This Week in FCPA

Hannukah came early this year and we are now in the full holiday swing of things. Tom and Jay are back to look at some of the week’s top compliance and ethics stories this week in the Happy Holidays edition. 

Stories

1.     New Biden Administration anti-corruption strategy revealed. Matt Kelly in Radical Compliance.  

2.     Mike Volkov asks where are the FCPA enforcement actions? In Corruption Crime and Compliance.

3.     Global ESG efforts and compliance. Mike Munro in explores in the FCPA Blog.

4.     More on the OECD recommendations.  Jessica Tillipman in the FCPA Blog.   

5.     DOL proposal may change ESG game. Melissa Khan in Harvard Law School Forum on Corporate Governance.

6.     Nurturing ethical culture. Matt Kelly in Risk and Compliance Matters. 

7.     Is Italy a safe haven for bribe payors? Rick Messick asks in GAB.  

8.     How to avoid a dystopian office culture. Rob Shavell in CCI. 

9.     Top ethics and compliance failures in 2021. Jaclyn Jaeger in Compliance Week (sub req’d).

10.  When is a potential fine a threat? Keith Paul Bishop in California Corporate and Securities Law. 

Podcasts and Events

11.  The recent announcement by DAG Monaco on the refocus of the DOJ’s use of monitors has caused much consternation. To analyze, Affiliated Monitors sponsored a 5-part podcast series this week Not Your Father’s Monitor. In this Episode 1, Bethany Hengsbach considers this change in monitorships from the white-collar enforcement and defense perspective. In Episode 2, Mikhail Reider Gordon looks at global aspects of the new DOJ monitor’s focus. In Episode 3, Cristina Revelo discusses how E&C assessments help drive more compliant companies. In Episode 4, Jesse Caplan brings his views on the intersection of the twin topics of antitrust and healthcare compliance. In Episode 5, Vin DiCianni looks at where monitors and monitorships are going in 2022 and beyond.

12.  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. 

13.  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. 

14.  The Compliance Podcast Network welcomes Professor Karen Woody and her new podcast, Once Upon a Trading Law: The History of Insider Trading. In this most unique pod, Karen interviews some of her student to tell the history of insider trading. Check out Episode 1, which looks at the beginnings of insider trading. 

15.  Join Tom, Mike Volkov, Carrie Penman, Dr. Pat Harned and Skip Lowney (an all-star panel if there ever was one) for the ECI webinar on the intersection of compliance and E&C programs. Wednesday, December 15, from 2-3:30 ET. Registration and information 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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Hanukkah comes early this year. As the Rosen household begins its annual celebration, Tom and Jay are back to look at some of the week’s top compliance and ethics stories this week in the Happy Hanukkah edition. 

Stories

1.     Preparing for dawn raid in the era of hybrid work? Andrew Reeves and Annie Birch in FCPA Blog. 

2.     When you fight corruption, it fights back. Rick Messick in GAB.

3.     Why does Walmart want to keep an exec quiet about its compliance program? Dick Cassin explores in the FCPA Blog.

4.     Board effectiveness survey.  Paul DiNicola and Leah Malone in the Harvard Law School Forum on Corporate Governance.   

5.     New OECD ABC suggestions. Nicola Bonucci and Nat Edmonds in the FCPA Blog.

6.     Graybeards and Youngbloods working together. Carrie Root in CCI. 

7.     Trust in companies ‘shockingly’ low? Lawrence Heim in PracticalESG.  

8.     Are senior level compliance positions becoming harder to find and fill? Matt Kelly explores in Radical Compliance. 

9.     Role of PwC in Tesla/JPMorgan dispute. Francine McKenna explores in The Dig (sub req’d).

10.  How will tech change the work landscape in 2022? Check out this pod with Mrs. Monitor (AKA Rebecca Rosen) on Freshbrewed Tech. 

Podcasts and Events

11.  How can you show ROI from your internal investment in compliance? Nick and Gio Gallo join Tom Fox in the most unusual pod series, Mining the Gold in Compliance. Part 1 – ROI on Compliance. Purchase Decisions. Part 2 – Extending Compliance Value Across an Organization. Part 3 – Compliance and ESG Investments. Part 4 – Finance and Investing Models for Compliance. Part 5 – Investment Strategies for the Compliance Professional.

