Tag: AI

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10 For 10

10 For 10: Top Compliance Stories For the Week Ending, November 8, 2025

Welcome to 10 For 10, the podcast that brings you the week’s Top 10 compliance stories in one podcast each week. Tom Fox, the Voice of Compliance, brings to you, the compliance professional, the compliance stories you need to be aware of to end your busy week. Sit back, and in 10 minutes, hear about the stories every compliance professional should be aware of from the prior week. Every Saturday, 10 For 10 highlights the most important news, insights, and analysis for the compliance professional, all curated by Tom Fox, the Voice of Compliance. Get your weekly filling of compliance stories with 10 for 10, a podcast produced by the Compliance Podcast Network.

Top stories this week include:

  • Indonesia is looking into Chinese corruption over the high-speed train. (SCMP)
  • The tariff argument goes poorly for the Administration at the Supreme Court. (Reuters)
  • Norwegian Sovereign Wealth Fund votes against Musk’s $1tn pay package. (WSJ)
  • NBA Reports to Congress on Gambling Probe. (The Athletic)
  • Capula’s former CCO claims retaliation for whistleblowing as the reason for termination. (Bloomberg)
  • BaFin slaps €45MM fine on JPMorgan. (FT)
  • Trump threw a temper tantrum over corruption Q. (The Daily Beast)
  • SBF says trial ‘fundamentally unfair’. (FT)
  • State capture and corruption. (The Guardian)
  • Sex dolls, compliance, and Shein. (WSJ)

You can check out the Daily Compliance News for four curated compliance- and ethics-related stories each day, here.

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You can purchase a copy of my new book, Upping Your Game, on Amazon.com

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Compliance and AI

Compliance and AI: Future-Proofing Compliance with AI: Strategies for 2026 and Beyond

What is the role of Artificial Intelligence in compliance? What about Machine Learning? Are you using ChatGPT? These questions are just three of the many we will explore in this cutting-edge podcast series, Compliance and AI, hosted by Tom Fox, the award-winning Voice of Compliance. Vince Walden, founder and CEO of KonaAI and Dr. Hemma Lomax, Head of Business Integrity at Docusign discuss the evolving landscape of compliance and the increasing role of AI and automation.

They highlight the need to modernize due diligence processes, reducing large, repetitive tasks down to streamlined operations using AI. A key focus is the innovative use of AI agents proposed by Hemma, likening them to digital employees, with personalized job descriptions and onboarding plans aimed at enhancing efficiency and unleashing human talent. Vince shares practical examples of how AI can transform compliance functions by leveraging data insights from various sources like investigations, third-party risks, and employee surveys. The episode encourages compliance professionals to dream big about the future, embrace AI-driven innovation, and crowdsource intelligence to bridge the gap towards more efficient and intelligent compliance practices.

Key highlights:

  • Introduction to Modern Due Diligence
  • The Role of AI in Compliance
  • Creating and Managing AI Agents
  • Empowering Teams with AI
  • Real-World Applications and Examples

Resources:

konaAI

Vince Walden on LinkedIn

Dr. Hemma Lomax on LinkedIn

Tom Fox

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TechLaw10

TechLaw10: AI Lies & Legal Truths: The Hallucination Debate

In this film, Punter Southall Law’s Jonathan Armstrong discusses AI hallucinations & errors with Eric Sinrod, California professor and attorney at Duane Morris LLP. This is episode 294 in the popular TechLaw10 series. You can listen to earlier podcasts here.

Jonathan & Eric start by discussing recent conference panels on AI and concerns from judges on those panels that AI-generated hallucinations have appeared in court judgments. Jonathan talks about the elements of the EU AI Act, which are already in force, including mandatory AI literacy programs. He talks of the fact that there are now more than 487 recorded cases of hallucinations in court, including countries like Tanzania, Trinidad & Tobago & Zimbabwe. Eric & Jonathan also talk about:

  • Italy’s new AI Act
  • News from Korea on AI hallucinations
  • AI harm in medicine & dentistry
  • The issues with the unauthorised practice of law
  • The issues with AI training data & its provenance
  • How new search engine techniques increase risk
  • How US courts work
  • How law school teaching is changing with AI
  • Why AI bans don’t work

There are FAQs on the EU AI Act here. A glossary of AI terms is also available here. There’s also a summary of Italy’s new AI law here.

Our previous podcast on AI literacy is here.

Jonathan talks briefly about his work on the NYSBA AI Task Force. Details can be found here.

The Damien Charlotin database, which Jonathan discusses, can be found here.

Eric Sinrod’s details can be found here, and Jonathan Armstrong’s details are available here.

