This Week in FCPA

Super Sunday passed with fun but poorly played, poorly officiated, and poorly coached. Tom and Jay are back to look at some of the week’s top compliance and ethics stories this week in the Rams Win It All Edition.

Stories

1. Ericsson is in more FCPA trouble. Mengqi Sun in the WSJ Risk and Compliance Journal. Aaron Nicodemus in Compliance Week. (sub req’d)
2. DD impeding compliance in developing markets? Katya Lysova explores in the FCPA Blog.
3. ESG-no longer a nice to have. Karen Alonardo in Risk and Compliance Matters.  
4. State AGs are waiting. Ashley Taylor and Chris Carlson in CCI.  
5. The latest case on CCO liability. Matt Kelly in Radical Compliance. 
6. Broken windows and compliance enforcement. Anthony O’Reilly in Compliance and Enforcement. 
7. Companies yet again ask the EU for rules around ESG. Lawrence Heim in practicalESG.
8. White-collar enforcement trends in 2021. Jamie Rosenberg in Grand Jury Target.  
9. HP-Autonomy from the auditors’ perspective. Francine McKenna in The Dig. 
10. South African courts deny Zuma’s attempt to remove the SA corruption prosecutor. Rick Messick in GAB.  

Podcasts and More

1. In February on The Compliance Life, I visited 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.
2. Tom and Richard Lummis are in the middle of their annual review of Best Picturing winning movies on 12 O’Clock High, a podcast on business leadership. Part 1 reviews Schindler’s List for leadership and ethical lessons. In Part 2, the look at Gladiator.
3. CCI releases a new e-book from Mike Volkov, “Compliance Culture Revolution.” Available free from CCI.
4. Tom looks at some innovation in compliance with a 3-part blog post series in the FCPA Compliance and Ethics Blog. Topics include Compliance Ecosystem Governance, Compliance Branding, Building Culture & Compliance Coaching.
5. Are you a Star Wars fan? How about an uber-Geek? You will love the 5-part series appearing next week on 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: Traveling in Hyperspace, Fighting with a Light Saber, Mechanical Prosthetics, Cyborgs and Robots, and the Death Star. It is a ton of fun, and you will love it. Each episode will post at 10 each day next week. Check it out daily. 

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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Super Sunday is here. The NFL finally gets the game in the spotlight after weeks of brutal PR. Who ya got? “Who Dey” or Hollywood? Tom and Jay are back look at some of the week’s top compliance and ethics stories this week in the Super Sunday edition.

 Stories

1.     Do compliance professionals need a union? Dick Cassin in the FCPA Blog. 

2.     Jailed employees under the FCPA. Bill Jacobsen explores in the FCPA Blog.

3.     New workplace normal for policies and training. Ingrid Freeden in Risk and Compliance Matters.   

4.     New SEO risk management framework.  Alexandra Gillies and Thomas Shipley in the FCPA Blog. 

5.     3 questions from KPMG and Carillion tribunal. Neil Hodge in Compliance Week. (sub req’d)

6.     SFO investigation protocol announced. Mengqi Sun in the WSJ Risk and Compliance Journal.  

7.     Companies yet again ask EU for rules around ESG. Lawrence Heim in practicalESG.

8.     CCOs say self-reporting a hard sell. Evren Esen in CCI. 

9.     What comes next for ABC and the Olympics? Andy Spalding in GAB. 

10.  The Spotify imbroglio. Matt Kelly with a 2-parter in Radical Compliance, Part 1 and Part 2. 

 Podcasts and More

11.  In February on The Compliance Life, I visit with Ellen Smith, a former Director of Trade Compliance who recently started her own consulting firm. In Part 1, she discussed her academic background and early professional career. InPart 2, Ellen moves in-house.

12.  Tom and Richard Lummis begin their annual review of Best Picturing winning movies on 12 O’Clock High, a podcast on business leadership. In Part 1 they review Schindler’s List for leadership and ethical lessons. Upcoming episodes will look at Gladiator, A Man for All Seasons and Platoon. 

