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. Learn more about your ad choices. Visit megaphone.fm/adchoices

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. Learn more about your ad choices. Visit megaphone.fm/adchoices

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. Learn more about your ad choices. Visit megaphone.fm/adchoices

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 Roger Ng was convicted. Tom in the FCPA Compliance and Ethics Blog. Lessons from DOJ’s first cyber fraud settlement? Annie Hudgins in the FCPA Blog. Depression as corporate materiality issue. Dick Cassin in the FCPA Blog. Should CCOs be required to certify compliance programs? Mike Volkov in Corruption Crime and Compliance. CEO fined by SEC for impeding whistleblower. Aaron Nicodemus in Compliance Week. (sub req’d) Matt Kelly in Radical Compliance. How much BOD oversight of compliance is enough? Jeff Kaplan in Conflict of Interest Blog. Compliance in recessionary times. Jim DeLoach in CCI. Water and corruption. Rick Messick in GAB. Why should an organization disclose diversity information? Antinuke Adrian in Harvard Law School Forum on Corporate Governance. Data governance best practices. Eray Eliaçik in Data Economy. Podcasts and More 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. 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. 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. 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. Join Tom and Jay at ECI Impact 2022. Listeners to this podcast can save 20% off registration by entering discount code: TOM20 at checkout. 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. Learn more about your ad choices. Visit megaphone.fm/adchoices

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 The Slap Seen ‘Round the World and Compliance. Tom in FCPA Compliance and Ethics Blog. Will CCOs have to certify compliance? Text of Kenneth Polite speech. Tom and Matt in Compliance into the Weeds. Matt in Radical Compliance. Coal exec indicted under the FCPA. Harry Cassin in the FCPA Blog. Good bribes. Dick Cassin in the FCPA Blog. Why controls are key to compliance. Chris Audet in CCI. MarshMac UK sub garners Declination with Disgorgement. Dylan Tokar in WSJ Risk & Compliance Journal. ZTE whistleblower feared for his life. Ashley Yablon in CCI. Whistleblowing keys. Jan Stampers In Risk and Compliance Matters. Fine line between compliance and evasion of OFAC sanctions. Mike Volkov in Corruption Crime and Compliance. ISSB delivers sustainability guidelines. IFRS Press Release. Podcasts and More 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. Tom has a two part series with Aly McDevitt on her recent Ransomware case study, on Greetings and Felicitations, Part 1 and Part 2. 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. Tom visits with longtime MS 150 rider Alan Peterson on The Hill Country Podcast. Donate to the fight against MS here. 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. Learn more about your ad choices. Visit megaphone.fm/adchoices

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. Learn more about your ad choices. Visit megaphone.fm/adchoices

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. Learn more about your ad choices. Visit megaphone.fm/adchoices

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 Should lawyers represent all stakeholders before the SEC? Matt Kelly in Radical Compliance. Tom and Matt in Compliance into the Weeds. Lessons learned from a corrupt Olympics: Andy Spalding and Danny Hales in the FCPA Blog. How does a corporate culture become corrupt? Tom Bussen and Nitish Singh in CCI. Corruption in the Russian military. Matthew Stephenson in GAB. MTS agrees to extend monitorship for one year. Dylan Tokar in WSJ Risk and Compliance Journal. Why is data minimization so critical? Debevoise lawyers in Compliance and Enforcement. Elon Musk wants out of his Consent Decree with the SEC. Dean Seal in Law360 (sub req’d) A stark warning on corporate cooperation. Wachtel Lipton lawyers in Harvard Law School Forum on Corporate Governance. Mike Volkov on the force multiplier of ethics and sustainability. Crime Corruption and Compliance. NFTs and the SEC. Francine McKenna in The Dig (sub req’d) Podcasts and More 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. Tom and Megan Dougherty are back with 2 more episodes of the MCU series. The Winter Soldier and Guardians of the Galaxy Part 1. David Simon returns for another session of his journey through the Oxford MBA Program on A Yank at Oxford. Tom visits with Hill Country lawyer Craig Wolcott on The Hill Country Podcast. 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. Learn more about your ad choices. Visit megaphone.fm/adchoices

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 What Russia invasion means for companies and compliance. Tom with a series in the FCPA Compliance and Ethics Blog. Matt Kelly in Radical Compliance. Dick Cassin says sanctions may lead to more corruption in the FCPA Blog. Jaclyn Jaeger looks at supply chain disruption and issues in Compliance Week (sub req’d) Matthew Murray asks if Putin invaded Ukraine to advance corruption, in GAB. Chasing oligarchs’ money, from the Washington Post. The Swiss approach to Ukraine crisis. Mark Pieth in Risk and Compliance Europe. Mike Volkov focuses on new and evolving sanctions, in Corruption Crime and Compliance. Economic nationalism and corporate governance. Martin Geller, in Harvard Law School Forum on Corporate Governance. Illicit finance and High-value art. Sullivan & Cromwell lawyers in Compliance and Enforcement. The invasion and cybersecurity. Jonathan Armstrong in Cordery Compliance. Podcasts and More 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. 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). Tom and Loren Steffy look energy issues and fallout from the Russian invasion in Greetings and Felicitations. Tom and Matt Kelly take a deep dive into the compliance weeds about the Russian invasion on Compliance into the Weeds. Silvia Surman devotes the entire week to Russian trade sanctions and economic issues in The Compliance Kitchen. 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. Learn more about your ad choices. Visit megaphone.fm/adchoices

