This Week in FCPA

As the state of Texas goes dark due to cold weather and our jr. Senator Ted Cruz (#CancunTed) heads out to Mexico to get away from it all, Tom and Jay look at this week’s stories top compliance and ethics stories which caught their interest on This Week in FCPA. 

1. How does weather inform compliance? Tom explores from an undisclosed power and water free location in Texas. Managing Risk, Root Cause Analysis and Continuous Risk Assessments.
2. What is the ‘Baader-Meinhof phenomenon’ and how does it inform compliance? Dick Cassin explores in the FCPA Blog.
3. Embezzlement and corruption? CISCO discloses both in a filing. Dylan Tokar in the WSJ Risk and Compliance Journal. 
4. Former Braskem CEO in talks to plead out. Dylan Tokar in the WSJ Risk and Compliance Journal. 
5. Hiring and screening in a pandemic. Matt Jaye in CCI.
6. How does Tom Brady (TB12) inform compliance? Jay explores in this LinkedIn
7. Where is SEC enforcement going under Biden. Dylan Tokar in the WSJ Risk and Compliance Journal. 
8. On The Compliance Life, Natalia Shehadeh, CCO at ABB joins me this month. In the first episode, Natalia explained why she choose the compliance profession. Check out the Episode 1 and Episode 2. In Episode 3, Natalia discusses moving into the CCO chair.
9. New podcasts out on the Compliance Podcast Network this month. In ComTech, Valerie Charles joins Tom for an exploration of the intersection of compliance and technology. Episode 2 which posted Monday, February 8, featured Parth Chanda, the Skywalker of Compliance. In Big Brains in Compliance, Tom is joined by Stephen Martin to visit with some of the top thinkers and doers in compliance. It premiered February 22. Finally Tom premiers a new video podcast (PodTube) on YouTube. The Compliance Handbook, a podcast on the nuts and bolts of compliance. In Episode 1, he is joined by Stephen Martin to talk about how to best think through a comprehensive compliance program. In Episode 2, Tom was joined by Mike Volkov to discuss the Board’s role in Compliance.
10. A new AMI podcast is out, Integrity Through Compliance. It will have AMI’s expert observations and guidance in the fields of ethics, antitrust, healthcare, government contracting, corporate governance, cybersecurity, construction, telecommunications, consumer protection and more. In the Episode 1, AMI founder Vin DiCianni visits with AMI MD Jerry Coyne the future of telehealth & home healthcare during a pandemic and beyond. In Epsiode 2, Brenda Morris and Dionne Lomax visit with Jennifer Newton. In upcoming Episode 3 on February 24, Joseph K. West, Partner & Chief Diversity and Inclusion Officer, Duane Morris joins the podcast.
11. On Thursday, February 25, join the “Ask an Expert FINQuiry” webinar on DOLFIN: K2 Integrity’s financial crimes compliance experts will respond to your AML/CFT, sanctions, and other financial-integrity-related questions. Information and Registration here.
12. Join the Baker Tilly Fraud 1st Annual Fraud and Compliance Summit, Tuesday, Feb 23, 2021, to Thursday, Feb 25, 2021. Details and registration here.
13. Interested in podcasting? Want to be a part of a Guiness World Record attempt? PodFest Global Summit is a gathering for those who are passionate about sharing their voice and message with the world through audio and video. Join Tom and others at Podfest Global Summit at any time during March 1-5. Best all of listeners to this podcast can attend at no charge. Register here, using promo code CPN.
14. Tom announces his latest book, The Compliance Handbook, 2nd edition is available for presale purchase. Use Use the code FOX25 and go here. The Compliance Handbook 2ndedition will be available in both print and eBook editions.

Tom Fox is the Compliance Evangelist 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 Brady cements his position as the GOAT of All Time with his Super Bowl win. Jay bemoans Tompa Bay using ‘his quarterback’ to win the Super Bowl. They are also back to look at some of the top compliance articles and stories which caught their eye this week. 

