Jay returns from his travels to report on the 1st compliance conference since 2019. He and Tom unpack some of the stories that caught their collective eye on the Heading to October edition.


1.     ESG and Compliance. Mike Volkov on the ‘G’ in ESG. Tom has a 5-part series on why compliance should lead the ESG effort in the FCPA Compliance and Ethics Blog.

2.     Asking more of your auditors. Neil Hodge in Compliance Week (sub req’d)

3.     ISO weighs in on good governance standards. Dylan Tokar in the WSJ Risk and Compliance Journal.

4.     Regulating the wild west of crypto. Henry Kronk in CCI.

5.     Which Mozambique countenance or prosecute its President’s corruption? Rick Messick in GAB.

6.     Making the most from your risk assessment? Jeff Kaplan in the FCPA Blog.

7.     What is a criminal COI? Sara Kropf in Grand Jury Target.

8.     Revisiting whistleblower procedures. Wachtel Lipton lawyers in Harvard Law School Forum on Corporate Governance.

9.     The SEC investigation into Activision. Professor Stephen Bainbridge in his blog.

10.  Jay’s reflections on the first compliance conference since 2019.

Podcasts and Events

11.  CCI surveying stress in compliance. Henry Kronk in CCI. Take the survey here

12.  Check out the latest addition to the Compliance Podcast Network, A Yank at Oxford. It details the journey of Foley & Lardner partner David Simon as he heads back to university to matriculate for a MBA at Oxford.

13.  Are you exasperated? Then check out the latest offering from the Compliance Podcast Network, F*ing Argentina. In this podcast series co-hosts Tom Fox and Gregg Greenberg, author of F* 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 Episode 1, the dreaded Parent Meeting night at your child’s elementary school. In Episode 2, why F*ing Argentina?

14.  Jay spreads his wings by hosting his first podcast. He interviews Lisa Beth Lentini Walker and Stef Tschida about their new book, Raise Your Game, Not Your Voice, on this episode of Integrity Through Compliance.

15.  K2 Integrity is partnering with the DIFC Academy for a webinar, “Virtual Assets and FATF Guidelines—A Risk-Based Approach for Financial Institutions,” on September 28, 2021. Registration and Information here.

16.  Join Jay, Tom and the top E&C professionals at Converge21, a virtual conference on October 12 & 13. Registration and information here. Here some of the panelists discuss their presentation on the Converge21 podcasts. Wendy Badger and Philip Winterburn.

17.  Ethisphere’s World Most Ethical Company awards for 2022 are open for submission. For more information on the Application Process, click here.

18.  Breaking News features The Compliance Handbook, 2nd edition. Check out the Breaking News feature here. Purchase The Compliance Handbook, 2nd edition 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.