The TechLaw10 LinkedIn group is here.

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Everything Compliance

Everything Compliance: Episode 161, The Tribute Adam Turteltaub Edition

Welcome to this edition of award-winning Everything Compliance. In this episode, we have the complete quintet of Matt Kelly, Jonathan Armstrong, Karen Woody, and Karen Moore with Tom Fox, the Compliance Evangelist, sitting in as host.

  1. Matt Kelly looks at the recent EQS report assessing AI models for compliance. He shouts to Adam Turteltaub, who recently left the SCCE after 17 years.
  2. Jonathan Armstrong reviews AI risk relating to professional advice. He shouts out to Adam Turteltaub.
  3. Karen Moore delves into the recent EU parliamentary rejections of rolling back sustainability reporting. She shouts out to Accountancy Europe and Mother everywhere.
  4. Karen Woody looks at the recent Delaware Court of Chancery decision in the case of Brewer v. Turner and its impact on Caremark Doctrine claims. She shouts out to all those returning to work at the office.
  5. Tom Fox shouts out to Adam Turteltaub and Sean Connery.

The members of Everything Compliance are:

The host, producer, and sometimes panelist of Everything Compliance is Tom Fox, the Voice of Compliance. He can be reached at tfox@tfoxlaw.com.  The award-winning Everything Compliance is a part of the Compliance Podcast Network.

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AI Today in 5

AI Today in 5: November 6, 2025, The AI and Marketing Compliance Edition

Welcome to AI Today in 5, the newest edition to the Compliance Podcast Network. Each day, Tom Fox will bring you 5 stories about AI to start your day. Sit back, enjoy a cup of morning coffee, and listen in to the AI Today In 5. All, from the Compliance Podcast Network. Each day, we consider four stories from the business world, compliance, ethics, risk management, leadership, or general interest related to AI.

Top AI stories include:

  1. How AI Is Revolutionizing RegTech and Compliance (FinTech Magazine)
  2. Business value of AI governance. (Forbes)
  3. Bringing AI intelligence to marketing compliance. (BusinessWire)
  4. Finance firms are still struggling with AI and compliance risks. (UC Today)
  5. AI agents have significant security risks. (BusinessInsider)

For more information on the use of AI in compliance programs, my new book, Upping Your Game, is available. You can purchase a copy of the book on Amazon.com.

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AI Today in 5

AI Today in 5: November 5, 2025, The Another One Bites the Dust Edition

Welcome to AI Today in 5, the newest edition of the Compliance Podcast Network. Each day, Tom Fox will bring you 5 stories about AI to start your day. Sit back, enjoy a cup of morning coffee, and listen in to the AI Today In 5. All, from the Compliance Podcast Network. Each day, we consider four stories from the business world, compliance, ethics, risk management, leadership, or general interest related to AI.

Top AI stories include:

  1. Enterprise-grade compliance with AI. (FinTech Global)
  2. Amazon tells Perplexity no more bot purchasers. (Yahoo!Finance)
  3. Hidden risk in hiring and AI. (JDSupra)
  4. Will AI mean the end of call centers? (BBC)
  5. FOMO risk is real in AI investing. (Bloomberg)

For more information on the use of AI in compliance programs, my new book, Upping Your Game, is available. You can purchase a copy of the book on Amazon.com.

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Innovation in Compliance

Innovation in Compliance: Dare to Dream: Leveraging AI and Innovation

Innovation is present in many areas, and compliance professionals must not only be prepared for it but also actively embrace it. Join Tom Fox, the Voice of Compliance, as he visits with top innovative minds, thinkers, and creators in the award-winning Innovation in Compliance podcast. In this episode, host Tom Fox welcomes Dr. Hemma Lomax from DocuSign, Chris Crowder from Airbus, and Vince Walden from konaAI to explore the future of compliance with AI and AgenticAI. This podcast was edited from a konaAI-sponsored webinar. For a link to the full webinar replay, see below.

Our discussion centers around the integration of AI, innovation, and compliance within corporate environments. Chris and Hemma share insights about their current data analytics efforts and the transformative role of AI in enhancing compliance processes. They discuss the importance of human judgment, exploring new technologies, and creating a forward-thinking compliance culture. Audience members are encouraged to think creatively about leveraging technology to address compliance challenges and prepare for a rapidly evolving business landscape.

Key highlights:

  • Current State of AI and Data Analytics in Compliance
  • Challenges and Opportunities in AI Implementation
  • The Role of AI in Risk Management
  • Human Judgment and AI: A Balanced Approach
  • Future of AI in Compliance and Business
  • Future of AI Agents in Compliance

Resources:

For a full replay of the Webinar, click here.

