This Week in FCPA

Welcome to the All Good Things edition of This Week in FCPA. This episode 300 is Tom and Jay’s final episode of this podcast. It has been a great run and we appreciate all our loyal fans and listeners over the past 6-year plus run. Today we close with some highlights from our most popular episode, our favorite episodes and some very special guests including Candice Tal, Lisa Beth Lentini, Joe Oringel and Tedra Foster.  

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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The Yankees cheated and lost. The Astros and Red Sox cheated and won. What’s the lesson? Tom and Jay are back to look at some of the week’s top compliance and ethics stories.

 Stories

1.     More on using behavioral psych to make compliance changes. Vera Cherepanova in the FCPA Blog. 

2.     Tackling money-laundering in real estate transactions? Ella Hawkins in GAB.

3.     Archegos founder indicted for fraud. Jaclyn Jaeger in Compliance Week. (sub req’d)

4.     Testing culture. Dylan Tokar in WSJ Risk and Compliance Journal. 

5.     Renewed need for Board oversight of compliance. Mike Peregrine in CCI.

6.     Economic sanctions now national security issue. Dylan Tokar in WSJ Risk and Compliance Journal. 

7.     Why compliance is a competitive advantage. Navex’s Risk and Compliance Matters.

8.     Toll Holdings and export control compliance failures? Matt Kelly in Radical Compliance. 

9.     Boards making decisions under a stakeholder model. Robert Miller in Harvard Law School Forum on Corporate Governance.  

10.  What to measure in DEI. Ngozi Okeh in practicalESG.

Podcasts and More

11.  How can baking cookies get your through grief? Find out on this episode of The Hill Country Podcast as Kerrville Cookie Lady, Julia Cardoshinsky talks about her lifelong love affair with baking cookies. 

12.  What is the only podcast dedicated to the intersection of Compliance and ESG? It’s the Compliance ESG Podcaston the CPN. Check out this week’s episode with Travis Miller and Jared Connors of Assent Compliance on the role of Supply Chain in ESG. For your added viewing pleasure check out the video pod on YouTube. 

13.  This month on the Compliance Life, I visit with Susan Divers, Director of Thought Leadership at LRN. In Part 1, academic life and early professional career. In Part 2, she moves to the corporate world. In Part 3, Susan moves into the CCO chairs at AECOM. In the final episode this month, Part 4, Susan details her move to and work at LRN. 

14.  Why should you attend Compliance Week 2022? Find out in this podcast series featuring speakers at CW 2022. Listeners get a $200 discount to CW 2022 with the discount code TFLAW $200 OFF. Registration and agenda here. 

15.  From the Editor’s Desk welcomes the new Compliance Editor in Chief, Kyle Brasseur to the podcast. Check out Kyle’s inaugural episode here. 

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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As the Celtics win Game One with a buzzer beater, Tom and Jay are back to look at some of the week’s top compliance and ethics stories in the NBA playoffs are here edition.

Stories

1.     Mike Volkov takes a deep dive into the recent DOJ trial record. In a 3-part series on Corruption Crime and Compliance.

2.     Sexual harassment case too implausible for Hollywood? Adam Manno in the Daily Mail.

3.     KT Corp FCPA enforcement action analysis. Lawyers from Debevoise in Compliance and Enforcement. 

4.     Stericycle FCPA settlement. DOJ Press Release. Harry Cassin the FCPA Blog. Tom begins a 3-part series on the FCPA Compliance Report.   

5.     Data analytics informs SEC enforcement action. Jaclyn Jaeger in Compliance Week. 

6.     SEC Chair Gensler reflects on 1st year of Chairmanship? Ephrat Livny in NYT.

7.     Into the crystal ball on climate disclosures. Mai-Khoi Nguyen-Thanh and Taylor Wirth   in CCI.

8.     Should Elon Musk have been stopped long ago? Francine McKenna in Time.

9.     What should be on your audit committee agenda for 2022? Maureen Bujno, Krista Parsons and Kimia Clemente in Harvard Law School Forum on Corporate Governance.  