12.  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 Episode 11, a birthday party battle through text messages. 

13.  In November on The Compliance Life, I visited with Wendy Badger, CCO at Tennant. In Part 1, she detailed her academic career and early professional life. In Part 2, changing ladders to advance your career. In Part 3, Wendy moved into the CCO Chair. In Part 4, Wendy talked about having courage in your career choices and compliance into the future. Next week, we begin the December series with Matt Silverman, Director of Trade Compliance at VIAVI. 

14.  The Compliance Podcast Network welcomes Professor Karen Woody and her new podcast, Once Upon a Trading Law: The History of Insider Trading. In this most unique pod, Karen interviews some of her student to tell the history of insider trading. Check out Episode 1, which looks at the beginnings of insider trading. 

15.  Join Tom, Mike Volkov, Carrie Penman, Dr. Pat Harned and Skip Lowney (an all-star panel if there ever was one) for the ECI webinar on the intersection of compliance and E&C programs. Wednesday, December 15, from 2-3:30 ET. Registration and information 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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Is compliance the happiest profession? Are you passionate about compliance? If you are either or both, you are not alone. Guest Host Karen Woody and Tom Fox look at these and other stories this week in the Happiest Profession edition.

Stories

1. Is Compliance the happiest profession? Amii Bernard-Bahn explores in Compliance Week (Sub Req’d)
2. Report on SEC Enforcement Activity: Public Companies and Subsidiaries for 2021. Tom Gorman in SEC Actions.
3. Supply chain and compliance. Mike Volkov in Corruption Crime and Compliance. Dick Cassin in the FCPA Blog.
4. What does ESG mean for the SEC? Commissioner Crenshaw remarks to the Pepsico-PWE Conference in the Harvard Law School Forum on Corporate Governance. 
5. Corruption as psychic revenge. Richard Bistrong in the FCPA Blog.
6. Mitigating cyber risks. Debevoise Plimpton lawyers in Compliance and Enforcement.
7. COP26 wrap up. What are the lessons for compliance? Lawrence Heim in PracticalESG.
8. SEC broke all whistleblower awards in FY 2021. Aaron Nicodemus in Compliance Week (Sub Req’d) Carrie Penman says it’s a wakeup call for companies in Ethics and Compliance Matters.
9. Diversity at the top. Jim Deloach in CCI.
10. How did Classical Athenians define corruption? Kellam Conover in GAB.

Podcasts and Events

1. Have you or a loved one been impacted by Lyme Disease? This week I have run a 5-part series on this most misunderstood malady with Dr. Ben Locwin and Scott Endicott. In Part 1 we looked at Origins. In Part 2 we considered the Diagnosis Dilemma. In Part 3 we reviewed Treatment and Innovation. In Part 4, we discussed Prevention and Immunity. In Part 5, we looked ahead for where this disease detection, prevention and treatment might be heading.
2. 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 Episode 10, a trip on the New Jersey Turnpike.
3. This month on The Compliance Life, I visit with Wendy Badger, CCO at Tennant. In Part 1, she details her academic career and early professional life. In Part 2, changing ladders to advance your career. In Part 3, Wendy moves into the CCO Chair.
4. How does a Compliance Bible become a best-seller? Check out Tom’s appearance on the C-Suite Network’s Best Seller TV to find out. Purchase The Compliance Handbook, 2nd edition here.

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

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As Aaron Rogers is fined less than a player who had his shirttail untucked, he and Jay are back to reflect on some of the top compliance and ethics stories in the Immunized Not Vaccinated edition. 

Stories

1.     Will corruption forestall climate change? Monica Guy in the FCPA Blog. 

2.     Driving culture through sustainability. Linda Luty in Risk and Compliance Matters. 

3.     Stope little problems from becoming big ones. Mike Volkov in Corruption Crime and Compliance. 

4.     More on ‘effective compliance’? Michael Julian in the FCPA Blog. 

5.     What is ‘success’ in ABC compliance? Matthew Stephenson in GAB.  

6.     Revisiting your whistleblower program. Debevoise Plimpton lawyers in Compliance and Enforcement. 

7.     The role of BOD in ESG.  Jurgita Ashley and Randy Vai Morrison in Harvard Law Forum on Corporate Governance. 

8.     Disclosing cybersecurity issues. Matt Kelly in Radical Compliance. 

9.     Mashreqbank fined $100MM by DFS. Jaclyn Jaeger in Compliance Week. (sub req’d) 

10.  Tailoring a Design Thinking program that fits for you. Carsten Tams on LinkedIn.

Podcasts and Events

11.  How can a 1st responder deal with PTSD? One way is through poetry. Check out my interview with Detective Ed Gillespie, Policeman Poet of Baltimore in a very special episode of Greetings and Felicitations. 