1. What is the state of the CCO in 2021? Mike Volkov takes a deep dive on the Crime Corruption and Compliance. Part 1-Looking Back and Looking Forward, Part 2-Troubling Trends, Part 3-a Coming Storm?
2. What is the intersection of compliance, culture and covid? Calvin London explores in CCI.
3. What comes next for ABC enforcement in Brazil? Sean Hecker, Marshall Miller, and Ana Frischtak in NYU’s Compliance and Enforcement
4. 4 steps to building out a business continuity plan. Matt Kelly in Navex Global’s Risk and Compliance Matters.
5. SEC reverts and allows more to do investigations. Aaron Nicodemus in Compliance Week. (sub req’d)
6. Wirecard red flags missed. Dylan Tokar interviews former Wirecard CCO/CEO in the WSJ Risk and Compliance Journal.
7. Retrieving WhatsApp messaging for an internal investigation. Andrew Reeves and David Harris asks in the FCPA Blog.
8. The virtual Boardroom. Andrew Lepczyk and Barton Edgerton on the Harvard Law School Forum on Corporate Goverance.
9. On The Compliance Life, Natalia Shehadeh, CCO at ABB joins me this month. In the first episode, Natalia explained why she choose the compliance profession. Check out the Episode 1. In Episode 2, Natalia talks about her professional jouney to the CCO chair, from Capitol Hill to Big Law to corporations.
10. New podcasts out on the Compliance Podcast Network this month. In ComTech, Valerie Charles joins Tom for an exploration of the intersection of compliance and technology. Episode 2 posted Monday, February 8 and featured Parth Chanda, the Skywalker of Compliance. In Big Brains in Compliance Tom is joined by Stephen Martin to visit with some of the top thinkers and doers in compliance. It premiers February 22. Finally Tom premiers a new video podcast (PodTube) on YouTube. The Compliance Handbook, a podcast on the nuts and bolts of compliance. In Episode 1, he is joined by Stephen Martin to talk about how to best think through a comprehensive compliance program.
11. A new AMI podcast is out, Integrity Through Compliance. It will have AMI’s expert observations and guidance in the fields of ethics, antitrust, healthcare, government contracting, corporate governance, cybersecurity, construction, telecommunications, consumer protection and more. In the Episode 1, AMI founder Vin DiCianni visits with AMI MD Jerry Coyne the future of telehealth & home healthcare during a pandemic and beyond.
12. On Thursday, February 25, join the “Ask an Expert FINQuiry” webinar on DOLFIN: K2 Integrity’s financial crimes compliance experts will respond to your AML/CFT, sanctions, and other financial-integrity-related questions. Information and Registration here.
13. Compliance Week is accepting nominations for its Excellence in Compliance Award. Submit your nominee here.
14. Join the Baker Tilly Fraud 1st Annual Fraud and Compliance Summit, Tuesday, Feb 23, 2021, to Thursday, Feb 25, 2021. Details and registration here.
15. Interested in podcasting? Want to be a part of a Guiness World Record attempt? PodFest Global Summit is a gathering for those who are passionate about sharing their voice and message with the world through audio and video. Join Tom and others at Podfest Global Summit at any time during March 1-5. Best all of listeners to this podcast can attend at no charge. Register here, using promo code CPN.
16. Tom announces his latest book, The Compliance Handbook, 2nd edition is available for presale purchase. Use Use the code FOX25 and go here. The Compliance Handbook 2ndedition will be available in both print and eBook editions.

Tom Fox is the Compliance Evangelist 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 two black swan events in January alone, Tom and Jay wonder what else 2021 will bring. Jay bemoans Tompa Bay in the Super Bowl.They are also back to look at some of the top compliance articles and stories which caught their eye this week. 