10.  Putting the ‘G’ first in ESG. Lawrence Heim in practicalESG

Podcasts and More

11.  Tom visits with Matt Galvin and Dan Kahn over a 2-part podcast series. In Part 1, they talk about dealing with the DOJ during a FCPA investigation and thereafter. In Part 2 we took a deep dive into the Lisa Monaco speech and what it means for compliance professionals. 

12.  What is the only podcast dedicated to the intersection of Compliance and ESG? It’s the Compliance ESG Podcaston the CPN. Check out this week’s episode with Erika Peters of Exiger on the ESG Standards. For your added viewing pleasure check out the video pod on YouTube. 

13.  This month on the Compliance Life, I visit with Susan Divers, Director of Thought Leadership at LRN. In Part 1, academic life and early professional career. In Part 2, she moves to the corporate world. In Part 3, Susan moves into the CCO chairs at AECOM.

14.  Are you a MCU fan? If so check out the latest 2 episodes of Popcorn and Compliance-the MCU Series as Tom and Megan Dougherty are going through the full MCU in chronological, not release date order. The latest two episodes are Black Widow and Black Panther.

15.  Why should you attend Compliance Week 2022? Find out on this episode of From the Editor’s Desk. Listeners get a $200 discount to CW 2022 with the discount code TFLAW $200 OFF. More here. 

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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As the NY Mets have the best record in baseball and we prepare for the celebrations of Easter and Passover, Tom and Jay are back to look at some of the week’s top compliance and ethics stories in the Ng Convicted edition.

Stories

1. Roger Ng was convicted. Tom in the FCPA Compliance and Ethics Blog.
2. Lessons from DOJ’s first cyber fraud settlement? Annie Hudgins in the FCPA Blog.
3. Depression as corporate materiality issue. Dick Cassin in the FCPA Blog.
4. Should CCOs be required to certify compliance programs? Mike Volkov in Corruption Crime and Compliance.
5. CEO fined by SEC for impeding whistleblower. Aaron Nicodemus in Compliance Week. (sub req’d) Matt Kelly in Radical Compliance.
6. How much BOD oversight of compliance is enough? Jeff Kaplan in Conflict of Interest Blog. 
7. Compliance in recessionary times. Jim DeLoach in CCI.
8. Water and corruption. Rick Messick in GAB.
9. Why should an organization disclose diversity information? Antinuke Adrian in Harvard Law School Forum on Corporate Governance.  
10. Data governance best practices. Eray Eliaçik in Data Economy. 

Podcasts and More

1. Tom visits with Matt Galvin and Dan Kahn over a 2-part podcast series. In Part 1, they talk about dealing with the DOJ during an FCPA investigation and thereafter. 
2. Into Star Trek, then join Tom and John Champion, who is on a 15-year mission to do a podcast on every episode of Star Trek, television, movie, and animated show on the podcast MissionLogPodcast.com. In Part 1, from TOS up to the start of TNG. In Part 2, from TNG to today. 
3. This month on the Compliance Life, I visit with Susan Divers, Director of Thought Leadership at LRN. In Part 1, academic life and early professional career. In Part 2, she moves to the corporate world. 
4. Why should you attend Compliance Week 2022? Find out on this episode of From the Editor’s Desk. Listeners get a $200 discount to CW 2022 with the code Fox200. More here. 
5. Join Tom and Jay at ECI Impact 2022. Listeners to this podcast can save 20% off registration
6. by entering discount code: TOM20 at checkout.
7. Welcome back, Sam Rubenfeld.

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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On this April Fool’s Day for 2022, Tom and Jay are back to look at some of the week’s top compliance and ethics stories in the Slap Seen ‘Round the World edition.

 Stories

1. The Slap Seen ‘Round the World and Compliance. Tom in FCPA Compliance and Ethics Blog.
2. Will CCOs have to certify compliance? Text of Kenneth Polite speech. Tom and Matt in Compliance into the Weeds. Matt in Radical Compliance.
3. Coal exec indicted under the FCPA. Harry Cassin in the FCPA Blog.
4. Good bribes. Dick Cassin in the FCPA Blog.
5. Why controls are key to compliance. Chris Audet in CCI.
6. MarshMac UK sub garners Declination with Disgorgement. Dylan Tokar in WSJ Risk & Compliance Journal.
7. ZTE whistleblower feared for his life. Ashley Yablon in CCI.
8. Whistleblowing keys. Jan Stampers In Risk and Compliance Matters.
9. Fine line between compliance and evasion of OFAC sanctions. Mike Volkov in Corruption Crime and Compliance.
10. ISSB delivers sustainability guidelines. IFRS Press Release.