13.  CCI releases new e-book from Tom “FCPA 2021 Year in Review”. Available free from CCI.

14.  Trial of the Century-the Enron Trial. This week, Tom premiered a 5-part podcast series on the Enron Trial with Loren Steffy, who covered the trial for the Houston Chronicle. In Part 1, run up to the trial. In Part 2, the trial begins. In Part 3, the star witnesses and key testimony. In Part 4, the Verdict comes in. In Part 5, what did it all mean. It is be available on the Compliance Podcast Network, Megaphone, iTunes, Spotify and all other top podcast platforms. 

15.  In a special 2-part series on the Sunday Book Review, Tom looks at the Notre Dame Deloitte Center for Ethical Leadership’s top books on ethical leadership from 2021. Part 1 and Part 2. 

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 GOAT of pro football, Tom Brady retires, Brian Flores sues the NFL and the Bengals/Rams make the Super Bowl, Tom and Jay are back look at some of the week’s top compliance and ethics stories this week in the Brady Retires edition. 

Stories

1.     DOJ issues the first Opinion Release of 2022. DOJ website. Tom in FCPA Compliance and Ethics Blog.

2.     Do BODs have unrealistic expectations of compliance? Dick Cassin explores in the FCPA Blog.

3.     KPMG mislead FRC through forged docs. Risk and Compliance Platform Europe. 

4.     LRN releases the 2022 Program Effectiveness Report. Download report here. Matt Kelly in Radical Compliance.

5.     A ‘how-to’ on remediating. The HeadSpin enforcement action. Tom in FCPA Compliance and Ethics Blog. Aaron Nicodemus in Compliance Week. (sub req’d)

6.     Learning to scale up ethically. Hemant Taneja in CCI. 

7.     Why compliance should lead ESG. Carrie Penman in Ethics and Compliance Matters.

8.     The Boardroom agenda in 2022. Deloitte in Harvard Law School Forum on Corporate Governance.

9.     Changes in antitrust enforcement and its impact on compliance. Mike Volkov, Matt Kelly and Tom in Compliance into the Weeds. Mike Volkov with a 3-part blog series in Corruption Crime and Compliance.

10. Unclear values can lead to unethical behavior. Brett Beasley in Center for Ethical Leadership.

Podcasts and More

11. In February on The Compliance Life, I visit Ellen Smith, a former Director of Trade Compliance who recently started her own consulting firm. In Part 1, she discussed her academic background and early professional career.

12. Aly McDevitt with a multipart series in Compliance Week on the end-to-end story of a ransomware attack. Here is more about the series on this month’s edition of From the Editor’s Desk, with Tom and Dave Lefort. A subscription is required but Compliance Week is running a membership special of $199 for the year. Use Promo Code RNSM199. For information and details click here.

13. CCI releases a new e-book from Tom “FCPA 2021 Year in Review”. Available free from CCI.

14. Trial of the Century-the Enron Trial. This week, Tom premiered a 5-part podcast series on the Enron Trial with Loren Steffy, who covered the trial for the Houston Chronicle. In Part 1, the run-up to the trial. In Part 2, the trial begins. In Part 3, the star witnesses and key testimony. In Part 4, the Verdict comes in. In Part 5, what did it all mean? It is available on the Compliance Podcast Network, Megaphone, iTunes, Spotify and all other top podcast platforms.

15. Looking for a quick daily bite of trade compliance? Check out the Compliance Kitchen with Silvia Surman, who gives a short 3-5 minute update on one trade compliance topic each day. On the Compliance Podcast Network.

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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How long does it take to win a NFL playoff game? Patrick Maholmes says 13 seconds. After perhaps the most thrilling NFL playoff game ever,  Tom and Jay are back look at some of the week’s top compliance and ethics stories this week in the 13 Seconds edition.

Stories

1.     TI-CPI 2022 Report out. Results not good. TI-CPI Press Release. Rick Messick says make it useful in GAB. Jaclyn Jaeger is disheartened in Compliance Week (sub req’d).

2.     Compliance officer burnout? Dick Cassin explores in the FCPA Blog.

3.     Emphasizing the ‘G’ in ESG. David Simon in LinkedIn.  

4.     Investor demand driving ESG risk and compliance initiatives? Valerie Charles and Tracy Groves in CCI. 

5.     Human Rights Due Diligence. James Reardon and Tomas Navarro look at Switzerland’s new law  in FCPA Blog. Tom considers your corporate Human Rights strategy in a 2-part blog series in the FCPA Compliance and Ethics Blog. 