1. What does GameStop portend for compliance? Toms take a deep dive on the FCPA Compliance and Ethics Blog. Part 1-Background, Part 2-the Shorts, Part 3-the Squeeze, Part 4-the Regulators, Part 5-Final Thoughts. Tom and Matt Kelly take a deep dive on Compliance into the Weeds.
2. Enterprise risks going forward. Matt Kelly looks down the road in Radical Compliance.
3. Solar Winds turning into a Pandora’s Box? Jaclyn Jaeger explores in Compliance Week. (sub req’d)
4. Risk culture in the digital age. Jim DeLoach explores in CCI.
5. What does the CFTC settlement with Vitol portend for enforcement (and compliance). Gibson Dunn lawyers in NYU’s Compliance and Enforcement.
6. Top regulatory trends to watch under the Biden Administration. Rachel Wooley in CCI.
7. Is your compliance team too big? Dick Cassin asks in the FCPA Blog.
8. Can compliance help with a workplace morale crisis? Richard Bistrong opines in the FCPA Blog.
9. On The Compliance Life, Natalia Shehadeh, CCO at ABB joins me this month. In this first episode, Natalia explains why she choose the compliance profession. Check out the Episode 1.
10. New podcasts out on the Compliance Podcast Network this month. In ComTech, Valerie Charles joins Tom for an exploration of the intersection of compliance and technology. Check out Episode 1. Episode 2 posts Monday, February 8. In Big Brains in Compliance Tom is joined by Stephen Martin to visit with some of the top thinkers and doers in compliance. It premiers February 22. Finally Tom premiers The Compliance Handbook, a podcast focusing on the nuts and bolts of compliance. In Episode 1, he is joined by Stephen Martin to talk about how to best think through a comprehensive compliance program. It premiers Tuesday, February 10.
11. A new AMI podcast is out, Integrity Through Compliance. It will have AMI’s expert observations and guidance in the fields of ethics, antitrust, healthcare, government contracting, corporate governance, cybersecurity, construction, telecommunications, consumer protection and more.In this first episode, AMI founder Vin DiCianni visits with AMI MD Jerry Coyne the future of telehealth & home healthcare during a pandemic and beyond. Check it out here.
12. Join K2 Integrity and the AIBACP for a webinar on February 17—National Defense Authorization Act: AML Compliance Implications and Priorities for the Banking Industry. Information and Registration here. On Thursday, February 25, join the “Ask an Expert FINQuiry” webinar on DOLFIN: K2 Integrity’s financial crimes compliance experts will respond to your AML/CFT, sanctions, and other financial-integrity-related questions. Information and Registration here.
13. Compliance Week is accepting nominations for its Excellence in Compliance Award. Submit your nominee here.
14. Join the Baker Tilly Fraud 1st Annual Fraud and Compliance Summit, Tuesday, Feb 23, 2021, to Thursday, Feb 25, 2021. Details and registration here.

Tom Fox is the Compliance Evangelist 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 Trump becomes the only person to have 2 impeachment trials, Tom and Jay are back to look at some of the top compliance articles and stories which caught their eye this week. 

1. Beny Steinmetz found guilty for corruption in Guinea mining concession. Imogen Foulkes in the com. Tom take a deep dive on the FCPA Compliance and Ethics Blog. Part 1-Background, Part 2-the Trial, Part 3-the Vale JV, Part 4-Final Thoughts.
2. Do compliance officers need a peer review? Dick Cassin explores in the FCPA Blog.
3. Should you have reps and warranties in your compliance terms and conditions? Bill Steinman considers in the FCPA Blog.
4. 7 key changes to CA privacy laws. Andrew Burt in Navex Global’s Risk and Compliance Matters.
5. A Significant ruling on HIPPA out of the 5th David Saunders and Allison Glover in NYU’s Compliance and Enforcement.
6. Is an increase in SEC enforcement coming? Morgan Lewis lawyers in Harvard Law School Forum on Corporate Goverance.
7. Why is FCA compliance so critical? Mike Debernardis in CCI.
8. How to investigate a 60MM document case? Michael Dempsey in the BBC.
9. On The Compliance Life, Gwen Hassan- Director of Compliance at CNH Industrial is back for her fourth and final episode. In it, Gwen explains her passion around fighting the international scrourge of human trafficking. Check out the episode here.
10. This month, on 31 Days to a More Effective Compliance Program, I look back over 2020 and set out some of the key enhancements you need to do for your compliance program in 2021. Day 23 | Assessing compliance internal controls; Day 24 | Updates and feedback; Day 25 | CCO authority and independence; Day 26 | the role of compliance in an organization; Day 27 | operationalizing compliance though payroll; Day 28 | Continuous Improvement; Day 29 | Internal Reporting. Note 31 Days to a More Effective Compliance Program now has its own iTunes channel.
11. A new AMI podcast is out, Integrity Through Compliance. It will have AMI’s expert observations and guidance in the fields of ethics, antitrust, healthcare, government contracting, corporate governance, cybersecurity, construction, telecommunications, consumer protection and more.In this first episode, AMI founder Vin DiCianni visits with AMI MD Jerry Coyne the future of telehealth & home healthcare during a pandemic and beyond. Check it out here.
12. Join K2 Integrity and the AIBACP for a webinar on February 17—National Defense Authorization Act: AML Compliance Implications and Priorities for the Banking Industry. Information and Registration here.
13. Compliance Week is accepting nominations for its Excellence in Compliance Award. Submit your nominee here.
14. Join the Baker Tilly Fraud 1st Annual Fraud and Compliance Summit, Tuesday, Feb 23, 2021, to Thursday, Feb 25, 2021. Details and registration here.