Podcasts and More

1. What is the intersection of Sports and Ethics? Each year, Jason Meyer holds Ethics Madness, a discussion of this intersection done during March Madness. This year, Jason engaged Tom for Ethics Madness in the podcast format. It was cross-posted on Jason’s site Eight Mindsets, which he co-hosts with Nicole Rose and on Tom’s site, Greetings and Felicitations.
2. Tom has a two part series with Aly McDevitt on her recent Ransomware case study, on Greetings and Felicitations, Part 1 and Part 2.
3. Why should you attend Compliance Week 2022? Find out on this episode of From the Editor’s Desk. Listeners get a $200 discount to CW 2022 with the code Fox200. More here.
4. Tom visits with longtime MS 150 rider Alan Peterson on The Hill Country Podcast. Donate to the fight against MS here.
5. Why should compliance lead corporate ESG? Kristy Grant-Hart explains on the ESG Compliance Podcast.

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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The SEC releases regulations around climate change as Tom take a solo turn to look at some of the week’s top compliance and ethics stories in the Seeing Green edition.

Stories

1.     SEC comes out with climate change regs. Andrew Ross Sorkin in NYTimes Dealbook. Matt Kelly in Radical Compliance. Tom and Matt in Compliance into the Weeds.

2.     SFO spanked again. Andrew Crowley in MLex. 

3.     Getting rid of old data critical. Debevoise lawyers in Compliance and Enforcement. 

4.     The ‘S’ in ESG. Mike Volkov in Corruption Crime and Compliance. 

5.     FINRA and CCO liability. Matt Kelly in Radical Compliance. 

6.     IDB debars construction company. Harry Cassin in the FCPA Blog. 

7.     First ZTE monitorship ends. Jaclyn Jaeger in Compliance Week (sub req’d)

8.     DOJ raises stakes. Todd Fishman, Noah Brumfield, Eun Woo Jhang and Elaine Johnston in CCI. 

9.     Top 6 ESG issues for 2022. Giles Newman in Risk and Compliance Matters. 

10.  A Privacy Shield replacement on the horizon? Neil Hodge in Compliance Week. (sub req’d) 

Podcasts and More

11.  In March on The Compliance Life, I visit with Audrey Harris, Managing Director at AMI, formerly CCO at BHP. In Part 1, she discussed her academic background and early professional career. In Episode 2, Audrey moved to the CCO chair at BHP. In Episode 3, she moved back to private practice. In Episode 4, she moves to AMI.

12.  Tom has a two part series with Aly McDevitt on her recent Ransomware case study, on Greetings and Felicitations,  Part 1 and Part 2.

13.  Why should you attend Compliance Week 2022? Find out on this episode of From the Editor’s Desk. Listeners get a $200 discount to CW 2022 with the code Fox200. More here. 

14.  Tom visits with Pop Hair Art Salon founder, Michele Van Fossen on The Hill Country Podcast.

15.  An undergrad degree focusing on ESG? Jules Oringel explains on the ESG Compliance Podcast.

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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MLB and the players manage to work out their differences as Tom Brady unretires. Jay and  Tom to look at some of the week’s top compliance and ethics stories in the Baseball is Back edition.

Stories

1.     Is ESG in crisis? Lawrence Heim in practicalESG.

2.     Compliance-The Single. Matt Kelly in Radical Compliance.

3.     Corporate investigations and waiver of privilege. Debevoise lawyers in Compliance and Enforcement. 

4.     Fear based compliance. Mike Volkov in Corruption Crime and Compliance. 

5.     A view on corruption from the front lines. Tom and Matt interview Tim Khasinov-Batirov on Compliance into the Weeds. Matt blogs in Radical Compliance. 

