As the Baylor Bears win their first NCAA BB title and Ethisphere’s annual Global Ethics Summit is just around the corner, Tom and Jay are back to look at this week’s stories top compliance and ethics stories which caught their interest on This Week in FCPA. This week we are joined by special guest Kevin McCormack from Ethisphere who highlights the 2021 Global Ethics Summit.


  1. Credit Suisse feels the pain of poor risk management. Matt Kelly in Radical Compliance. Dylan Tokar in the WSJ Risk and Compliance Journal. Tom Smith in the Financial Times.
  2. Jason Meyer sees a win for compliance and ethics, on LinkedIn.
  3. Is a SOX whistleblower required to prove fraud? Jason Zuckerman in the Whistleblower Protection Blog.
  4. Karen Woody named Herndon Fellow. Peter Jettons in The Columns.
  5. Accountability: it’s all of us. Sam Sliverstein in LinkedIn.
  6. Time for a national privacy law. Steven Cavey in CCI.
  7. Is what you need Goldilocks compliance? Jeff Kapan in CEP.
  8. Ready to move into compliance or risk management? Dick Cassin says asks some questions first, in the FCPA Blog.
  9. How to protect whistleblowers? Alexander Ghavinian in the FCPA Blog. Six principles of whistleblower protection. František Nonnemann the Risk and Compliance Platform Europe.
  10. As int’l anti-corruption evolves, is the US losing its place. Robert Clark explores in the FCPA Blog. 

Podcasts and Events

  1. On Integrity Through Compliance, Don Stern and Eric Feldman host former DAG Rod Rosenstein for a two-part series on the past, present and furture of compliance and independent monitoring. Check out Part 1 here.
  2. Tom and Megan Dougherty are doing a special podcast series around The Falcon and The Winter Soldier, currently streaming on Disney+. Check out Episodes 1&2 and Episode 3.
  3. This month on The Compliance Life, Tom welcomes Jonathon Kellerman. In Episode 1, Jonathon discusses the path he took to compliance.
  4. CCI releases a new eBook, The FCPA Year in Review by the Compliance Evangelist, Tom Fox. You can obtain a copy here. Best of all its available at no charge.
  5. Join Tom and Jay at Ethisphere’s 2021 Global Ethics Summit, which will be held virtually April 13-15. Listeners to this podcast will receive a 15% discount to Ethisphere’s Global Ethics Summit For more information and registration details click here. Use the code tomfox15 for your discount.
  6. Join K2 Integrity’s financial crimes compliance professionals on Thursday, 22 April 2021, at 10 AM ET for DOLFIN’s “Ask an Expert FINQuiry” webinar, for a discussion on the impact of ongoing developments in the financial integrity community. Information and Registration here.
  7. 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