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 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) Why is subculture audits so critical? Vera Cherepanova explains in the FCPA Blog. 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. National Cryptocurrency Enforcement Team and what it means. Kathleen McDermott and Mark Krotoski in CCI. David Smagalla in WSJ Risk and Compliance Journal. How Credit Suisse facilitated crime, corruption, and dictators. Jessie Drucker and Ben Hubbard in the New York Times. Why diversity on investigation teams matters. Karin Portlock and Jabari Julien in Compliance and Enforcement. Could small-cap directors & officers could face ESG liability. Lawrence Heim in practicalESG. Global trends in corporate governance for 2022. Richard Fields, Rusty O'Kelley III, and Laura Sanderson, in Harvard Law School Forum on Corporate Governance. Roger Ng trial in danger of collapse due to prosecution 'inexcusable error .'Stewart Bishop in Law360. (sub req'd) Using the FCPA to fight the demand side of bribery. Matthew Stephenson in GAB. Podcasts and More 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. 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. CCI releases a new e-book from Mike Volkov, "Compliance Culture Revolution ."Available free from CCI. 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. 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. Learn more about your ad choices. Visit megaphone.fm/adchoices

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 Ericsson is in more FCPA trouble. Mengqi Sun in the WSJ Risk and Compliance Journal. Aaron Nicodemus in Compliance Week. (sub req'd) DD impeding compliance in developing markets? Katya Lysova explores in the FCPA Blog. ESG-no longer a nice to have. Karen Alonardo in Risk and Compliance Matters. State AGs are waiting. Ashley Taylor and Chris Carlson in CCI. The latest case on CCO liability. Matt Kelly in Radical Compliance. Broken windows and compliance enforcement. Anthony O'Reilly in Compliance and Enforcement. Companies yet again ask the EU for rules around ESG. Lawrence Heim in practicalESG. White-collar enforcement trends in 2021. Jamie Rosenberg in Grand Jury Target. HP-Autonomy from the auditors' perspective. Francine McKenna in The Dig. South African courts deny Zuma's attempt to remove the SA corruption prosecutor. Rick Messick in GAB. Podcasts and More 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. 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. CCI releases a new e-book from Mike Volkov, "Compliance Culture Revolution." Available free from CCI. 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. 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. Learn more about your ad choices. Visit megaphone.fm/adchoices

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. Learn more about your ad choices. Visit megaphone.fm/adchoices

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. Learn more about your ad choices. Visit megaphone.fm/adchoices

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. Learn more about your ad choices. Visit megaphone.fm/adchoices

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 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. Did the pandemic undo corruption risk models? Dick Cassin explores in the FCPA Blog. KPMG spanked yet again in the UK. Jaclyn Jaeger in Compliance Week (sub req’d). Person of the Year in Compliance? ESG. Mike Volkov in Corruption Crime and Compliance. Is Abby Normal next? Banks using behavioral science. Vera Cherepanova in FCPA Blog. Businesses and Strategy on Countering Corruption. Sara Paul, Andrea Gordon, and Dane Sowers in the CCI. Climate change compliance. Jeff Kaplan in Conflicts of Interest Blog. Trust has its moment. Stewart Levine in Forbes.com. Institutional investors on ESG voting. Lawrence Heim in PracticalESG. The virtual Board Room. Jeffrey Karpf and Fernando Martinez in Compliance and Enforcement. Podcasts and More 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. 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. 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. CCI releases a new e-book from Tom, “FCPA 2021 Year in Review”. Available free from CCI. 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. 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. Learn more about your ad choices. Visit megaphone.fm/adchoices

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. Learn more about your ad choices. Visit megaphone.fm/adchoices

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 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) 2022 to be a critical year in ESG reporting. Mike Munro and Guido Van Druen in a CCI. Top D&O stories from 2021. Kevin LaCroix in D&O Diary. Airbnb spanked over Cuba. Mengqi Sun in WSJ Risk & Compliance Journal. MorganStanley fined $60MM over a data breach? Aaron Nicodemus in Compliance Week (sub req’d). China’s new ABC guidelines. Andrew Reeves and Rongxin Huang in the FCPA Blog. The ‘G’ in ESG. Lawrence Heim in PracticalESG. Key areas for BOD oversight in 2022. Holly Gregory in Harvard Law School Forum on Corporate Governance. Audrey Harris joins AMI. Broadcat sold. Broadcat Press Release. Podcasts 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. 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. 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. Mikhail Reider-Gordon returns in Lies, Spies & Corporate Crimes: The Wirecard Saga, with Season 2, Episode 2 The Vagabond Rapping At Your Door. 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. Learn more about your ad choices. Visit megaphone.fm/adchoices

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. Learn more about your ad choices. Visit megaphone.fm/adchoices

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. Learn more about your ad choices. Visit megaphone.fm/adchoices

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. Learn more about your ad choices. Visit megaphone.fm/adchoices