FCPA Compliance Report

Welcome to the award-winning FCPA Compliance Report, the longest-running podcast in compliance. In this episode, Tom welcomes Erica Salmon Byrne, Chief Strategy Officer and Executive Chair at Ethisphere, on an exciting launch day for the 2025 World’s Most Ethical Companies honoree list.

The World’s Most Ethical Companies list features 136 companies from 44 industries across 19 countries; the episode delves into the significance, process, and celebration behind this prestigious designation. Erica discusses the impressive Ethics Premium, revealing that publicly traded honorees have outperformed a comparable index by 7.8%, underscoring the profitability of ethical business practices. Listeners will gain insights into the rigorous application process, the importance of cross-functional relationships, and the global nature of the honoree list. Erica also previews the upcoming Global Ethics Summit and emphasizes the critical role of talent acquisition and retention in corporate success.

Key highlights:

• What is Launch Day?
• Ethics Premium Highlights
• Overview of Honoree Companies
• Global Ethics Summit Preview
• Deep Dive into the Ethics Premium

Resources:

Erica Salmon Bryne on LinkedIn

Ethisphere

World’ Most Ethical Awards for 2025

Tom Fox

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Welcome to the award-winning FCPA Compliance Report, the longest-running compliance podcast. In this episode, Tom welcomes Eric Morehead to discuss the role and function of the U.S. Sentencing Commission.

Eric is the Director of Advisory Services Solutions at LRN and former Assistant General Counsel at the U.S. Sentencing Commission. He and Tom review the intricacies of the U.S. Sentencing Commission’s role, structure, and impact. Eric walks through his professional journey and explains the Sentencing Commission’s function in standardizing federal criminal sentences and promoting organizational compliance programs. He emphasizes the importance of the Sentencing Guidelines, the process for their amendment, and the challenges faced by the Commission, such as quorum issues. The discussion also touches on current topics, including the potential impact of executive orders on DEI policies and the FCPA pause, stressing the continued relevance of the Sentencing Guidelines in compliance program development.

Key highlights:

• Eric Morehead’s Background and Role at the U.S. Sentencing Commission
• Understanding the U.S. Sentencing Commission
• Process of Creating and Amending Sentencing Guidelines
• Impact of Sentencing Guidelines on Compliance Programs
• Current Issues in Compliance: DEI and FCPA Enforcement

Resources:

Eric Morehead on LinkedIn

LRN

US Sentencing Guidelines for Organizations

Tom Fox

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Welcome to the award-winning FCPA Compliance Report, the longest-running podcast in compliance. In this episode, Tom welcomes back Corporate Transparency Act expert and maven Jonathan Wilson for a look at judicial insights and recent developments in the Corporate Transparency Act (CTA) litigation.

Tom and Jonathan discuss the recent developments, including a preliminary injunction by Judge Kernodle in the Smith v. Treasury case and its implications on CTA enforcement. Important differences between this injunction and previous ones, such as the Texas Top Cop Shop case, are highlighted. Wilson offers insights into the constitutional debates, particularly regarding the Commerce Clause, and reviews key decisions from federal district courts, including the persuasive Boyle decision from the District of Maine. They also touch on upcoming appeals and the potential impacts on the CTA’s nationwide enforcement.

Key highlights:

• Current Status of the Corporate Transparency Act
• Judge Kernodle’s Injunction and Legal Arguments
• Supreme Court’s Involvement and Implications
• Analysis of the Boyle Decision
• Procedural Updates and Future Outlook

Resources:

Jonathan Wilson on LinkedIn

FinCEN Report

Tom Fox

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Welcome to the award-winning FCPA Compliance Report, the longest-running compliance podcast. In this episode, Tom welcomes Jonathan Marks, who discusses the role of internal audit in export control compliance.

Jonathan starts by defining export controls and their significance: regulations governing the export, re-export, and transfer of goods, technology, and services across borders to protect national security and enforce foreign policy. As a Compliance Profession, you should recognize the severe impacts of operational disruptions, supply chain issues, and national security risks resulting from non-compliance, emphasizing the need for comprehensive compliance frameworks. Internal audit responsibilities are expanded, stressing the necessity of robust policies, clear responsibilities, consistent employee training, and thorough risk assessments.

