As Texas prepares for a wide open (and mask-free) Spring Break and St. Patty’s Day, Tom and Jay look at this week’s stories top compliance and ethics stories which caught their interest on This Week in FCPA.


  1. Increase in SEC penalties coming? Matt Kelly in Radical Compliance.
  2. Why don’t more employees speak up? Vera Cherepanova in the FCPA Blog.
  3. What happens when you have a regulartory sand box? Neil Hodge in Compliance Week. (sub req’d)
  4. First DFS cyber breach resolution. Debevoise lawyers in NYU Compliance and Enforcement Blog.
  5. The continuing wreckage of the Solar Winds hack. Mike Volkov in Crime Corruption and Compliance.
  6. What is the state of your DEI program. Chai Feldblum and Emily Cuneo DeSmedt in Navex Global’s Risk and Compliance Matters Blog.
  7. Are you too old to be in compliance? Dick Cassin the FCPA Blog.
  8. DOJ ramps up FCPA enforcement fire power. Dylan Tokar in the WSJ Risk and Complaince Journal.

Podcasts and Events

  1. On The Compliance Life, Rob Chesnut joins me for the month of March. In the first episode, In Episode 1, Rob talks about his academic career at UVA and how its Honor Code influenced his thinking about ethics in his professional career and his his career as an AUSA. In Episode 2, Rob moves cross country to join eBay.
  2. Microsoft joins the Compliance Podcast Network, with two podcasts, Voice of Data Protection and Uncovering Hidden Risks. In Episode 2 of Voices of Data Protection, Bhavanesh Rengarajan discusses information protection strategies. In Episode 2 of Uncovering Hidden Risks, Raman Kalyan Talhah Mir consider how to determine your next insider risk.
  3. Cordery Compliance joins the Compliance Podcast Network with its Cordery Head to Head podcast. In this episode, Jonathan Armstrong visits with Prof. Eric Sinrod as they look ahead at what 2021 might mean for the world of technology. Check it out here.
  4. Episode 4 of Integrity Through Compliance.This podcast will focus on the role of an independent monitor.  You will hear from two of my AMI colleagues who are experts in corporate compliance and ethics, Senior Vice President, Eric Feldman and Managing Director, Mikhail Reider-Gordon who provide practical advice about the benefits of having an independent monitor.  Check it out here.
  5. Join K2 Integrity’s financial crimes risk and compliance experts on March 18 as they discuss the impact of ongoing developments in the financial integrity community. Topics will include: Regulatory trends and predictions for 2021 and beyond, Changes in the AML/CFT and ABC landscape, and Implications of evolving OFAC sanctions programs. Information and registration here.
  6. 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