show episodes
 
Tom Fox has practiced law in Houston for 30 years and now brings you the FCPA Compliance and Ethics Report. Learn the latest in anti-corruption and anti-bribery compliance and international transaction issues, as well as business solutions to compliance problems.
 
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This Week in FCPA--Audio Version
 
This Week in FCPA--Audio Version
 
Cost-shifting allows the expensive burden of e-discovery to be shifted to the adversary requesting the discovery. But case law isn’t settled.
 
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show series
 
Over this five-part podcast series, I am visiting visit with Vincent DiCianni, founder and Chief Executive Officer (CEO), and Eric Feldman, Senior Vice President both of Affiliated Monitors, Inc. (AMI), the sponsor of this series. In it, we explore corporate culture and its relationship to ethics and compliance. In this third episode I visit wi ...…
 
Over these five podcast episodes, I have been visiting with Vin DiCianni, founder and CEO and Eric Feldman, Senior Vice President both of Affiliated Monitors, Inc., who is the sponsor of this series. In it, we have explored corporation culture and its relationship to ethics and compliance. In this fourth episode, I visit with Feldman on how a c ...…
 
Over the past five podcasts, I have visited with Vin DiCianni, founder and CEO and Eric Feldman, Senior Vice President both of Affiliated Monitors, Inc., who is the sponsor of this series. In it, we explored an organization’s ethical culture and its relationship to ethics and compliance. In this fifth and final episode I visit with DiCianni on ...…
 
In this episode, I visit with Jonathan Marks, a partner at Baker & Tilly. This podcast part of my Land of 1000 podcasts celebration. In this special series of podcasts I am reviewing the growth, maturation and development of topics over the past five years. Marks visits with my about some of the key developments in the field in forensic investi ...…
 
Over the past few months, senior leaders at both the Department of Justice (DOJ), Deputy Attorney General Rod Rosenstein and Securities and Exchange Commission (SEC) Chairman Jay Clayton, have given speeches discussing the need for appropriate corporate culture around compliance. We therefore begin with the question of ‘what is corporate cultur ...…
 
Over the next five episodes, I visit with Vin DiCianni, founder and CEO and Eric Feldman, Senior Vice President both of Affiliated Monitors, Inc., who is the sponsor of this series. In it, we explore corporation culture and its relationship to ethics and compliance. In this second episode I visit with DiCianni on what some of the factors are wh ...…
 
Compliance into the Weeds is the only weekly podcast which takes a deep dive into a compliance related topic, literally going into the weeds to more fully explore a subject. In this episode, Matt Kelly and I take a very deep dive the implications from President Trump’s tweet on Friday, August 17th about quarterly financial reporting by public c ...…
 
Jay is on an Alaskan Disney cruise with the family. Through the prism of Trump’s attacks on the US free press and their robust response, Tom takes a solo look at some of the top compliance stories from the past week. Jay returns next week. What is the role of a free press in the fight against bribery and corruption? I explore in an article for ...…
 
To celebrate the Month of 1000 podcasts I am running for each of my podcasts this month, in this episode, the Everything Compliance gang focuses on the past five years; giving a retrospective of where we were, where we are and where we are going from their own perspectives. After the commentary we follow with rants and shout outs. Matt Kelly co ...…
 
Compliance into the Weeds is the only weekly podcast which takes a deep dive into a compliance related topic, literally going into the weeds to more fully explore a subject. In this episode, Matt Kelly and I take a very deep dive into the upcoming changes into a question posed by Jonathan Marks at the GHBER Summer Members Workshop, “What is a c ...…
 
Over the next five podcasts, Matt Kelly and I will be exploring the future of internal audit, compliance and analytics. In Part I, we introduce the topic, explaining why internal audit (IA) is in the midst of a profound transformation, how this transformation will enable to move past its traditional detect function into a more proactive prevent ...…
 