6.     Holistic 3rd party management. Mike Volkov, Susanna Cagle and Carol Williams in Risk and Compliance Matters. 

7.     What kind of person resists a bribe? Gary Drevitch in Psychology Today.

8.     Ethisphere announces 2022 WME.  Ethisphere Press Release. Erica Salmon Byrne on the FCPA Compliance Report. 

9.     Are cyber whistleblowers different. Kenji Price, Scott Ferber and Mark Schreiber in CCI.

10.  If you are going to IPO, better ESG first. Bob Conlin in Forbes.com.

Podcasts and More

11.  In March on The Compliance Life, I visit with Audrey Harris, Managing Director at AMI, formerly CCO at BHP. In Part 1, she discusses her academic background and early professional career. In Episode 2, Audrey moves to the CCO chair at BHP. In Episode 3, she moves back to private practice. 

12.  Tom and Megan Dougherty are back with 2 more episodes of the MCU series. Guardians of the Galaxy Part 1 and Part 2.

13.  Taxman: On the Intersection of Tax and Compliance. A 5-part series with Tracy Howell. Part 1-why compliance needs to talk to tax. Part 2-transfer pricing. Part 3-why tax needs a seat at the table. Part 4-tax and supply chain. Part 5-tax and ESG.

14.  Tom visits with Hill Country Joanne Easley on The Hill Country Podcast.

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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Jay returns from the assignment with some observations on the ABA White Collar Conference and looks at some of the week’s top compliance and ethics stories in the Remember the Alamo edition.

Stories

1. Should lawyers represent all stakeholders before the SEC? Matt Kelly in Radical Compliance. Tom and Matt in Compliance into the Weeds. 
2. Lessons learned from a corrupt Olympics: Andy Spalding and Danny Hales in the FCPA Blog.
3. How does a corporate culture become corrupt? Tom Bussen and Nitish Singh in CCI.
4. Corruption in the Russian military. Matthew Stephenson in GAB. 
5. MTS agrees to extend monitorship for one year. Dylan Tokar in WSJ Risk and Compliance Journal. 
6. Why is data minimization so critical? Debevoise lawyers in Compliance and Enforcement. 
7. Elon Musk wants out of his Consent Decree with the SEC. Dean Seal in Law360 (sub req’d)
8. A stark warning on corporate cooperation. Wachtel Lipton lawyers in Harvard Law School Forum on Corporate Governance.  
9. Mike Volkov on the force multiplier of ethics and sustainability. Crime Corruption and Compliance. 
10. NFTs and the SEC. Francine McKenna in The Dig (sub req’d) 

Podcasts and More

1. In March on The Compliance Life, I visited with Audrey Harris, Managing Director at AMI, formerly CCO at BHP. In Part 1, she discusses her academic background and early professional career. In Episode 2, Audrey moves to the CCO chair at BHP.
2. Tom and Megan Dougherty are back with 2 more episodes of the MCU series. The Winter Soldier and Guardians of the Galaxy Part 1.  
3. David Simon returns for another session of his journey through the Oxford MBA Program on A Yank at Oxford. 
4. Tom visits with Hill Country lawyer Craig Wolcott on The Hill Country Podcast.
5. Highlights from the ABA White Collar Conference. 

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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As Ukraine hangs on from the Russian invasion, Jay is on assignment so fan fav Kristy Grant-Hart joins this week as a co-host with Tom to look at some of the week’s top compliance and ethics stories from the impact of the Ukrainian crisis in the Ukraine Hangs On edition. 

Stories

1. What Russia invasion means for companies and compliance. Tom with a series in the FCPA Compliance and Ethics Blog. Matt Kelly in Radical Compliance.
2. Dick Cassin says sanctions may lead to more corruption in the FCPA Blog.
3. Jaclyn Jaeger looks at supply chain disruption and issues in Compliance Week (sub req’d)
4. Matthew Murray asks if Putin invaded Ukraine to advance corruption, in GAB.
5. Chasing oligarchs’ money, from the Washington Post.
6. The Swiss approach to Ukraine crisis. Mark Pieth in Risk and Compliance Europe.
7. Mike Volkov focuses on new and evolving sanctions, in Corruption Crime and Compliance.
8. Economic nationalism and corporate governance. Martin Geller, in Harvard Law School Forum on Corporate Governance. 
9. Illicit finance and High-value art. Sullivan & Cromwell lawyers in Compliance and Enforcement.
10. The invasion and cybersecurity. Jonathan Armstrong in Cordery Compliance.