Tom Fox is the Compliance Evangelist 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 move from the worst and most corrupt President of all time to the Biden Administration and Jay and Rebecca celebrate their daughters ascension to womanhood, Tom and Jay are back to look at some of the top compliance articles and stories which caught their eye this week. 

1. What does the FinCEN enforcement action against Capital One mean for compliance? Jaclyn Jaeger in Compliance Week. (sub req’d) Matt Kelly explores on Radical Compliance. Tom and Matt take a deep dive on Compliance into the Weeds.
2. The OFAC year in review. Mike Volkov takes a deep dive in Corruption Crime and Compliance.
3. The Boeing Fraud enforcement action? Tom take a deep dive in the FCPA Compliance and Ethics Blog. Dylan Tokar in the WSJ Risk and Compliance Journal.
4. Poaching now legal? Paul Weiss lawyers on NYU’s Compliance and Enforcement Blog.
5. Wells Fargo ex-GC spanked. Jaclyn Jaeger in Compliance Week. (sub req’d)
6. UAE to fight money-laundering. Jon Rausch (returns) in Dipping Through Geomotries.
7. More Caremark claims coming? Kevin LaCroix in the D&O Diary.
8. Are you an introverted compliance professional? Now may be the time for you. Dick Cassin explores on the FCPA Blog.
9. A new month is here and a new guest on The Compliance Life. Gwen Hassan- Director of Compliance at CNH Industrial. In this month’s third episode, Gwen explains why every compliance professional needs to stay culturally curious. Check out the episode here.
10. This month, on 31 Days to a More Effective Compliance Program, I look back over 2020 and set out some of the key enhancements you need to do for your compliance program in 2021. Day 16 | 3Rd Party Risk Management Process; Day 17 | Managing Your 3rd parties; Day 18 | Levels of Due Diligence; Day 19 | The Investigation Protocol; Day 20 | Responding to Investigative Findings; Day 21 | Continuous Improvement; Day 22 | Internal Reporting. Note 31 Days to a More Effective Compliance Program now has its own iTunes channel.
11. Join K2 Integrity on January 27 to hear Olivia Allison and Joanne Taylor discuss the latest E
12. U regulatory developments in whistleblowing programs and investigations. Information and Registration here.
13. Compliance Week is accepting nominations for its Excellence in Compliance Award. Submit your nominee here.

Tom Fox is the Compliance Evangelist 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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It is certainly a challenging time for the American Democracy. For his high crimes and misdemeanors against the Constituion and American democary, President Trump has now been impeached for a second time. In the midst of the this, Tom and Jay are back to look at some of the top compliance articles and stories which caught their eye this week. 

1.     Recidivist Deutsche Bank settles a second FCPA matter. Tom takes a 5-part deep dive on the FCPA Compliance and Ethics Blog. Matt Kelly looks at red flags and internal controls on Radical Compliance. Tom and Matt take a deep dive on Compliance into the Weeds. 

