Categories
Compliance Into the Weeds

Compliance into the Weeds: Southern Glazer’s NPA: How Remediation and ECCP Alignment Drove a Favorable Settlement

The award winning, 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. Looking for some hard-hitting insights on compliance? Look no further than Compliance into the Weeds! In this episode of Compliance into the Weeds, Tom Fox and Matt Kelly discuss the Southern Glazer NPA.

The Southern Glazer Wine and Spirits’ non-prosecution agreement is a rare example where prosecutors credited compliance program remediation, rather than self-disclosure or extensive cooperation, as central to a favorable outcome. Southern Glazer, the largest US liquor distributor, faced a major California kickback and bribery scheme involving five former employees, fabricated records, sham agreements, and luxury benefits to retailers and others, along with alleged tax impacts. The company resolved the matter with a $12.5 million payment and a two-year NPA requiring CEO and CCO certification of program effectiveness. Tom and Matt review how the NPA affirms DOJ’s Evaluation of Corporate Compliance Programs as still relevant and details remediation steps: major headcount and budget increases, upgraded compliance leadership, audits of marketing spend, enhanced training, strengthened third-party controls and AP payment blocks, outside reviews, and tone-at-the-top messaging.

Key Highlights

  • Southern Glazer Case Setup
  • Industry Risks And Scheme
  • ECCP Guidance Still Matters
  • Program Overhaul Timeline
  • Concrete Remediation Metrics
  • DOJ Signals Under Trump Era

 

Resources

Matt in Radical Compliance

 

Tom

Instagram

Facebook

YouTube

Twitter

LinkedIn

A multi-award winning podcast, Compliance into the Weeds was most recently honored as one of a Top 25 Regulatory Compliance Podcast and a Top 10 Business Law Podcast, and a Top 12 Risk Management Podcast. Compliance into the Weeds has been conferred a Davey, Communicator and w3 Award, all for podcast excellence.

Categories
AI Today in 5

AI Today in 5: September 30, 2026 the Into Orbit Edition

Welcome to AI Today in 5, the newest edition to the Compliance Podcast Network. Each day, I will bring to you 5 stories about AI stories to start your day. Sit back, enjoy a cup of morning coffee and listen in to the AI Today In 5. All, from the Compliance Podcast Network. Each day we consider four stories from the business world, compliance, ethics, risk management, leadership or general interest about AI.

  1. Space based property management oversight.(FinTechGlobal)
  2. OpenAI scraps Astra release. (NYT)
  3. The AI data squeeze. (LawAsia)
  4. Compliance lessons on AI in debt collection.  (InsideARM)
  5. Using AI to monetize compliance. (CRN)

My first work of general non-fiction is now out: Deluge Before Dawn, the story of the 2025 flood in Kerr County Texas which killed 119 people and devastated a county. It is a story of tragedy, heartbreak, survival and resilience. It is available on the following sites:

 Amazon.com

Stoney Creek Publishing

Barnes and Noble

Texas A&M University Press

Bookshop.org

Google.Books

Walmart

Categories
Daily Compliance News

Daily Compliance News: September 30, 2026 the End Of Q3 Edition

Welcome to the Daily Compliance News. Each day, Tom Fox, the Voice of Compliance brings to you compliance related stories to start your day. Sit back, enjoy a cup of morning coffee and listen in to the Daily Compliance News. All, from the Compliance Podcast Network. Each day we consider four stories from the business world, compliance, ethics, risk management, leadership or general interest for the compliance professional.

  • Barclay’s backs on RTO mandate.(FT)
  • OpenAI scraps Astra over security concerns. (WSJ)
  • Obstacles to EU ABC enforcement.   (JustSecurity)
  • US bans Canadian bikes, milk and booze. (NYT)

My first work of general non-fiction is now out: Deluge Before Dawn, the story of the 2025 flood in Kerr County Texas which killed 119 people and devastated a county. It is a story of tragedy, heartbreak, survival and resilience. It is available on the following sites:

 Amazon.com

Stoney Creek Publishing

Barnes and Noble

Texas A&M University Press

Bookshop.org

Google.Books

Walmart

Categories
Great Women in Compliance

Great Women in Compliance: After Someone Speaks: Employee Voice, Trust and What Happens Next

In this episode of Great Women in Compliance, co-host Dr. Hemma R. Lomax sits down with Rebecca Taylor, HR leader, entrepreneur, community builder, and host of the HR Voices podcast, to talk about employee voice, trust, culture, leadership, and the future of employee relations.