In this special five-podcasts series, Matt Kelly and I are exploring the future of internal audit (IA), compliance and analytics. In Part II, we go through the three steps of evolution that an IA function must traverse so that it can move beyond its traditional audit duties under Sarbanes-Oxley (SOX) compliance and testing of financial controls ...…
 
In this special five-podcasts series, Matt Kelly and I are exploring the future of internal audit (IA), compliance and analytics. For Part III, we consider three examples of how a framework of a risk management process could be used. The examples are (1) Invoice before PO; (2) Travel and Entertainment (T&E) spending at $49; and (3) Hotline metr ...…
 
In this special five-podcasts series, Matt Kelly and I are exploring the future of internal audit (IA), compliance and analytics. In Part IV, we consider the new relationships which can be created based upon the evolution of IA. These changes will allow IA to work more closely with 1stand 2nd lines of defense. However, how does your organizatio ...…
 
In this special five-podcasts series, Matt Kelly and I have been exploring the future of internal audit (IA), compliance and analytics. In the final episode, Part V, we discuss how IA can get started and provide some concluding remarks. We consider whether the technology is here today to implement the suggestions put forward this week. Can (or ...…
 
In this episode, I visit with Ellen Hunt, the Chief Audit Executive and Ethics & Compliance Officer at AARP. She is a lawyer and ethics & compliance professional with extensive management experience in designing, implementing and operating ethics and compliance programs including board governance and reporting, designing ethics education, manag ...…
 
Having watched his beloved BoSox sweep the hated Yankees in a 4 game set in Fenway Park, Jay is back from a well-earned vacation. He and Tom look at some of the top compliance stories from the past week. Ben we hardly knew ye. Ben DiPietro announces his retirement from the WSJ Risk and Compliance Journal via Twitter. Mike Volkov continues his e ...…
 
The General Data Protection Regulation (GDPR) went live on May 25, 2018. What has happened since then in the data privacy and data protection world? In this episode, Jonathan Armstrong, partner at Cordery Compliance and I explore what is going on publicly and what has been going on behind the scenes as well. Armstrong provides his thoughts, ref ...…
 
In this episode, we consider the leadership lessons from Mark Zuckerberg’s Congressional testimonies before the Senate and Wednesday before the House. We consider his effectiveness in answering the questions and how it positioned Facebook going forward with Congress, the regulators and the public. Some of the questions we considered are: Made a ...…
 
Compliance into the Weeds is the only weekly podcast which takes a deep dive into a compliance related topic, literally going into the weeds to more fully explore a subject. In this episode, Matt Kelly and I take a very deep dive into the upcoming changes in lease accounting treatment. While this may not seem like a compliance related topic, it ...…
 
What is the purpose of rehabilitation in a best practices compliance program? In this episode, I use the recent trade by the Houston Astros for closer Roberto Osuna last week as an introduction into several areas around compliance, discipline, punishment and zero tolerance. Osuna had been charged with violating the Major League Baseball (MLB) p ...…
 
With the MLB July 31 trade deadline come and gone, what does zero tolerance mean for the Astros? Jay is out on a well-earned vacation this week so Tom does a solo show and looks at some of the top compliance stories from the past week. The Houston Astros trade for Jose Oseuna from Toronto. He is one a 75 game suspension for violation of MLB dom ...…
 
As we begin the dog days of summer and the long spell between July 4thand Labor Day, the Everything Compliance gang returns to its four focused topics. After the commentary we follow with rants. Matt Kelly considers Trump’s move to politicize the selection process for administrative law judges what this might mean for agency enforcement going f ...…
 
Compliance into the Weeds is the only weekly podcast which takes a deep dive into a compliance related topic, literally going into the weeds to more fully explore a subject. In this episode, Matt Kelly and I take a deep dive into a recent speech by Deputy Assistant Attorney General Matthew Miner where he highlighted the new Justice Department f ...…
 