2.     How the FCPA is big business. Harry Cassin explains in the FCPA Blog.

3.     Is an industry sweep headed your way? Dick Cassin explains in the FCPA Blog. 

4.     Why you should welcome the NDAA? Matthew Stephenson in GAB. Jonathan Marks on Board and Fraud.

5.     How to use KPIs in your compliance program. Vera Cherapanova in the FCPA Blog. 

6.     What are your Board resolutions for 2021? Steve Durbin in CCI. 

7.     2020 was a year of ethical challenges. Mike Volkov explains in Corruption Crime and Compliance.

8.     What are the C-Suite challenges brought on by Coivd-19? Shanil Williams in CCI.

9.     A new month is here and a new guest on The Compliance Life. Gwen Hassan- Director of Compliance at CNH Industrial. In this month’s second episode, In this second episode, we take up the tricky issue of balancing a role as a legal eagle for the company as well as her role in compliance. We also explore the different skill set needed for each of these careers and how it is possible to have both in one person. Check out the episode here. 

10.  This month, on 31 Days to a More Effective Compliance Program, I look back over 2020 and set out some of the key enhancements you need to do for your compliance program in 2021. Day 9 | 360 Degrees of Compliance Communications; Day 10 | The Use of Social Media in Compliance; Day 11 | What is Effective Compliance Training?; Day 12 | Financial Incentives for Compliance; Day 13 | Institutional Justice and Fairness; Day 14 | Risk Assessments; and Day 15 | How do you evaluate a risk assessment?. Note 31 Days to a More Effective Compliance Program now has its own iTunes channel. 

11.  Join Tom on the Convercent event, “Future-proof your compliance program for 2021”, on Wednesday, January 20th | 11:00 am -1:00 pm ET. For details and registration, click here. 

12.  Join K2 Integrity on January 27 to hear Olivia Allison and Joanne Taylor discuss the latest E

U regulatory developments in whistleblowing programs and investigations. Information and Registration here.

13.  Compliance Week is accepting nominations for its Excellence in Compliance Award. Submit your nominee here. 

Tom Fox is the Compliance Evangelist 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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We come to this episode as somber as we have ever been. President Trump incited insurrection against America, the American people and America’s Democracy on Wednesday. Tom and Jay join the call of Senators and Representative of both political parties to remove President Trump via the 25th Amendment or impeachment. We also have our first look in 2021 at some of the top compliance articles and stories which caught their eye this week. 

1. A game-changer in compliance-the AMLA Law of 2020. Tom takes a deep dive in a 5-part blog post series and podcast series on the FCPA Compliance Report.
2. Why you need a compliance ‘Victory Plan’ for 2021. Dick Cassin explains in the FCPA Blog.
3. CFTC’s foray into FCPA enforcement creates new risk factors. Aaron Nicodemus in Compliance Week (sub req’d)
4. Was the Goldman Sachs FCPA resolution ‘just and appropriate’? Jenny Kline in GAB.
5. Is your digital culture mature? Jim DeLoach in CCI.
6. What are your compliance resolutions for 2021? Andrew Burt in Navex Global’s Risk & Compliance Matters
7. First SolarWinds shareholder action filed. Kevin LaCroix in the D&O Diary.
8. Rethinking corporate enforcement. John Coffee in Harvard Law School Forum on Corporate Goverance.
9. A new month is here and a new guest on The Compliance Life. Gwen Hassan- Director of Compliance at CNH Industrial. In this month’s first episode, Gwen talks about the twisting road which introduced her to compliance. Check out the episode here.
10. This month, on 31 Days to a More Effective Compliance Program, I look back over 2020 and set out some of the key enhancements you need to do for your compliance program in 2021. Day 1 | What 2020 Brought To Compliance Programs; Day 2 | Continuous Monitoring and Continuous Improvement; Day 3 | Leadership’s Conduct At The Top; Day 4 | Moving Compliance Tone Down Through An Organization; Day 5 | The Board and Operationalizing Compliance; Day 6 | The Code of Conduct; Day 7 | Policies and Procedures; and Day 8 | Internal Controls and Compliance. Note 31 Days to a More Effective Compliance Program now has its own iTunes channel.
11. Join Tom on the Convercent event, “Future-proof your compliance program for 2021”, on Wednesday, January 20th | 11:00 am -:00 pm ET. For details and registration, click here.
12. Join K2 Integrity on Thursday, January 14, 2021 at 10 AM ET, when financial crimes compliance experts respond to your AML/CFT, sanctions, and other financial integrity-related questions. Submit your questions and register here.

