As March Madness descends upon us in the bubble this year, Tom and Jay look at this week’s stories top compliance and ethics stories which caught their interest on This Week in FCPA.


  1. Retaliation against whistleblowers on the rise. Tom interviews Pat Harned on the FCPA Compliance Report.
  2. Novaris announces a new ABC compliance program. Harry Cassin in the FCPA Blog.
  3. Expect closer cooperation between DOJ and SFO. Neil Hodge in Compliance Week. (sub req’d)
  4. Developments in state of New York antitrust law. WilmerHale lawyers in NYU Compliance and Enforcement Blog.
  5. NatWest facing criminal charges in UK over money-laundering. Mengqi Sun in WSJ Risk and Compliance Journal.
  6. Due Diligence and SCRM. Matt Kelly in Navex Global’s Risk and Compliance Matters Blog.
  7. Braskem investigates bribery of Pemex official in Mexico. Dylan Tokar in WSJ Risk and Compliance Journal.
  8. Here be the Dragon for Internal Audit. Ali Noor in XpertsLeague.
  9. Continuous monitoring through continuous auditing. Jonathan Marks in Board and Fraud.
  10. What do BODs and senior execs see as the top risks for 2021. Jim Deloach in CCI. Charles Mitchell in the Harvard Law School Forum on Corp Governance.

 Podcasts and Events

  1. On The Compliance Life, Rob Chesnut joins me for the month of March. In the first episode, In Episode 1, Rob talks about his academic career at UVA and how its Honor Code influenced his thinking about ethics in his professional career and his his career as an AUSA. In Episode 2, Rob moves cross country to join eBay. In Episode 3, Rob talks about moving into the Chief Ethics Officer role at Airbnb.
  2. Microsoft has joined the Compliance Podcast Network, with two podcasts, Voice of Data Protection and Uncovering Hidden Risks. In Episode 3 of Voices of Data Protection, Bhavanesh Rengarajan discusses the value of information governance. In Episode 3 of Uncovering Hidden Risks, Raman Kalyan Talhah Mir consider using HR data to uncover insider risk.
  3. Check out some hoops and ethics in the 2021 Ethics Madness during the first day of March Information and registration here.
  4. In a special five-part podcast series, I visited with Pat Harned, President of Ethics & Compliance Initiative (ECI), about the organization’s 2021 Global Business Ethics Survey. In Episode 1, we review some of the key trends. In Episode 2, we review the key findings. In this Episode 3, we take up the most troubling finding in the GBES; that being the huge uptick in retaliation. In Episode 4, we consider the impact of Covid-19 on compliance. We conclude with Episode 5 on Conclusions and Recommendations. Full series available on iTunes here.
  5. Tom announces his latest book, The Compliance Handbook, 2nd edition is available for presale purchase. Use the code FOX25 and go hereThe Compliance Handbook 2ndedition will be available in both print and eBook editions. This week on The Compliance Handbook podcast, the ladies from #GWIC join Tom for a deep dive into written standards.

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