Podcasts and More

1. In March on The Compliance Life, I visit with Audrey Harris, Managing Director at AMI, formerly CCO at BHP. In Part 1, she discusses her academic background and early professional career.
2. On the FCPA Compliance Report, Tom has a 2-part series with Trade Compliance guru Matt Silverman on the full extent of possible Russia sanctions (Part 1) and the corporate response you need to make (Part 2).
3. Tom and Loren Steffy look energy issues and fallout from the Russian invasion in Greetings and Felicitations.
4. Tom and Matt Kelly take a deep dive into the compliance weeds about the Russian invasion on Compliance into the Weeds.
5. Silvia Surman devotes the entire week to Russian trade sanctions and economic issues in The Compliance Kitchen.
6. Tom celebrates Texas Independence Day and the anniversary of the Alamo in a podcast with Don Frazier, Executive Director of the Texas Institute at Schreiner University on The Hill Country Podcast.

Tom Fox is the Voice of Compliance and can be reached at tfox@tfoxlaw.com. Kristy Grant-Hart is Compliance Kristy and can be reached at kgranthart@sparkcompliance.com.

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As Russia invades Ukraine, Tom and Jay settle in and are back looking at some of the week’s top compliance and ethics stories this week in the Russia Invades edition.

Stories

1. What Russia invasion could mean for corporate governance. Michael Peregrine in Forbes.com. What do sanctions mean for US companies? Jaclyn Jaeger in Compliance Week (sub req’d)
2. Why is subculture audits so critical? Vera Cherepanova explains in the FCPA Blog.
3. KT Corp. settles FCPA enforcement action. Tom (FCPA Compliance and Ethics Blog) and Mike Volkov (Corruption Crime and Compliance) both have 3-part series. Matt Kelly’s take in Radical Compliance. Tom and Matt in Compliance into the Weeds.
4. National Cryptocurrency Enforcement Team and what it means. Kathleen McDermott and Mark Krotoski in CCI. David Smagalla in WSJ Risk and Compliance Journal. 
5. How Credit Suisse facilitated crime, corruption, and dictators. Jessie Drucker and Ben Hubbard in the New York Times. 
6. Why diversity on investigation teams matters. Karin Portlock and Jabari Julien in Compliance and Enforcement. 
7. Could small-cap directors & officers could face ESG liability. Lawrence Heim in practicalESG.
8. Global trends in corporate governance for 2022. Richard Fields, Rusty O’Kelley III, and Laura Sanderson, in Harvard Law School Forum on Corporate Governance.  
9. Roger Ng trial in danger of collapse due to prosecution ‘inexcusable error .’Stewart Bishop in Law360. (sub req’d) 
10. Using the FCPA to fight the demand side of bribery. Matthew Stephenson in GAB. 

Podcasts and More

1. In February on The Compliance Life, I visited with Ellen Smith, a former Director of Trade Compliance who recently started her consulting firm. In Part 1, she discussed her academic background and early professional career. In Part 2, Ellen discussed her move in-house. In Part 3, Ellen discusses being a part of the Compliance Dream Team at Weatherford. In Part 4, Ellen moves into the world of consulting. 
2. On the FCPA Compliance Report, Tom began a 2-part series with Trade Compliance guru Matt Silverman on possible Russia sanction (Part 1) and the corporate response (Part 2). Part 2 posts Monday, February 28.
3. CCI releases a new e-book from Mike Volkov, “Compliance Culture Revolution .”Available free from CCI.
4. Gwen Hassan has a special 2-part pod series on Hidden Traffic with Jeff Bond, from the Global Fund to End Modern Slavery, on the impact of climate change on modern slavery. Part 1 and Part 2.
5. Are you a Star Wars fan? How about an uber-Geek? You will love the 5-part series on Science of Star Wars in the Greeting and Felicitations podcast series on the Compliance Podcast Network if you are either or both. In this series, Tom visits astrophysicist Dr. Ben Locwin on the following topics: Episode 1-Traveling in Hyperspace, Episode 2-Fighting with a Light Saber, Episode 3-Mechanical Prosthetics, Episode 4-Cyborgs, and Robots and Episode 5- Death Star. It is a ton of fun, and you will love it. 

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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