Episodes

  • Episode 300 – the All Good Things edition

    Episode 300 – the All Good Things edition
    May 6 2022
    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
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    49 mins
  • Episode 299 – the Yankees Cheated and Lost edition

    Episode 299 – the Yankees Cheated and Lost edition
    Apr 29 2022
    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
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    41 mins
  • Episode 298 – the NBA Playoffs Are Here edition

    Episode 298 – the NBA Playoffs Are Here edition
    Apr 22 2022
    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
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    45 mins
  • Episode 297 - The Ng Convicted Edition

    Episode 297 - The Ng Convicted Edition
    Apr 15 2022
    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
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    53 mins
  • Episode 296 – the Slap Seen ‘Round the World edition

    Episode 296 – the Slap Seen ‘Round the World edition
    Apr 1 2022
    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
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    56 mins
  • Episode 296 – the Seeing Green edition

    Episode 296 – the Seeing Green edition
    Mar 25 2022
    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
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    24 mins
  • Episode 295 – the Baseball is Back edition

    Episode 295 – the Baseball is Back edition
    Mar 18 2022
    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
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    42 mins
  • Episode 294 - the Remember the Alamo edition

    Episode 294 - the Remember the Alamo edition
    Mar 11 2022
    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
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    51 mins