As Joe Biden is formally elected President by the Electoral College and the Covid-19 vaccine arrives in spite of blunders by the Trump Administration; Tom and Jay are back to look at some of the top compliance articles and stories which caught their eye this week.

  1. The Good, the Bad and the Missing. Dick Cassin with his three top stories in 2020 on the FCPA Blog.
  2. Are you ready for the EU Whistleblower Directive? Cédric Dubar considers in the FCPA Blog.
  3. Using data analytics for the BOD and still satisfying the regulators. 6 CCOs opine in Compliance Week (sub req’d)
  4. What are 7 principles of ethical leadership? Yonason Goldson in CCI.
  5. Leadership failures around sexual harassment at Ft. Hood. Matt Kelly on Radical Compliance. Tom and Matt take gut-wrenching deep dive on Compliance into the Weeds, with special guest Diane St. Ives, who relates her experiences from 40 years ago.
  6. The SEC and SARs. Thomas Gorman on SEC Enforcement
  7. Congress approves new AML law. Jack Hagel in the WSJ Risk & Compliance Journal.
  8. Ephemeral messaging. Debevoise and Plimpton Data Blog.
  9. A new month is here and a new guest on The Compliance Life. Kim Yapchai, Chief Counsel – Environmental, Social & Governance at Tenneco Inc. In this week’s third episode, Kim moves into the CCO chair. Check out the episode here. Check out the full series here.
  10. My podcast with Mikhail Reider-Gordon on Wirecard was so popular we spun it out into its own series, The Wirecard Saga. Check out the latest episode, Who Watches the Watchers.
  11. On 31 Days to a More Effective Compliance Program, we consider Training and Communications. Monday, Communication through persuasion; Tuesday– Multiplying the influence of compliance; Wednesday– Communicating Across Cultural Boundaries; Thursday– Asking questions to boost your compliance program; Friday– Twitter and 360-degrees of communication. Note 31 Days to a More Effective Compliance Program now has its own iTunes channel.
  12. Interested in podcasting? Find out the top trends with this replay of Tom and Megan Dougherty of One Stone Creative in their webinar on the State of Podcasting 2020. Listen to the full webinar here. Want some pointers on designing and starting a podcast, check out this great new report from Megan Dougherty, co-founder of my producing team at One Stone Creative, The State of Business Podcasts, 2020.

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