6.     Monaco Speech and Compliance in 2022. Stephanie Yonekura and Rupinder Garcha  in CCI.  

7.     DOJ announces shift in antitrust policy. DOJ Press Release. Matt Kelly in Radical Compliance.

8.     ESG and M&A in 2022. Wachtel lawyers in Harvard Law School forum on Corporate Governance. 

9.     FTC compliance risk re: cyber and privacy. Debevoise lawyers in Compliance and Enforcement. 

10.  Cultural and ESG to-do list for 2022 for CCO. Mike Volkov in Corruption Crime and Compliance.

Podcasts and More

11.  In January on The Compliance Life, I visited with Valerie Charles, partner at StoneTurn. Val has one of the most interesting journeys in compliance. In Part 1, she discussed her academic background and early professional career. In Part 2, she discussed her move to ComTech. In Part 3, Valerie moved into the consulting world. In the concluding Part 4, Valerie looks down the road for what’s ahead.

12.  The Everything Compliance gang took a deep dive into the Microsoft acquisition of Activision Blizzard in a special episode.  Check out the Shout Outs and Rants. Finally the gang had a special tribute to Meatloaf here. 

13.  CCI releases new e-book from Tom “FCPA 2021 Year in Review”. Available free from CCI.

14.  Trial of the Century-the Enron Trial. This week, Tom premiered a 5-part podcast series on the Enron Trial with Loren Steffy, who covered the trial for the Houston Chronicle. In Part 1, run up to the trial. In Part 2, the trial begins. In Part 3, the star witnesses and key testimony. In Part 4, the Verdict comes in. In Part 5, what did it all mean. It is be available on the Compliance Podcast Network, Megaphone, iTunes, Spotify and all other top podcast platforms. 

15.  Check out 31 Days to a More Effective Compliance Program returns, which runs for the month of January, from January 1 to January 31. Available on the Compliance Podcast Network, Megaphone, iTunes, and all other top podcast platforms. 

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 both of their teams are unceremoniously knocked out of the playoffs, Tom and Jay are back looking at some of the week’s top compliance and ethics stories this week in the Activision Blizzard Sold edition.

Stories

1. Activision Blizzard was sold to Microsoft. Check out articles on how the NYT happened, the parameters of the deal in the  WSJ, the compliance mess in Bloomberg, and legal issues in  Reuters.
2. Did the pandemic undo corruption risk models? Dick Cassin explores in the FCPA Blog.
3. KPMG spanked yet again in the UK. Jaclyn Jaeger in Compliance Week (sub req’d).
4. Person of the Year in Compliance? ESG. Mike Volkov in Corruption Crime and Compliance.  
5. Is Abby Normal next? Banks using behavioral science. Vera Cherepanova in FCPA Blog.
6. Businesses and Strategy on Countering Corruption. Sara Paul, Andrea Gordon, and Dane Sowers in the CCI.  
7. Climate change compliance. Jeff Kaplan in Conflicts of Interest Blog.
8. Trust has its moment. Stewart Levine in Forbes.com. 
9. Institutional investors on ESG voting. Lawrence Heim in PracticalESG.
10. The virtual Board Room. Jeffrey Karpf and Fernando Martinez in Compliance and Enforcement. 

Podcasts and More

1. Tom and Matt Kelly conclude a 2-part podcast series on issues they are following in 2022. On Compliance into the Weeds, Part 1 and Part 2. 
2. In January on The Compliance Life, I visited Valerie Charles, a partner at StoneTurn. Val has one of the most interesting journeys in compliance. In Part 1, she discussed her academic background and early professional career. In Part 2, she discusses her move to ComTech. In Part 3, Valerie moves into the consulting world. 
3. What is the intersection of Joel Coen’s Macbeth and organizational issues in compliance? Tom explores in a 4-part blog series on the FCPA Compliance and Ethics Blog. 
4. CCI releases a new e-book from Tom, “FCPA 2021 Year in Review”. Available free from CCI.
5. Trial of the Century-the Enron Trial. On Monday, January 4, Tom premiers a 5-part podcast series on the Enron Trial with Loren Steffy, who covered the trial for the Houston Chronicle. You can check out the preview here. It will be available on the Compliance Podcast Network, Megaphone, iTunes, and other top podcast platforms. 
6. Check out 31 Days to a More Effective Compliance Program returns, which runs from January 1 to January 31. Available on the Compliance Podcast Network, Megaphone, iTunes, and other top podcast platforms. 

