As Tom watches the Astros inexorable march towards the World Series, he and Jay reflect on the difficulty of the NBA in navigating their Chinese waters, they then discuss some of this week’s top compliance and ethics stories which caught their collective eyes.

  1. DOJ announced new guidelines for determination of inability of a company to pay a fine or penalty.
  2. NBA steps in it in China. Chris Mannix on Daryl Morey’s original tweet that set off the firestorm.
  3. Named in a FCPA investigation? No defamation case for you. Hailey Connath reports.
  4. A new way to calculate SEC whistleblower awards. Amanda Rose discusses.
  5. What is the intersection of compliance and tech? (Answer-it’s all about culture). Mike Volkov opines.
  6. What is the CCO’s role in culture? Jay continues his 5-part series.
  7. Caremark duties extend to monitoring, not simply oversight. Kevin LaCroix explains.
  8. What is the interest group theory of anticorruption enforcement? Sean Griffin and Thomas Lee in a new article.
  9. What is the reverse agency problem for corp officers and directors? Asaf Eckstein and Gideon Parchomovsky opine.
  10. Listen in next week, where Jay joins Tom in a five-part podcast series exploring ethical culture in a corporation, sponsored by AMI. The lineup will be the following: Monday-What is Ethical Culture; Tuesday-Factors Influencing Ethical Culture; Wednesday-The Role of the CCO; Thursday Assessing Ethical Culture Friday- the Role of Ethical Culture in an Overall E&C Program. The podcast will be available on multiple sites: the FCPA Compliance Report, iTunes, JDSupra, Megaphone, YouTube,  Spotify and the Compliance Podcast Network.

Tom Fox is the Compliance Evangelist and can be reached at Jay Rosen is Mr. Monitor and can be reached at For more information on how an independent monitor can help improve your company’s ethics and compliance program, visit our sponsor Affiliated Monitors at