12.  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 Episode 9, a lost purse and panic in Shubert Alley.

13.  This month on The Compliance Life, I visit with Wendy Badger, CCO at Tennant. In Part 1, she details her academic career and early professional life. In Part 2, changing ladders to advance your career. 

14.  In a sponsored podcast series, I visit with 6clicks on their innovative GRC solutions. In Episode 1, Joe Schorr on the hub and spoke approach. In Episode 2, Andrew Robinson on AI and ML in GRC. In Episode 3, Stephen Walter on building a content library. In Episode 4, Heather Buker on producing audit ready reports. In Episode 5, Ant Stevens on what’s next for 6clicks.  

15.  Next week, I am running a 5-part series on Understanding Lyme Disease. The episodes will post daily at 10AM. You can check out all episodes on the Greetings and Felicitations podcast. Episode 1: Origins and Evolution; Episode 2: The Diagnosis Dilemma; Episode 3: Treatment and Innovation; Episode 4: Protection and Immunity; Episode 5: Looking Ahead

16.  How does a Compliance Bible become a best-seller? Check out Tom’s appearance on the C-Suite Network’s Best Seller TV to find out.  Purchase The Compliance Handbook, 2nd edition 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 Tom mourns the Astros loss, he tips his cap to the WS Champs Atlanta Braves. He and Jay reflect on some of the top compliance and ethics stories in the World Series Champs edition. 

Stories

1.     DAG Lisa Monaco announces changes to white collar enforcement.  Matt Kelly in Radical Compliance. Tom in the FCPA Compliance and Ethics Blog. Tom and Matt Kelly in Compliance into the Weeds. 

2.     Why health should be a part of ESG. John Godfrey in CCI. 

3.     Keeping track of 3rd party risks. Mike Volkov in Corruption Crime and Compliance. 

4.     What is ‘effective compliance’? Dick Cassin explores in the FCPA Blog. 

5.     ABC Compliance: Good Governance issue. Joe Grady in GAB.  

6.     Did a dysfunctional culture on the Rush movie set lead to a death? Sonia Rao in the Washington Post. 

7.     Unclear values can lead to ethical lapses. Brett Beasley in ND Center for Ethical Leadership. 

8.     New ABC law coming? Matt Kelly in Radical Compliance.

9.     Simplifying data governance. Alym Rayani in CCI. 

10.  Gensler says crypto needs oversight. Mengqi Sun in the WSJ Risk and Compliance Journal. 

Podcasts and Events

11.  Compliance Week 2022 opens for registration. Sign up here. 

12.  Welcome to the newest addition to the Compliance Podcast Network, Hidden Traffic, hosted by Gwen Hassan. In this podcast, host Gwen Hassan helps compliance professionals assess human trafficking risk and leverage their organization’s resources to root out this tragic problem. Check out Episode 1, where Gwen visits with Matt Friedman.

13.  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 Episode 8, an exasperating meeting with a dog and its owner on the streets of NYC.

14.  This month on The Compliance Life, I visit with Wendy Badger, CCO at Tennant. In Part 1, she details her academic career and early professional life. 

15.  How does a Compliance Bible become a best-seller? Check out Tom’s appearance on the C-Suite Network’s Best Seller TV to find out.  Purchase The Compliance Handbook, 2nd edition 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 we head to Halloween, Tom and Jay reflect on some of the top compliance and ethics stories on the Happy Halloween edition.

 Stories

1.     More on Credit Suisse and Tuna bonds.  Mike Volkov in Corruption Crime and Compliance. Tom in the FCPA Compliance and Ethics Blog. Tom and Matt Kelly in Compliance into the Weeds. 

