As we move from the worst and most corrupt President of all time to the Biden Administration and Jay and Rebecca celebrate their daughters ascension to womanhood, Tom and Jay are back to look at some of the top compliance articles and stories which caught their eye this week.

  1. What does the FinCEN enforcement action against Capital One mean for compliance? Jaclyn Jaeger in Compliance Week. (sub req’d) Matt Kelly explores on Radical Compliance. Tom and Matt take a deep dive on Compliance into the Weeds.
  2. The OFAC year in review. Mike Volkov takes a deep dive in Corruption Crime and Compliance.
  3. The Boeing Fraud enforcement action? Tom take a deep dive in the FCPA Compliance and Ethics Blog. Dylan Tokar in the WSJ Risk and Compliance Journal.
  4. Poaching now legal? Paul Weiss lawyers on NYU’s Compliance and Enforcement Blog.
  5. Wells Fargo ex-GC spanked. Jaclyn Jaeger in Compliance Week. (sub req’d)
  6. UAE to fight money-laundering. Jon Rausch (returns) in Dipping Through Geomotries.
  7. More Caremark claims coming? Kevin LaCroix in the D&O Diary.
  8. Are you an introverted compliance professional? Now may be the time for you. Dick Cassin explores on the FCPA Blog.
  9. A new month is here and a new guest on The Compliance Life. Gwen Hassan- Director of Compliance at CNH Industrial. In this month’s third episode, Gwen explains why every compliance professional needs to stay culturally curious. Check out the episode here.
  10. This month, on 31 Days to a More Effective Compliance Program, I look back over 2020 and set out some of the key enhancements you need to do for your compliance program in 2021. Day 16 | 3Rd Party Risk Management Process; Day 17 | Managing Your 3rd parties; Day 18 | Levels of Due Diligence; Day 19 | The Investigation Protocol; Day 20 | Responding to Investigative Findings; Day 21 | Continuous Improvement; Day 22 | Internal Reporting. Note 31 Days to a More Effective Compliance Program now has its own iTunes channel.
  11. Join K2 Integrity on January 27 to hear Olivia Allison and Joanne Taylor discuss the latest E
    U regulatory developments in whistleblowing programs and investigations. Information and Registration here.
  12. Compliance Week is accepting nominations for its Excellence in Compliance Award. Submit your nominee here.

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