Jonathan discusses practical internal audit strategies, including evaluating high-risk transactions, identifying compliance gaps, and regularly monitoring and testing compliance controls through transaction testing, data analytics, third-party due diligence, and incident response mechanisms. Jonathan underscores the importance of collaboration between internal audit, legal, compliance, and supply chain teams to ensure an integrated and proactive compliance approach, thereby mitigating risks and strengthening corporate governance.

Key highlights:

• Understanding Export Controls and Compliance
• Role of Internal Audit in Export Controls
• Key Areas for Internal Audit Focus
• Testing and Monitoring Controls

Resources:

Jonathan Marks on LinkedIn

Tom Fox

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Welcome to the award-winning FCPA Compliance Report, the longest-running podcast in compliance. In this episode, Tom welcomes Kevin Carroll, now a partner at Fluet, to discuss national security issues to date under the Trump Administration.

Kevin Carroll discusses his move to Fluet Law, a national security law firm. He delves into the ongoing chaos in national security, ranging from employees’ concerns over legal processes at the Agency for International Development and the FBI to the unprecedented moves of the Trump administration in reprioritizing enforcement efforts. Kevin emphasizes the criticality of maintaining international alliances and intelligence-sharing, especially amidst controversial DOJ staffing and enforcement decisions. They also touch on the potential ramifications for U.S. companies engaged in foreign trade and anti-corruption enforcement. Don’t miss Kevin’s expert insights on the delicate balance of national security and legal frameworks in uncertain times.

Key highlights:

00:11 Kevin’s New Professional Chapter

00:35 National Security Concerns

02:11 Law Enforcement Priorities

04:52 International Relations and Security

14:04 Corporate Legal Risks Abroad

17:15 USAID and Export Control

Resources:

Kevin Carroll on LinkedIn

Fluet 

Kevin Carroll on Fluet Law

Tom Fox

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Welcome to the award-winning FCPA Compliance Report, the longest-running podcast on compliance. In this episode, Tom welcomes Alejandra Almonte and Ann Sultan, both Members of Miller & Chevalier, and uses the EEOC’s release in 2024 of its Enforcement Guidance on Harassment in the Workplace as an introduction to considering compliance and the workplace under the new Trump Administration.

Ann and Alejandra dive deep into the EEOC’s 2024 enforcement guidance on harassment and explore the implications of recent Executive Orders from the Trump administration. The conversation extends to the necessity of risk assessments in the current climate, focusing on how companies can maintain safe and compliant workplaces amidst shifting policies. Ann and Alejandra share valuable perspectives on conflicts of interest, the intersection of workplace safety and emotional well-being, and strategies for fostering a positive organizational culture even in uncertain times. Do not miss this expert advice on navigating the complexities of workplace conduct and compliance in the evolving legal landscape.

Key highlights:

• EEOC’s 2024 Enforcement Guidance on Harassment
• Impact of Policy Changes on Workplace Conduct
• Ensuring a Safe and Inclusive Workplace
• Risk Assessments and Workplace Misconduct
• Conflicts of Interest in the Workplace

Resources:

Miller & Chevalier

Ann Sultan

Ann Sultan on LinkedIn

Alejandra Almonte

Alejandra Almonte on LinkedIn

Culture@Work: Fall 2024

Tom Fox

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Welcome to the award-winning FCPA Compliance Report, the longest-running podcast in compliance. In this episode, Tom welcomes back Mike Huneke and Brent Carlson for a special two-part podcast series on DeepSeek’s bombshell AI advancements announced on President Trump’s inauguration day. In Part 1, we reviewed the business and compliance implications, and in Part 2, they consider the Sputnik Moment that has occurred.

In this episode, we delve into the concept of the ‘Sputnik moment’ as it relates to the global race to dominate artificial intelligence (AI) technology in the 21st century. Our discussion highlights AI’s economic and military applications and its significance for the United States. The conversation touches on the role of compliance, enforcement, and the evolving regulatory landscape, including recent developments like the AI diffusion framework. The episode also explores the increasing responsibilities placed on U.S. companies and their compliance teams, especially concerning export controls and national security standards.