2.     What is FARA. Jamie Rosenberg starts a 2-part series in Grand Jury Target.

3.     Digital innovation and continuous improvement. Jim Deloach in CCI. 

4.     Banks and FinTech.  Davis Polk lawyers in Compliance and Enforcement Blog. 

5.     What will happen to exec clawbacks? Aaron Nicodemus in Compliance Week. (sub req’d) 

6.     SARs and appalling inaction. Martin Kenney in the FCPA Blog.  

7.     Board readiness for shareholder activism. Paul DeNicola in Harvard Law School Forum on Corporate Governance.

8.     Scrutiny of the Arts and Antiquities market. Linklaters client alert.

9.     Hiding evidence from regulations costs KPMG in UK. Risk and Compliance Platform Europe. 

10.  The SEC on auditor independence. Matt Kelly in Radical Compliance.

 Podcasts and Events

11.  Compliance Week 2022 opens for registration. Sign up here. 

12.  Ethisphere’s World Most Ethical Company awards for 2022 are open for submission. For more information on the Application Process, click here. 

13.  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 Episode 7, a Malodor on the Subway.

14.  This month on The Compliance Month, I visit with John Melican, Managing Director at Exiger on his journey to and from the CCO chair. In Episode 1, college and early professional career at NY County DA’s Office. In Episode 2, Melican moved into the corporate world and into compliance. In Episode 3, John moves into the CCO chair. In Episode 4, John talks about what he learned and how he uses that knowledge. 

15.  How does a Compliance Bible become a best-seller? Check out Tom’s appearance on the C-Suite Network’s Best Seller TV to find out.  Purchase The Compliance Handbook, 2nd edition 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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Either the Astros or Red Sox are headed to the World Series. Flashing lights in Fenway? What will the baseball gods decree? Tom and Jay reflect as they are back to review some of the top compliance and ethics stories on the Headed to the WS edition.

Stories

1.     Credit Suisse and Tuna boats equals nearly $500 MM in fines. Harry Cassin in the FCPA Blog. Matt Kelly in Radical Compliance. Jaclyn Jaeger in Compliance Week (sub req’d)

2.     CCOs as problem solvers. Mike Volkov in Corruption Crime and Compliance.

3.     Testing compliance. Brandon Garrett in Compliance and Enforcement. 

4.     3rd party risk management and SOC 2.  Eva Pittas in CCI. 

5.     Activision promises compliance upgrades. Should we believe them? Jaclyn Jaeger in Compliance Week. (sub req’d) 

6.     Is ESG reporting risky? Mike Munro explores in the FCPA Blog.  

7.     Facebook fined for changing CCOs without reporting to the CMA? CMA Press Release.

8.     The intersection of compliance and IT. Kyle Martin in Risk and Compliance Matters.

9.     What does the oldest COI tell us about professional misconduct? Jeff Kaplan in the FCPA Blog. 

10.  Contesting the narrative of compliance failures. Robert Barrington in GAB. 

Podcasts and Events

11.  Compliance Week is going ‘Inside the Mind of the CCO’. Participate in the survey here. 

12.  Ethisphere’s World Most Ethical Company awards for 2022 are open for submission. For more information on the Application Process, click here. 

13.  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 Episode 6, Billy Joel and exasperation. 

14.  This month on The Compliance Month, I visit with John Melican, Managing Director at Exiger on his journey to and from the CCO chair. In Episode 1, college and early professional career at NY County DA’s Office. In Episode 2, Melican moved into the corporate world and into compliance. In Episode 3, John moves into the CCO chair.

15.  Why is the Texas Hill Country one of the most special places on earth? Check out the newest edition to the CPN, as Tom Fox celebrates the people, places and things of the Hill County. In Episode 1, he visits with Camp Stewart for Boys matriarch, Kathy Ragsdale.

16.  How does a Compliance Bible become a best-seller? Check out Tom’s appearance on the C-Suite Network’s Best Seller TV to find out.  Purchase The Compliance Handbook, 2nd edition 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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The Astros and Red Sox meet in the ALCS. Is it the Cheater’s Ball? Tom and Jay are back to review some of the top compliance and ethics stories on the Back in the ALCS edition.