For the konaAI white paper on AgenticAI, click here.

To listen to the award-winning podcast Upping Your Game on the use of AI in a compliance program, click here.

Check out my latest book, Upping Your Game-How Compliance and Risk Management Move to 2023 and Beyond, available from Amazon.com.

Innovation in Compliance was recently honored as the number 4 podcast in Risk Management by 1,000,000 Podcasts.

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Red Flags Rising

Red Flags Rising: S01 E31: Running To and Through the Export Controls Investigation Finish Line – Avoiding Resolution Pitfalls and Monitoring What Matters

Mike and Brent take a break from Affiliates Rule (delayed) suspension news to focus on practical advice for companies that may be in the midst of U.S. government investigations into alleged export control violations. They discuss the importance of engaging with the government with an awareness and an appreciation for the latest enforcement trends and signals, particularly regarding the government’s emphasis on the full definition of “knowledge” to include “an awareness of a high probability” (00:49); the importance of not being surprised by these trends in the middle of an investigation (02:52); the dangers to the cost, delay, and outcome of any investigation for failing to perceive the signals through the noise (04:08); the particular relevance of these strategies in defending against allegations of entity-shifting (09:48); the need to consider waiving privilege over prior bad legal advice—especially to avoid paying more to protect an investigation that was triggered by adhering to the prior advice (11:52); what to look for in the terms of a proposed settlement agreement, including whether and how the company will be “covered” if there are post-resolution reports of additional, previously undisclosed pre-resolution misconduct (13:22) and executive officer certification requirements (16:51); and the importance in national security resolutions, where they are imposed, of having post-resolution independent monitors or independent compliance consultants commit to focused, risk-based post-resolution monitoring that direct addresses the root causes of the violations, to avoid “industrial tourism” and to best promote the national security objectives of the United States (19:34).

Then, conclude with the next installment of Brent Carlson’s “Managing Up” segment (23:37).

Resources:

Brent’s latest NYU Program on Corporate Compliance & Enforcement (PCCE) post, “From Peanuts to Elephant-Sized Penalties: A Fresh Look at Recent U.S. Export Controls Enforcement Developments & Future Trends” (Oct. 31, 2025)

Mike & Brent’s prior NYU PCCE post, “Monitoring What Matters: A Fresh Look Proposal to Government and Industry for How Post-Resolution Oversight Can Best Deny Hostile Actors the Means to Cause Deadly Harm” (Mar. 28, 2024)

Contact Brent: brent@redflagsrising.com

Contact Mike: michael.huneke@morganlewis.com

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AI Today in 5

AI Today in 5: November 3, 2025, The AI Compliance Officer Edition

Welcome to AI Today in 5, the newest edition to the Compliance Podcast Network. Each day, Tom Fox will bring you 5 stories about AI to start your day. Sit back, enjoy a cup of morning coffee, and listen in to the AI Today In 5. All, from the Compliance Podcast Network. Each day, we consider four stories from the business world, compliance, ethics, risk management, leadership, or general interest about AI.

Top AI stories include:

  1. AI is making death threats more realistic. (NYT)
  2. Board oversight of AI has tripled since 2024. (CCI)
  3. AI predictions for 2026. (Philadelphia Business Journal)
  4. AI Compliance Officer as a managed service. (ISA Guide)
  5. China pushes the APAC region to counterbalance the US in AI. (Reuters)

For more information on the use of AI in Compliance programs, my new book, Upping Your Game, is available. You can purchase a copy of the book on Amazon.com.

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From the Editor's Desk

From the Editor’s Desk: Compliance Week’s Insights and Reflections for October and into November 2025

In this episode of ‘From The Editor’s Desk’ podcast, hosts Tom Fox and Aaron Nicodemus delve into key compliance issues featured in Compliance Week. Tom and Aaron discuss the top stories from Compliance Week in October, look at some stories that will appear in November, and provide a preview of upcoming content and events.

They discuss the insights from a case study on Lafarge’s anti-bribery issues linked to cartels and terrorist organizations, as well as challenges in business due diligence in high-risk areas. The episode also covers recent trends around DOJ compliance monitorship under different administrations, insights into Foreign Corrupt Practices Act (FCPA) enforcement, and evolving compliance issues related to artificial intelligence (AI). Finally, they highlight upcoming Compliance Week initiatives and webinars, focusing on career pathways in compliance, the importance of due diligence in high-risk environments, and the practical applications of AI in the compliance field.

Resources:

Aaron Nicodemus on LinkedIn

Compliance Week