Key highlights:

• Economic and Military Implications of AI
• Compliance and Enforcement Challenges
• The Role of Compliance Teams
• Board of Directors’ Responsibilities

Resources:

Mike Huneke

Hughes Hubbard & Reed website

Brent Carlson on LinkedIn

A Fresh Look at US Export Controls and Sanctions

DeepSeek Finds US Export Controls at a New ‘Sputnik Moment’ in Bloomberg.Law

Tom Fox

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Welcome to the award-winning FCPA Compliance Report, the longest-running podcast in compliance. In this episode, Tom welcomes back Mike Huneke and Brent Carlson for a special two-part podcast series on DeepSeek’s bombshell AI advancements announced on President Trump’s inauguration day. In Part 1, they review the business and compliance implications, and in Part 2, they consider the Sputnik Moment that has occurred.

In Part 1, they consider the immediate and significant repercussions in both the business and compliance landscapes. Key topics include the economic and geopolitical ramifications of DeepSeek’s innovations, changes in export control policies, and the unique compliance challenges AI technology poses. The discussion also examines how corporations can recalibrate their risk frameworks, integrate high-probability standards, and leverage data analytics to handle millions of transactions in a global economy. Emphasizing the importance of comprehensive compliance programs, the episode provides actionable insights for compliance professionals navigating this evolving landscape.

Key highlights:

• DeepSeek’s AI Breakthrough
• Economic and Compliance Implications
• Export Controls and Legal Concerns
• Compliance Strategies and Risk Management
• Training and Organizational Culture

Resources

Mike Huneke

Hughes Hubbard & Reed website

Brent Carlson on LinkedIn

A Fresh Look at US Export Controls and Sanctions

DeepSeek Finds US Export Controls at a New ‘Sputnik Moment’ in Bloomberg.Law

Tom Fox

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For more information on the Ethico Toolkit for Middle Managers, available at no charge, click here.

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Welcome to the award-winning FCPA Compliance Report, the longest-running podcast on compliance. In this episode, Tom welcomes Jag Lamba, CEO of Certa.AI, the podcast’s sponsor.

We look at the recent events involving economic and trade sanctions levied on Colombia (now withdrawn) and the announcement of DeepSeek as a cost-effective competitor to ChatGPT in the AI space to discuss how quickly your risks can change. We overlay this discussion through the lens of the DOJ’s 2024 Update on the Evaluation of Corporate Compliance Programs (2024 ECCP). Jag provides insights on how compliance officers can proactively manage risk amidst rapidly changing global landscapes by ensuring their programs are well-designed, adequately resourced, and effective. Key takeaways include the importance of data, controls, and technology in building robust compliance frameworks and using business impact and ROI to secure necessary resources.

Key highlights:

• Current Events Impacting Compliance
• 2024 ECCP-Designing a Well-Structured Compliance Program
• 2024 ECCP-Adequate Resourcing for Compliance Programs
• 2024 ECCP: Effectiveness of Compliance Programs in Practice
• Proactive Risk Management Strategies
• Export Controls and Compliance Challenges

Resources:

Jag Lamba on LinkedIn

Certa.ai

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Welcome to the award-winning FCPA Compliance Report, the longest-running podcast in compliance. In this episode, Tom welcomes back Jonathan Wilson to discuss recent turbulent developments regarding the Corporate Transparency Act (CTA) at the Supreme Court.

The conversation includes key legal battles in Texas involving injunctions against the CTA. They explore the Supreme Court’s recent stay on a previous injunction, the new Smith v. Treasury case, and its implications. The hosts analyze the confusion and uncertainty surrounding compliance with the CTA and offer strategic advice to businesses during this chaotic period. They conclude with insights on the political and judicial landscape, potential future rulings, and the importance of the CTA in combating money laundering.

Key highlights:

• Supreme Court’s Recent Actions
• Smith v. Treasury Case Overview
• Discussion on Universal Injunctions
• Future Implications and Legal Advice
• Political Landscape and CTA Support

Resources:

Jonathan Wilson on LinkedIn

FinCEN Report

Tom Fox

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