Tom Fox is the Compliance Evangelist 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 Joe Biden is formally elected President by the Electoral College and the Covid-19 vaccine arrives in spite of blunders by the Trump Administration; Tom and Jay are back to look at some of the top compliance articles and stories which caught their eye this week.

1. The Good, the Bad and the Missing. Dick Cassin with his three top stories in 2020 on the FCPA Blog.
2. Are you ready for the EU Whistleblower Directive? Cédric Dubar considers in the FCPA Blog.
3. Using data analytics for the BOD and still satisfying the regulators. 6 CCOs opine in Compliance Week (sub req’d)
4. What are 7 principles of ethical leadership? Yonason Goldson in CCI.
5. Leadership failures around sexual harassment at Ft. Hood. Matt Kelly on Radical Compliance. Tom and Matt take gut-wrenching deep dive on Compliance into the Weeds, with special guest Diane St. Ives, who relates her experiences from 40 years ago.
6. The SEC and SARs. Thomas Gorman on SEC Enforcement
7. Congress approves new AML law. Jack Hagel in the WSJ Risk & Compliance Journal.
8. Ephemeral messaging. Debevoise and Plimpton Data Blog.
9. A new month is here and a new guest on The Compliance Life. Kim Yapchai, Chief Counsel – Environmental, Social & Governance at Tenneco Inc. In this week’s third episode, Kim moves into the CCO chair. Check out the episode here. Check out the full series here.
10. My podcast with Mikhail Reider-Gordon on Wirecard was so popular we spun it out into its own series, The Wirecard Saga. Check out the latest episode, Who Watches the Watchers.  
11. On 31 Days to a More Effective Compliance Program, we consider Training and Communications. Monday, Communication through persuasion; Tuesday– Multiplying the influence of compliance; Wednesday– Communicating Across Cultural Boundaries; Thursday– Asking questions to boost your compliance program; Friday– Twitter and 360-degrees of communication. Note 31 Days to a More Effective Compliance Program now has its own iTunes channel.
12. Interested in podcasting? Find out the top trends with this replay of Tom and Megan Dougherty of One Stone Creative in their webinar on the State of Podcasting 2020. Listen to the full webinar here. Want some pointers on designing and starting a podcast, check out this great new report from Megan Dougherty, co-founder of my producing team at One Stone Creative, The State of Business Podcasts, 2020.

Tom Fox is the Compliance Evangelist 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 TrumpLand continues to live in fantasy and denial, going 1-55 in lawsuits while over 3000 American die daily from Covid-19; Tom and Jay are back to look at some of the top compliance articles and stories which caught their eye this week. 