Rebecca shares what more than a decade in HR has taught her about difficult workplace decisions, the signals hidden beneath complaints, and why what happens after someone speaks matters just as much as creating the space for them to speak in the first place.

Highlights include:

  • Why employees are the culture and voice is one of its most important signals.
  • Why difficult workplace situations often contain multiple truths at once.
  • How leaders can build trust by explaining the reasoning behind decisions.
  • Why complaints and hotline reports should be treated as useful data, not noise.
  • How HR and compliance professionals can influence leaders by meeting them where they are.
  • How AI can bring richer context to employee relations by connecting fragmented workplace data.

Hemma promised to share a link to Rebecca’s integrity anthem: Starálfur” by Sigur Rós, from the album Ágætis byrjun. Check it out here. Starálfur, or Ágætis byrjun—Sigur Rós official site here: https://sigurros.com/music/agaetis-byrjun/

About Rebecca Taylor

Rebecca Taylor is a people and workplace leader with more than a decade of experience across HR, employee relations, leadership, coaching, and workplace technology. She is the former co-founder and COO of SkillCycle, a coaching platform built for the AI era, and today leads community and content at AllVoices, an AI-native employee relations platform. She also hosts the HR Voices podcast, where she speaks with practitioners working through the realities of modern HR and employee relations.

Rebecca is passionate about employee voice, workplace culture, community, and helping organizations understand the human context behind the signals their people provide. A lifelong writer and former college DJ, she has built a career around listening closely, asking what sits beneath the surface, and connecting people and ideas across the workplace.

Categories
FCPA Compliance Report

Natural Disaster Expo 2026 Speaker Series: Leading Through a Disaster: Dalton Rice on Lessons from Back-to-Back 1000-Year Floods

Welcome to Natural Disasters Expo Houston! For its fifth year, Natural Disasters Expo USA comes back to Houston on October 14–15, 2026, at the George R. Brown Convention Center. And there’s no better place for it. This city knows what it takes to prepare for disasters, respond, and rebuild afterward.

For two days, industry leaders, government agencies, first responders, and resilience professionals will come together with one shared goal: helping communities weather the next storm stronger than the last. Explore new solutions and technology, learn from experts who have been on the front lines, and meet the partners who will help you turn preparedness into action. Whether you’re here to learn, share, or collaborate, you’re part of the effort to build a more resilient nation.

In this speaker series, Tom Fox interviews Dalton Rice, City Manager of Kerrville, ahead of the Natural Disaster Expo 2026, where Rice will speak on “Leading Through a Disaster: Hill Country Floods 2025.”

Rice previews a leadership-focused talk on how individuals and organizations navigate disasters, emphasizing immediate mental health support, burnout prevention, and adapting operations while continuing to run cities and departments. He plans to incorporate lessons from Kerrville’s July 4, 2025, flood and a second major flood on July 16, 2026, noting differences between fatality events and devastation-only disasters and how politics, resources, and pace of response affect outcomes. Rice says he values the conference for networking and building a “Rolodex” of peers, and he explains his goal of creating practical guidance for city managers, including challenges such as legislative dynamics, IT issues, hate mail, death threats, and separating disaster response from organizational operations.

Key highlights:

  • Dalton Rice Role and Background
  • Talk Preview: Leading Disaster
  • Back-to-Back Flood Lessons
  • Resilience Mindset and Burnout
  • Conference Goals: Networking
  • Why Share Lessons Learned

Resources:

Dalton Rice Profile

Natural Disasters Expo USA

Get your Ticket

Conference Agenda

Speakers 2026