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 college football season has ended with UGA finally defeating UA. Tom and Jay turn their full attention to the NFL playoffs now and also look at some of the week’s top compliance and ethics stories this week in the Georgia Finally Beats Alabama edition.

Stories

1.     Carnival and Princess Cruise Lines violated DPA yet again. Matt Kelly in Radical Compliance. DOJ Press Release. 

2.     Prioritizing items from the Strategy on Countering Corruption. Worth McMurray in the FCPA Blog.

3.     DOJ to look at short sellers. Jaclyn Jaeger in Compliance Week (sub req’d).

4.     Proposed framework for CCO liability analysis. Mengqi Sun in WSJ Risk & Compliance Journal.   

5.     Manipulation on timing of FCPA enforcement action? Matthew Stephenson debunks a new article in GAB.

6.     ComTech comes to financial institution compliance. Christian Wunderly in the FCPA Blog.  

7.     Phil Tetlock and Superforecasting come to risk management. Jim DeLoach in CCI.

8.     Ethics and FCPA predictions for 2022. Mike Volkov with a double dose of Carnac the Magnificent. Ethics here. FCPA here. 

9.     Banks develop climate risk consortium. Aaron Nicodemus in Compliance Week. (sub req’d)

10.  Liability of local representatives under GDPR. Kelly Hagedorn and Matthew Worby in Compliance and Enforcement. 

Podcasts 

11.  Tom and Matt Kelly conclude a 2-part podcast series on issues they are following in 2022.  On Compliance into the Weeds, Part 1 and Part 2. 

12.  In January on The Compliance Life, I visit with Valerie Charles, partner at StoneTurn. Val has one of the most interesting journeys in compliance. In Part 1, she discussed her academic background and early professional career. In Part 2, she discusses her move to ComTech.

13.  The Compliance Podcast Network welcomes Professor Karen Woody and her new podcast, Classroom Insider. In this most unique pod, Karen interviews some of her student to tell the history of insider trading. In Episode 4, Colin Manchester discusses the evolution of the disclose or abstain rule. 

14.  Mikhail Reider-Gordon returns in Lies, Spies & Corporate Crimes: The Wirecard Saga, with Season 2, Episode 3 Shell Games.

15.  Check out 31 Days to a More Effective Compliance Program returns, which runs for the month of January, from January 1 to January 31. Available on the Compliance Podcast Network, Megaphone, iTunes, and all other top podcast platforms. 

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 a lengthy holiday assignment to join Tom to look at some of the week’s top compliance and ethics stories this week in the Holmes Found Guilty edition.

Stories

1. Elizabeth Holmes was found guilty. The Verdict (WSJ), What does it mean for Silicon Valley? (NYT), What about the victims? (Bloomberg), Will Holmes serve any time? (Fortune)
2. 2022 to be a critical year in ESG reporting. Mike Munro and Guido Van Druen in a CCI.
3. Top D&O stories from 2021. Kevin LaCroix in D&O Diary. 
4. Airbnb spanked over Cuba. Mengqi Sun in WSJ Risk & Compliance Journal.  
5. MorganStanley fined $60MM over a data breach? Aaron Nicodemus in Compliance Week (sub req’d).
6. China’s new ABC guidelines. Andrew Reeves and Rongxin Huang in the FCPA Blog.  
7. The ‘G’ in ESG. Lawrence Heim in PracticalESG. 
8. Key areas for BOD oversight in 2022. Holly Gregory in Harvard Law School Forum on Corporate Governance. 
9. Audrey Harris joins AMI.
10. Broadcat sold. Broadcat Press Release.

