As Gary Gensler is confirmed to chair the SEC, Tom and Jay are back to look at this week’s stories top compliance and ethics stories which caught their interest on This Week in FCPA. We are joined by special guest Pat Harned to talk about the upcoming ECI Impact 2021.


  1. Environmental crime enforcement under the Biden Administration. Mike Volkov in Corruption Crime and Compliance.
  2. Jason Meyer on what the Masters means to him, on LinkedIn.
  3. Policies and Procedures not enough in compliance. Klaus Moosemeyer in the FCPA Blog.
  4. PCAOB charged with discrimination in suit. Aaron Nicodemus in Compliance Week. (sub req’d)
  5. AI in compliance. Shurti Shah and Joanthan Rusch in NYU’s Compliance and Enforcement Blog.
  6. What is audit fieldwork. Dr. Herman Murdock in XpertsLeague.
  7. DOJ to increase cross-border enforcement? Jon New and Patrick Campbell in CCI.
  8. Is moral leadership an art? Brett Beasley in Center for Ethical Leadership.
  9. FTC gearing up on enforcement. Get ready. Jaclyn Jaeger in Compliance Week. (sub req’d)
  10. More on ESG. Jonathan Marks in BoardandFraud. 

Podcasts and Events

  1. Tom and Megan Dougherty are doing a special podcast series around The Falcon and The Winter Soldier, currently streaming on Disney+. Check out Episodes 1&2, Episode 3, Episode 4.
  2. Check out the 5-part podcast series, sponsored by Lextegrity on the most cutting edge use of data analytics in compliance. All on the Compliance Podcast Network.
  3. This month on The Compliance Life, Tom welcomes Jonathon Kellerman. In Episode 1, Jonathon discusses the path he took to compliance. In Episode 2, he talks about his early professional career in healthcare compliance consulting.
  4. This week on The Compliance Handbook, I visit with AMI’s Vin DiCianni and Eric Feldman on the role of culture in compliance. Check outthe video podcast here.
  5. CCI releases a new eBook, The FCPA Year in Review by the Compliance Evangelist, Tom Fox. You can obtain a copy here. Best of all its available at no charge.
  6. Join Tom and Jay at ECI’s IMPACT 2021, which will be held virtually April 20-22. Listeners to this podcast will receive a 20% discount to the event. For more information and registration details click here. Use the code Tom20for your discount.
  7. Join K2 Integrity’s financial crimes compliance professionals on Thursday, 22 April 2021, at 10 AM ET for DOLFIN’s “Ask an Expert FINQuiry” webinar, for a discussion on the impact of ongoing developments in the financial integrity community. Information and Registration here. Third-party due diligence, through creative and comprehensive gathering of information and intelligence, can help organizations better assess the third-party and associated risks and identify areas of potential concern or opportunity that would otherwise have gone uncovered. Join K2 Integrity’s Anna Gumowska and Shannon Rainey on Wednesday, 21 April as they discuss scenarios in which third-party due diligence helped uncover areas of risk and opportunity for clients. Information and Registration here.
  8. Tom announces his latest book, The Compliance Handbook, 2nd edition is available for presale purchase. Use the code FOX25 and go hereThe Compliance Handbook 2ndedition will be available in both print and eBook editions. This week on The Compliance Handbook podcast, the ladies from #GWIC join Tom for a deep dive into written standards.

Tom Fox is the Voice of Compliance and can be reached at Jay Rosen is Mr. Monitor and can be reached at