1. The Vitol FCPA enforcement action. Tom takes a deep dive on the FCPA Compliance and Ethics Blog. Part 1, Part 2, Part 3, Part 4. Mike Volkov has a 3-part series on Corruption Crime and Compliance.
2. Is the SEC whistleblower program too opaque? Harry Cassin considers in the FCPA Blog.
3. AML reform and a new whistleblower law. Matt Kelly considers in Radical Compliance. Tom and Matt go into the weeds in the latest episode of Compliance into the Weeds.
4. Is the SEC discouraging whistleblowers under Dodd-Frank. Mengui Sun explores in the WSJ Risk and Compliance Journal.
5. Where did the Cheesecake Factory go wrong? Sara Kropft in the Grand Jury Target.
6. 5 Compliance Triumphs from 2020? Kyle Brausser in Compliance Week. (sub req’d)
7. GDPR compliance challenges in 2021. Steve Horvath in CCI.
8. China-US audit showdown? Michael Rapoport reviews in The Dig.
9. A new month is here and a new guest on The Compliance Life. Kim Yapchai, Chief Counsel – Environmental, Social & Governance at Tenneco Inc. In this week’s second episode, we take up the in-house roles In Kim held on her road towards the CCO chair. Check out the series here.
10. My podcast with Mikhail Reider-Gordon on Wirecard was so popular we spun it out into its own series, The Wirecard Saga. Check out the latest episode, Dirty Deeds Down Under.  
11. On 31 Days to a More Effective Compliance Program, we consider Training and Communications. Monday, Sharing to 360-degrees of communication Tuesday– Speical Guest Vin DiCianni on Compliance and the clash of cultures.Wednesday– Using 360 Degree of Compliance to Tell a Story; Thursday– Using Communications to Drive a Speak Up Culture; Friday– Using communications to foster your compliance brand. Note 31 Days to a More Effective Compliance Program now has its own iTunes channel. If you want to binge out and listen to only these episodes, click here. 
12. Check out the a replay of London Stock Exchange event which featured Tom, Neta Meidav, CEO, Vault Platform and Maxine Gee, Chief Risk Officer – UK Capital Markets LSE on why culture drives compliance. You can view and listen to it here.
13. Join K2 Integrity for two great events in December. On Dec. 14, they host a webinar on “Proliferation Financing: Risks, Threats, and Mitigation.” The webinar will explore critical issues around understanding and combatting the financing of WMD proliferation. https://bit.ly/2VujK1O. 
14. On December 17, DOLFIN and K2 Integrity’s financial crimes compliance experts will host their latest “Ask an Expert FINQuiry” webinar. Expect answers to questions on topics such as: the latest developments in AML/CFT, sanctions, fraud, anti-bribery and corruption, and export controls; financial integrity risks related to the global pandemic; and regionally focused financial crime risks. https://bit.ly/39zzhFP

Tom Fox is the Compliance Evangelist 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 TrumpLand continues to live in fantasy and denial, we are on the 50-day countdown to the Biden Inauguration. Tom and Jay are back after the Thanksgiving holiday to look at some of the top compliance articles and stories which caught their eye this week. 

1. Are compliance certifications worth it? Jeff Kaplan thinks so and says so in the FCPA Blog.
2. Does Zoom portend more FTC enforcement actions? Matt Kelly thinks so in Radical Compliance.
3. More issues in domestic corruption for pharma? Mike Volkov takes a look in Corruption Crime and Compliance.
4. Avoiding COIs during the holidays. Rick Burt in Navex Global’s Risk and Compliance Matters.
5. Did France make U-turn on corporate liability? Lawyers from Debevoise explore in NYU’s Compliance and Enforcement Journal.
6. Swiss begin SBM Offshore corruption investigation? Jaclyn Jaeger in Compliance Week. (sub req’d)
7. What is the scope of the FCPA Internal Controls provisions? Lawyers from Shearman & Sterling discuss in JDSupra.
8. How can a Board of Directors use data? James Howard in the Harvard Law School Forum on Corporate Governance.
9. A new month is here and a new guest on The Compliance Life. Kim Yapchai, Chief Counsel – Environmental, Social & Governance at Tenneco Inc. In this week’s first episode we consider Kim’s undergraduate degree in economics and how this informed her decisions which led her down the path to the CCO chair. Check out the series here.
10. My podcast with Mikhail Reider-Gordon on Wirecard was so popular we spun it out into its own series, The Wirecard Saga. Check out the latest episodes here.
11. On 31 Days to a More Effective Compliance Program, we consider Training and Communications. Tuesday– Introduction to Training and Communications.Wednesday– Social media is a 360-degree communication strategy; Thursday-Using social media to innovate in compliance; Friday– the D&B experience with social media and 360 degrees of communications. Note 31 Days to a More Effective Compliance Program now has its own iTunes channel. If you want to binge out and listen to only these episodes, click here. 

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