 Stories

1. Who knows what values lurk in the heart? The Shadow know (and your emails as well). The John Gruden firing. ESPN, Sports Illustrated, NYT, WSJ. Tom with a 2-part blog post series.
2. Confronting Ethical and Moral Dilemmas: Don’t Go It Alone. Richard Snell in Knowledge@Wharton.
3. Evolution of 3rd party risk management. Mike Volkov in Corruption, Crime and Compliance.
4. The role of employees in weeding out corp misconduct. David Smagalla in the WSJ Risk and Compliance Journal.
5. Ex-Braskem CEO gets 20 months. Kyle Brasseur in Compliance Week. (sub req’d)
6. Cooperating (or not) with the SFO. Lloydettte Bai-Marrow in the FCPA Blog.
7. Inconsistency in UK and EU banking regs? Deepali Nijhawan in CCI.
8. What is tech risk? Carol Williams in Risk and Compliance Matters.
9. Ozy from the audit perspective. Francine McKenna in The Dig. (sub req’d)
10. ESG channels Watergate (as in follow the money). Lawrence Heim in practicalESG.

 Podcasts and Events

1. Compliance Week is going ‘Inside the Mind of the CCO’. Participate in the survey here.
2. Ethisphere’s World Most Ethical Company awards for 2022 are open for submission. For more information on the Application Process, click here.
3. 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 Episode 1, the dreaded Parent Meeting night at your child’s elementary school. In Episode 2, why F*ing Argentina? In Episode 3, one of the most beloved characters in musical theater, Officer Krupke is exasperated. In Episode 4, the ubiquitous ‘Couples Dinner’. In Episode 5, a tennis journeyman’s lament.
4. This month on The Compliance Month, I visit with John Melican, Managing Director at Exiger on his journey to and from the CCO chair. In Episode 1, college and early professional career at NY County DA’s Office. In Episode 2, Melican moves into the corporate world and into compliance.
5. What is Design Thinking in Compliance? Check out the newest edition to the CPN, where co-hosts Tom Fox and Carsten Tams discuss the social engineering tool of design thinking and how it creates greater compliance engagement and effectiveness. In Episode 2, we take up co-creation.
6. How does a Compliance Bible become a best-seller? Check out Tom’s appearance on the C-Suite Network’s Best Seller TV to find out. Purchase The Compliance Handbook, 2nd edition 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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Tom is on for a solo run this week to review some of the top compliance and ethics stories on the Facebook Whistleblower edition. 

Stories

1.     The Facebook Whistleblower. 60 Minutes appearance and Congressional Testimony. Matt Kelly in Radical Compliance. Aaron Nicodemus in Compliance Week.  (sub req’d)

2.     Petrofac settles with SFO. Harry Cassin in the FCPA Blog. 

3.     ESG and business risks. Mike Volkov in Corruption, Crime and Compliance. 

4.     DOJ to emphasize white collar criminal cases.  Dylan Tokar in the WSJ Risk and Compliance Journal. 

5.     Ancient history and FCPA enforcement. Dick Cassin in the FCPA Blog.  

6.     Lessons learned from the Pandora Papers. Jaclyn Jaeger in Compliance Week. (sub req’d)

7.     Using AI for pattern recognition in investigations. Veeral Gosalia in CCI.

8.     Will ethical lapses at the Fed sink the Powell nomination? Jeanna Smialek and James Tankersly in the NYT.

9.     The Big Stink and Green Bonds. Lawrence Heim in PracticalESG. 

10.  Would you trust Ozy? Ozy says its open for business (after a short hiatus).  What does it mean for compliance? Megan Leonhardt and Jessica Mathews in Fortune.

11.  Risk based compliance and ransomware. SheppardMullin lawyers on JDSupra.   

Podcasts and Events

12.  Congrats to Great Women in Compliance for being honored as a top pod by w3 in the DEI category; Everything Compliance as a top roundtable in podcasting and CPN for top compliance podcast network. 

13.  Compliance Week is going ‘Inside the Mind of the CCO’. Participate in the survey here. 

14.  Ethisphere’s World Most Ethical Company awards for 2022 are open for submission. For more information on the Application Process, click here. 

