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Great Women in Compliance

Great Women in Compliance – Insights from ACI FCPA and Global Anti-Corruption Conference

In this episode of Great Women in Compliance, co-hosts Lisa Fine and Hemma Lomax get a special preview of the 42nd Annual ACI Conference on the FCPA and Global Anti-Corruption. They are joined by two of the conference’s distinguished speakers: Sandra Moser, Partner at Morgan, Lewis & Bockius and former Chief of the DOJ’s Fraud Section, and Kimberly Parker, Partner and Co-Chair of the White-Collar Defense & Investigations practice at WilmerHale.

Sandra and Kimberly share their personal journeys into the white-collar and compliance space, discuss why this conference is a “must-attend” event in the anti-corruption world, and dive deep into their upcoming session topics. Kimberly explores how companies are re-evaluating resource allocation as global priorities evolve, while Sandra tackles the critical compliance challenges of operating in China amid geopolitical tensions.

This episode is a must-listen for practical insights on shifting DOJ expectations, the future of compliance, and tips for any first-time attendees.

 Highlights include:

* Sandra and Kimberly’s Journeys to Compliance

* Spotlight on the ACI FCPA Conference:

* Evolving Priorities & Resource Allocation

* Navigating Compliance in China

* The Future of Compliance

Resources:  

ACI’s 42nd Annual Conference on the FCPA and Global Anti-Corruption (December, Washington, DC – https://www.americanconference.com/fcpa-dc/

* Morgan, Lewis & Bockius: https://www.morganlewis.com/bios/sandramoser

* WilmerHale: https://www.wilmerhale.com/en/people/kimberly-parker

Biographies

Sandra Moser is a corporate investigations authority and trial lawyer who co-leads the firm’s global white collar and investigations practice. She is former chief of the US Department of Justice’s (DOJ’s) Criminal Division, Fraud Section in Washington, DC, and a former Assistant US Attorney (AUSA) for the District of New Jersey. She defends companies, boards, and executives in a wide range of matters—including healthcare and federal program fraud, the False Claims Act (FCA), the Foreign Corrupt Practices Act (FCPA), securities, commodities, and anti-money laundering—involving the DOJ, state attorneys general offices, US Securities and Exchange Commission (SEC), Commodity Futures Trading Commission (CFTC), US Congress, and other domestic and international enforcement agencies.

Kimberly A. Parker’s practice focuses on white-collar criminal matters, internal corporate investigations, and compliance counseling. Ms. Parker is vice chair of the firm’s Litigation/Controversy Department, co-chair of the White Collar Defense and Investigations Practice, and co-leads the Foreign Corrupt Practices Act (FCPA) and Anti-Corruption Practice. Ms. Parker is also co-chair of the firm’s Pro Bono and Community Service Committee.

Ms. Parker represents clients in a range of criminal and enforcement matters and also provides compliance and governance advice. She has conducted internal investigations in the United States, Asia, Africa, Europe, and Latin America. She has represented companies and individuals in a variety of FCPA enforcement matters. She also regularly counsels clients facing difficult FCPA issues in a variety of business contexts, and assists clients in developing and implementing FCPA compliance programs and conducting FCPA training. She is a regular speaker at FCPA events.

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Compliance Tip of the Day

Compliance Tip of the Day – Winnie the Pooh and Compliance Week-Kanga, Roo and the Compliance Champion

Welcome to “Compliance Tip of the Day,” the podcast where we bring you daily insights and practical advice on navigating the ever-evolving landscape of compliance and regulatory requirements. Whether you’re a seasoned compliance professional or just starting your journey, our aim is to provide you with bite-sized, actionable tips to help you stay on top of your compliance game. Join us as we explore the latest industry trends, share best practices, and demystify complex compliance issues to keep your organization on the right side of the law. Tune in daily for your dose of compliance wisdom, and let’s make compliance a little less daunting, one tip at a time.

We continue our week of fun in compliance by looking at how Winnie the Pooh and his friends inform your compliance program. Today, we consider how Kanga and Roo demonstrate the utility of compliance champions throughout your organization.

For more on this topic, check out The Compliance Handbook, a Guide to Operationalizing your Compliance Program, 6th edition which was recently released by LexisNexis. It is available here.

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Blog

The 5 Blueprints for a Compliance Podcast

In the corporate world, few tools are as powerful as the spoken word. Podcasts have become not only a medium of storytelling but a mechanism for influence, education, and relationship-building. For compliance professionals, a podcast can do far more than share updates on the latest DOJ guidance or FCPA enforcement. They can shape culture, inspire ethical leadership, and build lasting connections across the compliance ecosystem. Megan Dougherty, in her seminal book “Podcasting for Business,” laid out five business podcast blueprints. I have adapted her work for a compliance professional, explaining why you should start an internal podcast for your employees on compliance.