How do you measure the impact of your ethics and compliance program? In the new the second of its four-part series of the Global Business Ethics Survey for calendar year 2018, the Ethics and Compliance Initiative (ECI) have released the report, “Measuring the Impact of E&C Programs” which shows you how to do just that. In this podcast, I visit ...…
 
With the MLB July 31 trade deadline almost upon us, the Yankees, Indians and Dodgers have significantly upgraded their programs, will the Red Sox and Astros do so? Jay and Tom consider this and take a look at some of the top compliance stories from the past week. Lots about AI, data analytics and compliance this week. Tom has a three part serie ...…
 
In this episode of Across the Board, I visit with Amii Barnard-Bahn. She is a strategic advisor to Boards of Director and executive coach many C-Suite members. She specializes in accelerating the success of C-Suite executives and partner with leaders and teams to help scale their business. She has shaped company culture and strategic initiative ...…
 
Compliance into the Weeds is the only weekly podcast which takes a deep dive into a compliance related topic, literally going into the weeds to more fully explore a subject. In this episode, Matt Kelly and I take a deep dive into the imbroglio Salesforce found itself in when it came out the company did work for ICE. We use this dialogue as a st ...…
 
What is the most famous line in Shakespeare about lawyers? That is an easy one because lawyer-haters across the world (and lawyer-lovers as well) know it - First thing we do is kill all the lawyers. It comes from Henry IV, Part II. Most lawyers understand that by killing all the lawyers, it will create an atmosphere that would allow for tyranny ...…
 
This week I am celebrating the intersection of Shakespeare and compliance with a week-long podcast series on the Bard & Compliance. Most people remember the St. Crispin’s Day speech in Henry V as one of the greatest speeches in all of Shakespeare. However many people do not focus on what led to that speech which was that Henry went out among hi ...…
 
This week I am celebrating the intersection of Shakespeare and compliance with a week-long podcast series on the Bard & Compliance. How does Shakespeare portend social media in the 21stcentury? I would submit that one only need look at Much Ado About Nothingto see how it should all play out. As with all Shakespeare’s plays there is quite a bit ...…
 
This week I am celebrating the intersection of Shakespeare and compliance with a week-long podcast series on the Bard & Compliance. Which play in Shakespeare’s cannon presents the biggest clash of cultures, which leads to the most catastrophic result? I would have to opine Othello, one of the great tragedies in all of Shakespeare. Othello, a Mo ...…
 
I conclude my week-long podcast series on compliance lessons from Shakespeare and by using my favorite character in all his work. He is The Fool from King Lear. Of Shakespeare’s many theatrical innovations, his transformation of The Fool from the Renaissance Court Jester of songs, music, storytelling, medieval satire and physical comedy to comm ...…
 
In the new the most recent issue of Fraud Magazine, three authors, Scott Fleming, Jonathan T. Marks, and Richard Riley, presented the article “Meta Model of Fraud”. In this piece, the authors acknowledge that the Fraud Triangle is tried and true, but feel the need for more tools to more to understand fraud cases. The authors go on to describe a ...…
 
With Papa John founder, former CEO and (now) former Chairman of the Board channeling his inner Donald Trump in saying he really didn’t mean to resign, it is time to take a look at some of the top compliance stories from the past week. John Schnatter, founder, former PapaJohn Chairman and former CEO now says he really didn’t mean to resign from ...…
 
This week the gang returns to its four focused topics. After the commentary we follow with rants. Matt Kelly is now convinced that the Trump Risk is a real thing. How can compliance professionals help companies in the age where reputational issues can arise literally with one tweet by the President or one administration policy which goes south? ...…
 
Compliance into the Weeds is the only weekly podcast which takes a deep dive into a compliance related topic, literally going into the weeds to more fully explore a subject. In this episode, Matt Kelly and I take a deep dive into a debate started when Michigan State University Interim President John Engler said that the role of compliance is to ...…
 