Podcasts 

1. Want some fun? Join Tom and One Stone Creative co-founder Megan Dougherty to explore the full MCU. In their most recent posting, check out Episode 3, Iron Man.  
2. In January on The Compliance Life, I visited Valerie Charles, a partner at StoneTurn. Val has one of the most interesting journeys in compliance. In Part 1, she discusses her academic background and early professional career. 
3. The Compliance Podcast Network welcomes Professor Karen Woody and her new podcast, Classroom Insider. Karen interviews some of her students to tell insider trading history in this unique pod. Check out Episode 1, where they discuss the history of insider trading. In  Episode 2, the disclosure or abstain rule. Episode 3 will take up narrowing the scope of the disclose or abstain rule. 
4. Mikhail Reider-Gordon returns in Lies, Spies & Corporate Crimes: The Wirecard Saga, with Season 2, Episode 2 The Vagabond Rapping At Your Door.
5. Check out 31 Days to a More Effective Compliance Program returns, which runs from January 1 to January 31. Available on the Compliance Podcast Network, Megaphone, iTunes, and other top podcast platforms. 

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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With Jay on a holiday assignment, Tom is joined by Mike Volkov to look at some of the week’s top compliance and ethics stories this week in the Tribute to Madden and Harry edition.

Stories

1.     We lost two greats this week, one in sports and gaming and one from politics. John Madden and Harry Reid. Tom and Mike reflect. 

2.     No poaching in the Defense Industry. Jay DeVecchio and Lisa Phelan in a MoFo Client Alert.

3.     What is a ‘Bump Up’ provision in an E&O policy. Barry Buchman and Michael Scanlon in D&O Diary. 

4.     Reflections on 2021 in Compliance. Lisa Schor Babin in CCI.   

5.     Should lawyers file SARs? Jason Morris in Compliance Week (sub req’d).

6.     Fraud in the taxi business? (This is my shocked face.) Matt Kelly in Radical Compliance.  

7.     Making ESG 2nd nature in asset allocation. Sara Rosner and Jess Gaspar in Harvard Law School Forum on Corporate Governance.  

8.     An app for ESG investment. Lawrence Heim in PracticalESG. 

9.     Thoughts for the Board from 2021. Marty Lipton in Harvard Law School Forum on Corporate Governance. 

10.  Tom and Mike look back at 2021 in compliance. Tom in FCPA Compliance and Ethics Blog. 

 Podcasts 

11.  Want some fun? Join Tom and One Stone Creative co-founder Megan Dougherty for an exploration of the full MCU. In their most recent posting, check out Episode 3, Iron Man.  

12.  In December on The Compliance Life, I visit with Matt Silverman, Director of Trade Compliance at VIAVI. Matt is the first Trade Compliance Director I have hosted on TCL. In Part 1, Matt details his academic career and early professional life. In Part 2, Matt moves into trade compliance. In Part 3, Matt moves into the Director’s chair. In Episode 4, Matt looks down the road for trade compliance. 

13.  The Compliance Podcast Network welcomes Professor Karen Woody and her new podcast, Classroom Insider. In this most unique pod, Karen interviews some of her student to tell the history of insider trading. Check out Episode 1 where they discuss the history of insider trading. In  Episode 2, the disclosure or abstain rule. On Episode 3, they will take up narrowing the scope of the disclose or abstain rule. 

14.  On EMBARGOED!, Brian and Tim run through a Lightning Round-style discussion of the top economic sanctions and export controls stories of 2021.

15.  Looking to enhance your compliance program? Check out 31 Days to a More Effective Compliance Program returns, which runs for the month of January, from January 1 to January 31. Available on the Compliance Podcast Network, Megaphone, iTunes, and all other top podcast platforms. 

Tom Fox is the Voice of Compliance and can be reached at tfox@tfoxlaw.com. Mike Volkov is the founder of the Volkov Law Group and can be reached at mvolkov@volkovlaw.com.

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With Jay on a holiday assignment, Tom is joined by Professor Karen Woody to look at some of the week’s top compliance and ethics stories this week in the Naughty List edition. 

Stories

1.     JPMorgan tagged for $200MM for failures in electronic record keeping. Tom in the FCPA Compliance and Ethics Blog. Matt Kelly in Radical Compliance. Tom and Matt in Compliance into the Weeds.  

2.     Nikola fined $125MM for former CEO’s imprudent tweets. Tom in the FCPA Compliance and Ethics Blog. Matt Kelly in Radical Compliance. Jaclyn Jaeger in Compliance Week. (sub req’d).

3.     SOX 20 years later. Michael Peregrine looks back at the upcoming 20th anniversary of Sarbanes-Oxley in the Harvard Law School Forum on Corporate Governance. 

4.     France updating its ABC regime. Frederick Davis in GAB.   

5.     Another Unaoil defendant appeals conviction based upon SFO misconduct. Dylan Tokar in WSJ Risk and Compliance Journal.