Drawing from Dougherty’s The Business Podcast Blueprints, we can identify five core podcast strategies that directly translate to the compliance profession: Relationship Building, Audience Engagement, Thought Leadership, Conversion, and Content. Each blueprint offers a unique path for compliance communicators. These are all critical, whether you are educating employees, influencing senior management, or amplifying the compliance message across your industry.

Let’s explore how each blueprint can help you create a compliance podcast that not only informs but transforms.

1. Relationship Building: Turning Conversations into Compliance Connections

Every effective compliance program begins with strong relationships among compliance officers, business units, leadership, employees, and the organization’s regulators. A Relationship Building podcast mirrors that principle. These shows rely on interviews and dialogues designed to create genuine professional bonds. For compliance professionals, this may mean inviting general counsel, audit leads, HR heads, or even regulators to discuss how they envision ethics and compliance evolving in their respective domains.

Instead of focusing on legal jargon, the host becomes the facilitator of understanding. The show notes and promotions should highlight the guest’s insights, emphasizing shared goals and mutual respect. The relationship is the reward. Investment in this model should focus on enhancing the guest experience through thoughtful questions, warm follow-ups, and even small gestures of appreciation. In essence, your podcast becomes an extension of your compliance diplomacy—building bridges before you need to cross them.

2. Audience Engagement: Educating, Empowering, and Evolving Your Compliance Community

If your compliance podcast already has a defined internal or external audience, such as employees across global subsidiaries or a community of compliance peers, then an Audience Engagement podcast is your vehicle for connection. This format thrives on flexibility. You can host Q&A sessions on compliance dilemmas submitted anonymously by employees, share brief educational “compliance tips,” or conduct interviews with experts on specialized risks, such as data privacy or sanctions compliance. What makes this model powerful for compliance is its two-way nature. Audience Engagement podcasts invite feedback, discussion, and participation. They allow you to hear the “compliance pulse” of your organization.

For show notes, focus on actionable takeaways: steps, checklists, and reflection prompts. This is also the ideal blueprint for sponsorship if those sponsors align with your mission. For instance, an ethics-tech vendor or compliance training platform might co-sponsor an educational episode. Your investment priority? High production value and multi-format distribution. A compliance podcast becomes truly valuable when the same episode can be transcribed for newsletters, summarized for LinkedIn, and clipped for internal training. In this way, Audience Engagement podcasts move compliance from “check the box” to “join the conversation.”

3. Thought Leadership: Becoming the Voice of Compliance

If Relationship Building is about who you know, then Thought Leadership is about what you stand for. This is the blueprint that transforms a compliance officer into a recognized industry authority. A Thought Leadership podcast emphasizes ideas, analysis, and influence. These shows often blend solo commentary with expert dialogues. Think of it as a weekly masterclass on governance, ethics, and risk. It is your chance to interpret trends, dissect new regulations, and challenge the status quo.

Show notes should highlight key ideas and next steps, turning insight into implementation. In a world where the DOJ’s Evaluation of Corporate Compliance Programs (ECCP) evolves annually, a compliance Thought Leadership podcast keeps your organization ahead of the curve. This is also where you invest in top-tier audio and post-production. Crisp sound and professional editing convey credibility. The same principle applies in compliance: presentation reflects integrity. By consistently producing thoughtful, well-researched episodes, you elevate your company’s brand while modeling what ethical leadership sounds like.

4. Conversion: Moving from Awareness to Action

In compliance, we often talk about buy-in. A Conversion podcast achieves precisely that: it turns awareness into action, engagement into enrollment. This blueprint aligns perfectly with the internal marketing of a compliance program. For instance, you might produce a limited series leading up to Corporate Compliance and Ethics Week, encouraging employees to sign up for training or submit compliance questions. Alternatively, external consultants can use a Conversion podcast to build trust with prospective clients by featuring successful case studies and compliance transformations.

Here, a case-study-style interviews work beautifully. Think of an episode featuring a supply-chain leader who revamped due diligence using new analytics tools, or a CCO who implemented an effective third-party risk program. Each story demonstrates value and calls the listener to act: “Here’s what we did. You can too.” No outside sponsors are needed in this model. The “product” is your compliance initiative. The goal is measurable engagement, as evidenced by increased training completions, a stronger reporting culture, or higher attendance at ethics town halls. A Conversion podcast is, in many ways, compliance communication at its most strategic. It moves your audience along the maturity curve from awareness to advocacy.

5. Content: Building a Compliance Knowledge Engine

Finally, we reach the Content podcast, which is the Swiss Army knife of the blueprints. Every compliance communicator needs one, whether it stands alone or supports your other podcast strategies. A Content podcast is designed for repurposing. Every episode becomes a cornerstone for articles, blog posts, training clips, and internal briefings. For compliance professionals, this is a dream model: every 20-minute conversation with a subject-matter expert can be transcribed into policy guidance, an internal newsletter feature, or even a white paper.