15.  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 Episode 1, the dreaded Parent Meeting night at your child’s elementary school. In Episode 2, why F*ing Argentina? In Episode 3, one of the most beloved characters in musical theater, Officer Krupke is exasperated. In Episode 4, the ubiquitous ‘Couples Dinner’.

16.  This month on The Compliance Month, I visit with John Melican, Managing Director at Exiger on his journey to and from the CCO chair. In Episode 1, college and early professional career at NY County DA’s Office. 

17.  What is Design Thinking in Compliance? Check out the newest edition to the CPN, where co-hosts Tom Fox and Carsten Tams discuss the social engineering tool of design thinking and how it creates greater compliance engagement and effectiveness. Check out Episode 1 here. 

18.  Join Jay, Tom and the top E&C professionals at Converge21, a virtual conference on October 12 & 13. Registration and information here. Why should you attend? Check out some of the panelists discuss their presentation on the Converge21 podcasts. Michael Randrup Wendy Badger, Lloydette Bai-Marrow, Tom and Philip Winterburn. 

19.  How does a Compliance Bible become a best-seller? Check out Tom’s appearance on the C-Suite Network’s Best Seller TV to find out.  Purchase The Compliance Handbook, 2nd edition 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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Jay and Tom  are back to unpack some of the stories that caught their collective eye on the Monsterfest Month Returns edition.

Stories

1.     WPP FCPA enforcement action. Tom with 5-part series on the FCPA Compliance and Ethics Blog. Matt Kelly in Radical Compliance. Tom and Matt on Compliance into the Weeds. Mike Volkov has a 3-part series in Corruption Crime and Compliance. 

2.     Human rights litigation on the EU. Salomé Lemasson in the FCPA Blog. 

3.     BOD structure as key to compliance oversight. David Katz and Laura McIntosh in Harvard Law School Forum on Corporate Governance.

4.     Bringing clarity to the chaotic world of the CCO. Chris Audet in CCI. 

5.     Another week, another Wells Fargo fraud related penalty. Jaclyn Jaeger in Compliance Week (sub req’d)

6.     Dan Kahn returns to private practice. Dylan Tokar in the WSJ Risk and Compliance Journal.

7.     Do ABC academics fail? Matthew Stephenson in GAB. 

8.     Conquering the last mile of delivery of your Code of Conduct. Harper Wells in CCI.

9.     What is Ozy and what does it mean for compliance. Ben Smith in the NYT.

10.  Who owns ESG? Matt Kelly explores on Radical Compliance. 

Podcasts and Events

11.  CCI surveying stress in compliance. Henry Kronk in CCI. Take the survey here.

12.  Compliance Week is going ‘Inside the Mind of the CCO’. Participate in the survey here. 

13.  Ethisphere’s World Most Ethical Company awards for 2022 are open for submission. For more information on the Application Process, click here. 

14.  Check out the latest addition to the Compliance Podcast Network, A Yank at Oxford. It details the journey of Foley & Lardner partner David Simon as he heads back to university to matriculate for a MBA at Oxford. Episode 1. 

15.  Are you exasperated? Then check, F*ing Argentina. In this podcast series co-hosts Tom Fox and Gregg Greenberg, author of F* 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 Episode 1, the dreaded Parent Meeting night at your child’s elementary school. In Episode 2, why F*ing Argentina? In Episode 3, one of the most beloved characters in musical theater, Officer Krupke is exasperated. 

16.  Tom and Compliance Week EIC Dave Lefort look back at September in CW and forward to October (and talk some sports) in this month’s edition of From the Editor’s Desk. 

17.  K2 Integrity’s Edoardo Fiora will present at, “ESG Getting Hitched to Business (and IP) Strategy—From Resilience Framework to Recovery Path,” on October 14th. Registration and Information here. 

18.  Join Jay, Tom and the top E&C professionals at Converge21, a virtual conference on October 12 & 13. Registration and information here. Why should you attend? Check out some of the panelists discuss their presentation on the Converge21 podcasts. Michael Randrup Wendy Badger, Lloydette Bai-Marrow, Tom and Philip Winterburn. 

19.  How does a Compliance Bible become a best-seller. Check out Tom’s appearance on the C-Suite Network’s Best Seller TV to find out.  Purchase The Compliance Handbook, 2nd edition 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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