As Tom steadies himself for the Astros to head to Washington and the Nationals home park, he and Jay reflect on some of this week’s top compliance and ethics stories which caught their collective eyes.

  1. SEC examiner (allegedly) steals confidential information on company investigation, then leaves SEC to become company’s CCO. Dylan Tokar reports in WSJ. Matt Kelly opines in Radical Compliance.
  2. What are the data privacy considerations in investigations. Cleary Gottleib lawyers in NYU’s Compliance and Enforcement
  3. Are you looking at your 3rd parties for data protection issues? Adam Hill in NYU’s Compliance and Enforcement
  4. What are the stakes for corporate wrongdoers? Dan Portnoy in the Grand Jury Target.
  5. What are 5 common weaknesses in OFAC Compliance programs. Mike Volkov explains in Navex Global’s Ethics and Compliance Matters
  6. Whats, whys and hows in M&A assessment. Jay starts a new series on CCI.
  7. Why is understanding behavioral science critical for a compliance programs? Jeff Kaplan dissects it in the FCPA Blog.
  8. Why is a speak up culture hard to find. Dick Cassin explains in the FCPA Blog.
  9. AI and internal audits. Kevin Alvero and Randy Pierson on CCI.
  10. Avanir engages in corruption in the US. Not FCPA but FCA violation. Mike Volkov explains on Corruption, Crime and Compliance.
  11. Tom had a great group of top notch podcasts, on the CPN this week. Check out the following lineup: FCPA Compliance Report– Francine McKenna on the KPMG-PCAOB mess; Innovation in Compliance-ReThink Compliance on why content is still king in compliance; #GWIC with Barbara Petitti; 12 O’Clock High– how the leadership of JP Morgan halted the Panic of 1907; Life with GDPR– Brexit and Compliance. The podcast will be available on multiple sites: the FCPA Compliance Report, iTunes, JDSupra, Megaphone, YouTube,  Spotify and theCompliance Podcast Network.

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

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