Over this five part series I have been visiting with Caterina Bulgarella on the recently released white paper by SAI Global, entitled “Predicting Risk: A Strategic Culture Framework for the C-Suite” (the “white Paper”). Bulgarella is a cultural architect and ethics collaborator with SAI Global and the author of the white paper. In the paper, sh ...…
 
I am joined in this five-part series by Caterina Bulgarella. We are discussing the recently released white paper by SAI Global, entitled “Predicting Risk: A Strategic Culture Framework for the C-Suite” (the “White Paper”). Bulgarella is a cultural architect and ethics collaborator with SAI Global and the author of the white paper. In this white ...…
 
Over this five part series I am visiting with Caterina Bulgarella on the recently released white paper by SAI Global, entitled “Predicting Risk: A Strategic Culture Framework for the C-Suite”(the “White Paper”). Bulgarella is a cultural architect and ethics collaborator with SAI Global and the author of the white paper. In the white paper, she ...…
 
Over this five-part series I, visit with Caterina Bulgarella on the recently released white paper by SAI Global, entitled “Predicting Risk: A Strategic Culture Framework for the C-Suite” (the “White Paper”). Bulgarella is a cultural architect and ethics collaborator with SAI and the author of the white paper. In this white paper, she introduces ...…
 
Over a five-part series I will visit with Caterina Bulgarella on the recently released white paper by SAI Global, entitled “Predicting Risk: A Strategic Culture Framework for the C-Suite” (the “White Paper”). Bulgarella is a cultural architect and ethics collaborator with SAI and the author of the white paper. In this white paper, she introduce ...…
 
In the new FCPA Corporate Enforcement Policy, it stated that as one of the items required for a company to receive full credit for timely and appropriate remediation, “Appropriate retention of business records, and prohibiting the improper destruction or deletion of business records, including prohibiting employees from using software that gene ...…
 
While dodging black cats, open ladders and broken mirrors, Jay Rosen and myself are back on this Friday the 13thto take a look at some of the top compliance stories from the past week. Want to take a deep dive into the Credit Suisse FCPA enforcement action? Check out Tom’s 3-blog post series (Part I, Part IIand Part III) and Mike Volkov’s two-p ...…
 
Over this five-part podcast series, I have been taking a deep dive into healthcare monitoring and how the pro-active use of a healthcare monitor can positively impact all stakeholders in the healthcare industry: the regulators, the healthcare industry and the consumers of healthcare services, the public. I have been joined in this exploration b ...…
 
In this five-part podcast series, I am taking a deep dive into healthcare monitoring and how the pro-active use of a healthcare monitor can positively impact all stakeholders in the healthcare industry: the regulators, the healthcare industry and the consumers of health care services, the public. I am joined in this exploration with two individ ...…
 
In this five-part podcast series, I am taking a deep dive into healthcare monitoring and how the pro-active use of a healthcare monitor can positively impact all stakeholders in the healthcare industry: the regulators, the healthcare industry and the consumers of healthcare services, the public. I am joined in this exploration with two individu ...…
 
In this five-part podcast series, I am taking a deep dive into healthcare monitoring and how the pro-active use of a healthcare monitor can positively impact all stakeholders in the healthcare industry: the regulators, the healthcare industry and the consumers of health care services, the public. I am joined in this exploration with two individ ...…
 
In this five part podcast series, I will be taking a deep dive into health care monitoring and how the pro-active use of a health care monitor can positively impact all stakeholders in the healthcare industry: the regulators, the health care industry and the consumers of health care services, the public. I am joined in this exploration with two ...…
 
In this episode I podcast favorite James Koukios returns to discuss some of the highlights from the Morriston and Foerster newsletter on Top Ten International Anti-Corruption Developments for April 2018. Some of the highlights include: D&B Declination for FCPA violation-how did the company get such a great result? IMF “Steps Up” Engagement on G ...…
 
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