With Jay back online, he and Tom take a look at this week’s stories top compliance and ethics stories which caught his interest on This Week in FCPA in the It’s a New Dawn edition.


1.     SAP trade sanction enforcement action. Matt Kelly with two pieces in Radical Compliance. Mike Volkov takes a deep dive in a 4 part series on Corruption Crime and Compliance.

2.     Should compliance make folks uncomfortable?  Anna Romberg explores in the FCPA Blog.

3.     Has FCPA enforcement stopped? Of course not and Dick Cassin explains why on the FCPA Blog.

4.     Scott Moritz synthesizes the FCPA Resource Guide and Evaluation of Corp Compliance Programs. On LinkedIn.

5.     The Zombie idea of corruption risk? Matthew Stephenson in the Global AntiCorruption Blog.

6.     What does Solar Winds mean for businesses? Dan Verton in CCI.

7.     On the intersection of governance, fraud and culture. Jonathan Marks in Board and Fraud.

8.     Compliance and Supply Chain Risk Management. Josh Reed in Navex Global’s Ethics and Compliance Matters Blog.

9.     DNB fined $48.1MM for AML violations. Aaron Nicodemus in Compliance Week (sub req’d)

10.  Compliance officers taking the lead in corp ESG. Dylan Tokar in WSJ Risk and Compliance Journal.

Podcasts and Events

11.  Check out the newest addition to the Compliance Podcast Network, Survive and Thrive. In this podcast, co-hosted by Tom Fox and Kortney Nordrum, we unpack some compliance disasters and more importantly how to avoid them. Check out Episode 1 here, where we unpack the risk of timing.

12.  In this episode of Integrity Through Compliance, Jesse Caplan, Dionne Lomax and Jim Anilot discuss “From Business Opportunities to Compliance Risks: Health Expectations in 2021”. Check it out here.

13.  Join Jay and Tom at Compliance Week 2021. For information and registration, click here. Listeners to this podcast can receive a discount of $200 by using the code PODCAST599 at check out.

14.  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.

15.  Tom announces his latest book, The Compliance Handbook, 2nd edition is available for presale purchase. Use the code FOX25 and go hereThe Compliance Handbook 2nd edition will be available in both print and eBook editions. This week on The Compliance Handbook podcast, Eric Young joins Tom for a deep dive into the role of internal controls in a best practices compliance program.

16.  Special Treat-Grace Slick opens the Jefferson Airplane’s Woodstock set with “It’s a New Dawn.”

Tom Fox is the Voice of Compliance and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.