As the (non-cheating) Houston Astros attempt to return to the World Series, Tom and Jay are back to look at top compliance articles and stories which caught their eye this week.

  1. J&F Investments settles FCPA criminal case. Harry Cassin (as usual) breaks the story in FCPA Blog.
  2. Why third-party due diligence is an ongoing exercise. Mike Volkov in Corruption Crime and Compliance. Jim Nortz takes a deep dive into 3rd party risk management in Part 1 of a six-part series on CCI.
  3. Citigroup spanked for $400MM by OCC and the Fed. Matt Kelly with a double dive on Radical Compliance (Part 1 & Part 2). Matt and Tom take a deep dive on Compliance into the Weeds.
  4. Ephemeral messaging frowned upon by SEC. Jonathan Marks in Board and Fraud.
  5. The WEF’s ESG reporting now includes anti-corruption metrics. Worth MacMurray and Elaine Dezenski in the FCPA Blog.
  6. Supply Chains under more scrutiny. Vera Cherepanova in Navex Global’s Risk and Compliance Matters.
  7. Some open-door tales. Richard Leisner with a guest post on the D&O Diary.
  8. Do the FinCen Papers show we need an AM whistleblower protection program? Hamsa Mahendranathan in NYU Compliance and Enforcement Blog.
  9. On the Compliance Podcast Network, on 31 Days to a More Effective Compliance Program, we continue our exploration of compliance for Business Ventures. Monday-Safe Harbor in M&A; Tuesday-Pre-acquisition DD, the business perspective (with special guest Vin DiCianni); Wednesday– Pre-acquisition risk assessment; Thursday– Pre-acquisition due diligence; Friday-Integrating post acquisition (with special guest Eric Feldman). Note 31 Days to a More Effective Compliance Program now has its own iTunes channel. If you want to binge out and listen to only these episodes, click here.
  10. Join Tom and Sam Silverstein for an Executive Forum on Ethics and Accountability on October 28, 2020 12-1 PM CT. Check at the agenda and register here.
  11. Join Tom, Holly Sais Phillippi, Head of Americas Risk Sales, Refinitiv and Kelly M. Slavitt in a Refinitiv sponsored webinar, The Future of Due Diligence: Third-Party Risk in the Era of COVID-19, Tuesday, October 27, 1-2 PM CT. Check at the agenda and register here.
  12. Check out the Navex Next 9th Annual Risk & Compliance Virtual Conference event Beyond the Moment October 22 from 10 AM to 4 PM. Check at the agenda and register here.

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