The first week of the New Year brings James Bond into the world of corporate governance and compliance. Jay wonders if the Patriots run is at an end. The lads then turn to consider some of this abbreviated week’s top compliance and ethics stories which caught their collective eyes.

  1. Carlos Ghson flees captivity in Japan. WSJ on the escape. NYT on who will buy the movie rights. (Early candidate to write the screenplay-Jay Rosen?)
  2. What were some of the top compliance failures for 2019? Jaclyn Jaeger weighs in on Compliance Week. (Sub Req’d)
  3. Who were some of the compliance winners from 2019? Kyle Brassur opines in Compliance Week. (Sub Req’d)
  4. Does compliance have a dark side? Jeff Kaplan considers in the Conflict of Interest
  5. What is the combination of monitoring and compliance. Jay explores in CCI.
  6. What is the danger of fraudulent access requests under the CCPA? Davis Polk in the NYU Compliance and Enforcement blog.
  7. What is the difference in public company governance and JV governance? James Bamford, Tracy Branding and Lois D’Costa in Harvard Law School Forum on Corporate Goverance.
  8. Corruption returning to South America? Ernesto Londoño and Letícia Casado report in the NYT.
  9. Exxon overturns OFAC fine for doing business with sanctioned individual. Dylan Tokar in the WSJ Risk and Complaince Journal.
  10. On the Compliance Podcast Network, Tom premiers 31 Days to a More Effective Compliance Program. Day 1 detailed what 2019 brought to compliance ; Day 2 tackles measurement of risk; Day 3 deals with leadership’s conduct at the top; Day 4 discusses moving tone down in an organization; Day 5 considers the Board of Directors and operationalizing compliance.

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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