• Effective Fraud Prevention Procedures for Compliance Programs
• Enhancing Fraud Risk Analysis in Financial Processes
• Enhancing Fraud Detection Through Risk Assessment

Resources:

Vince Walden on LinkedIn

konaAI, a Covasant company

Click here for the konaAI White Paper Rethinking Compliance: Practical Steps for Adapting to the UK’s New Fraud Legislation.

Tom Fox

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For more information on the use of AI in Compliance programs, my new book, Upping Your Game. You can purchase a copy of the book on Amazon.com.

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Welcome to the award-winning FCPA Compliance Report, the longest-running podcast in compliance. In this episode, Tom Fox welcomes back Sam Silverstein in a conversation on the role of accountability in managing business disruptions and natural disasters.

Drawing from personal experiences and professional insights, they delve into the strategic framework necessary for businesses to navigate crises and rebuild stronger. Topics covered include pre-crisis preparedness, crisis response, stabilization phases, and recovery and growth, emphasizing the importance of a culture of accountability. Through practical steps and real-world examples, they explore how leaders can empower their teams, build trust with external stakeholders, and foster resilience within their organizations.

Key highlights:

• The Role of Accountability in Crisis Management
• Phases of Crisis Management
• Pre-Crisis Preparedness
• Crisis Response and Accountability
• Stabilization and Recovery
• The Importance of Truth in Leadership

Resources:

Connect with Sam Silverstein

• LinkedIn
• Website
• The Accountability Institute
• The Culture Audit

Tom Fox

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For more information on the use of AI in Compliance programs, my new book, Upping Your Game. You can purchase a copy of the book on Amazon.com.

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