Tom and Jay are back to take a look at this week’s stories top compliance and ethics stories which caught their interest on This Week in FCPA in the Design Thinking in Compliance edition. 


  1. Design Thinking returns to compliance as Carsten Tams begins a 5-part series on LinkedIn. Check out Part 1.
  2. Ex-Goldman Sachs banker settles FCPA matter. Dylan Tokar in WSJ Risk and Compliance Journal.
  3. Want a refresher in red flags, check out this FBI-produced multipart series, all available on YouTube. Red Flag Fraud Signs, Part 1Red Flag Fraud Signs, Part 2Red Flag Fraud Signs, Part 3Red Flag Fraud Signs, Part 4Red Flag Fraud Signs, Part 5Red Flag Fraud Signs, Part 6
  4. Tricky Dicky lives in FCPA enforcement. Dick Cassin explains why in the FCPA Blog.
  5. Using captives to provide FCPA D&O Coverage? Daniel Chefitz and Sergio Oehninger in the FCPA Blog 
  6. Do we need to ban high-value currency? Sam Magaram in GAB.
  7. Compliance opportunities in and after Covid. Stephen Naughton in Compliance Law Journal.
  8. Building an effective AML action plan. Peter Fitzgerald, Scott Zucker and Tristan Souness-Wilson in CCI.
  9. SEC settles pre-taliation case with Guggenheim Partners. Matt Kelly in Radical Compliance.
  10. Will laws requiring Board diversity survive court scrutiny? Kevin LaCroix in the D&O Diary. 

Podcasts and Events

  1. Microsoft Week on Innovation in Compliance. Alan Gibson on Legal Compliance for the Future, Abbas Kudration Innovation Through Info Security, Joseph Davis on A Progressive and Humble Leadership to Cybersecurity, Erica Toelle on Records Management and Information Governance, Jesus Fernandez on the Digital Transformation of Compliance.
  2. How does history inform compliance? What are the leadership lessons from ancient Greeks and Romans? Find out in this special 10 part podcast series on famous Greeks and Romans from Plutarch’s Lives this week on 12 O’Clock High, a podcast on business leadership, hosted by Richard Lummis and Tom Fox. In Episode 1, they mined Plutarch about the lives of and leadership lessons from Themistocles and Camillus. In Episode 2, they looked at Solon and Popsicola. In Episode 3, Pericles and Fabius Maximus.
  3. Trekking Through Compliance Returns! Tom reviews all 79 episodes of Star Trek, the Original Series beginning June 1. Each day at 3 PM on the Compliance Podcast Network. This week’s offerings included Space SeedReturn of the ArchonsThis Side of ParadiseDevil in the Dark and Errand of Mercy.
  4. On July 1, join K2 Integrity’s Snezana Gebauer and Darren Matthews will present a webinar on asset tracing at the IBA Global Influencer Forum. Learn more and register here.
  5. On July 13, join K2 Integrity for its Virtual Compliance Conference on Environment, Social, and Governance Compliance Risks for Financial Institutions. Information and Registration here.
  6. Compliance Week is looking at 3rd risk management in 2021 in a two-day virtual event on June 29 & 30. For information and registration click here. Use the code Dave100 for a free ticket.
  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.

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