6.     What happened to FCPA Compliance in 2021? Dick Cassin explores in the FCPA Blog.  

7.     The story of internal controls and Netflix? Jonathan Marks in BakerTilly.  

8.     Vietnam imposes 14-year sentence for wildlife trafficking. Jon Rusch in Dipping Through Geometries.

9.     Lawyers and ESG. Lawrence Heim in PracticalESG. 

10.  Prioritizing your policy updates. David Banks in Risk and Compliance Matters. 

Podcasts 

11.  Want some fun over the holidays? Join Tom and One Stone Creative co-founder Megan Dougherty for an exploration of the full MCU. In Episode 1, Captain America. In Episode 2, Captain Marvel. Next week in Episode 3, Iron Man.  

12.  In December on The Compliance Life, I visit with Matt Silverman, Director of Trade Compliance at VIAVI. Matt is the first Trade Compliance Director I have hosted on TCL. In Part 1, Matt details his academic career and early professional life. In Part 2, Matt moves into trade compliance. In Part 3, Matt moves into the Director’s chair. 

13.  The Compliance Podcast Network welcomes Professor Karen Woody and her new podcast, Classroom Insider. In this most unique pod, Karen interviews some of her student to tell the history of insider trading. Check out Episode 1 where they discuss the history of insider trading. In  Episode 2, the disclosure or abstain rule. On Episode 3, (premiering Dec. 31), they will take up narrowing the scope of the disclose or abstain rule. 

14.  The Shout Outs and Rants of Everything Compliance gets its own iTunes show. Everything Compliance has its first-year end review episode. 

15.  On Hidden Traffic, Gwen Hassan hosts Andrew Wallis, head of Unseen UK.

Tom Fox is the Voice of Compliance and can be reached at tfox@tfoxlaw.com. Karen Woody is Professor of Law at Washington and Lee. She can be reached at kwoody@wlu.edu. 

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Tom takes a solo turn to look at some of the week’s top compliance and ethics stories this week in the Bags of Cash edition.

Stories

1.     Why subcontractors continue to cause FCPA grief. Dick Cassin the FCPA Blog.  

2.     More on the Strategy on Countering Corruption. Tom takes a deep dive in a 5-part blog post series in the FCPA Compliance and Ethics Blog. Mike Volkov in Corruption Crime and Compliance. 

3.     Neil Hodge says non-US companies should beware in Compliance Week. (sub req’d).

4.     What next Brazilian President must do re: ABC.  Marcelo Cerqueira in GAB.   

5.     Yet another son of ex-Panamanian President pleads guilty. Rick Vanderford in WSJ Risk and Compliance Journal.

6.     NatWest took bags of cash for deposits. $341MM in fines later.  Dylan Tokar in WSJ Risk and Compliance Journal. 

7.     How CCOs use guidance from DOJ? Matt Kelly in Radical Compliance.  

8.     Should you fall on your sword? Calvin London in CCI. 

9.     Sustainability not universal. Lawrence Heim in PracticalESG. 

10.  McDonalds claws back CEO severance. Heather Haddon in WSJ.

 Podcasts and Events

11.  Are you exasperated? Then check, F*ing Argentina. In this podcast series co-hosts Tom Fox and Gregg Greenberg, author of F*ing Argentina explore the current American psyche of being overworked, over leveraged, overtired and overwhelmed. Find out about modern America’s exasperation with well…exasperation. In our final episode, we wrap up what we learned from the series. 

12.  In November on The Compliance Life, I visit with Matt Silverman, Director of Trade Compliance at VIAVI. Matt is the first Trade Compliance Director I have hosted on TCL. In Part 1, Matt details his academic career and early professional life. In Part 2, Matt moves into trade compliance. 

13.  The Compliance Podcast Network welcomes Professor Karen Woody and her new podcast, Classroom Insider. In this most unique pod, Karen interviews some of her student to tell the history of insider trading. Check out Episode 2, the disclosure or abstain rule.

14.  The Shout Outs and Rants of Everything Compliance gets its own iTunes show. Everything Compliance has its first-year end review episode. 

15.  On Hidden Traffic, Gwen Hassan hosts Andrew Wallis, head of Unseen UK.

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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