Show notes here should be as detailed as possible. Here, you can think of them as a searchable compliance archive. Want to create a “Compliance 365” campaign? Your Content podcast provides the raw material. The main investment should go into formatting and distribution. Use transcripts, video snippets, and visual infographics to meet your audience where they are, whether in the boardroom, on the factory floor, or scrolling LinkedIn during lunch. A Content podcast ensures that your compliance message doesn’t end when the mic goes off. It endures across formats, reinforcing the culture of ethics you’re working to establish.

Pulling It All Together: The Compliance Podcast as a Strategic Asset

So which blueprint should you choose? The answer, as in compliance itself, depends on your goals. If your goal is to build alliances within the business, focus on Relationship Building. To foster ongoing dialogue, select Audience Engagement. To elevate your professional reputation and set the tone for the field, lead with Thought Leadership. When you need to move your stakeholders toward action, lean into Conversion. And if your goal is sustainability and scalability, Content will power your entire ecosystem.

The best compliance podcasts blend these blueprints. A single series might start with Relationship Building and a Chief Audit Executive, evolve into Thought Leadership commentary, and conclude with a Conversion-style call to action for employees to “Speak Up.” The beauty of podcasting for compliance professionals lies in its adaptability. It is not merely a medium, but rather it is a method of leadership.

A compliance podcast is not just another communication channel; it is a strategic platform that amplifies trust, transparency, and accountability. When done right, it embodies the very principles we champion as compliance professionals.

Before you hit “record,” ask yourself: What is my blueprint? Because when your voice carries purpose and your podcast carries integrity. Remember, you are not just broadcasting; you are also engaging. You are building the next generation of compliance culture.

For a free eCopy of Megan’s book, Podcasting for Business, click here.

Categories
ACI FCPA Conference 2025

ACI-FCPA Conference Speaker Preview Series – Anik Shah on Lawyering Through These Uncertain Times

In this episode of the ACI-FCPA and Global Anti-Corruption Conference Speaker Podcasts series, Anik Shah discusses his panel at the event, “Lawyering Through Uncertainty: The New Reality of Advising Clients and Making Decisions in Unchartered Territory.”

Some of the issues the panel will discuss are:

  • Navigating current client dilemmas;
  • Risk Assessments and Internal Investigations;
  • Recalibrating your compliance program for 2026 and beyond.

I hope you can join me at the ACI–FCPA Conference. This year’s event will take place on December 3-4 at the Gaylord National Resort & Convention Center in National Harbor, Maryland, near Washington, D.C. The lineup of this year’s event is simply first-rate, featuring some of the top FCPA professionals, white-collar attorneys, and compliance practitioners in the field.

The 2025 program is being completely redesigned to help your organization stay agile, responsive, and ahead of the curve. Expect a dynamic agenda shaped by real-world priorities, practical takeaways, and the most cutting-edge thinking in compliance—led by a faculty of global practitioners with boots on the ground, encountering the very risks that come across your desk.

Please join me at the event. For information on the event, click here. Listeners of this podcast will receive a discount by using the code D10-999-CPN26.

Categories
FCPA Compliance Report

FCPA Compliance Report – Exploring AI Adoption in Risk and Compliance with Richard Graham

Welcome to the award-winning FCPA Compliance Report, the longest-running podcast in compliance. In this episode, Tom Fox welcomes Richard Graham, Director – KYC / Financial Crime at Moody’s, to discuss the newly released AI Risk and Compliance Survey.

Graham shares his extensive background in financial crime and technology, emphasizing his current role, which focuses on KYC and financial crime at Moody’s. Together, they discuss the survey’s insights, which reveal that 53% of 600 senior risk professionals surveyed are currently using AI for risk management, representing a significant increase from the previous year. Graham explains the crucial role of high-quality data in maximizing AI’s potential and highlights its rapid adoption driven by its demonstrated benefits in compliance and risk management. The conversation also explores the evolving role of risk professionals in the context of AI tools, the impact of regulatory awareness, and the industry’s shift towards more proactive risk management.

Key highlights:

  • Overview of AI Risk and Compliance Survey
  • Key Findings and Industry Trends
  • Adoption of AI in Banking and Corporates
  • Early Wins and Barriers to Scale
  • Data Governance and Regulatory Expectations

Resources:

Richard Graham on LinkedIn

Moody’s

Moody’d AI Risk and Compliance Survey

Tom Fox

Instagram

Facebook

YouTube

Twitter

LinkedIn

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Compliance Tip of the Day

Compliance Tip of the Day – Winnie the Pooh and Compliance Week – Tigger and Sales Incentives

Welcome to “Compliance Tip of the Day,” the podcast that brings you daily insights and practical advice on navigating the ever-evolving landscape of compliance and regulatory requirements. Whether you’re a seasoned compliance professional or just starting your journey, our goal is to provide you with bite-sized, actionable tips to help you stay ahead in your compliance efforts. Join us as we explore the latest industry trends, share best practices, and demystify complex compliance issues to keep your organization on the right side of the law. Tune in daily for your dose of compliance wisdom, and let’s make compliance a little less daunting, one tip at a time.

We begin a week of fun in compliance by looking at how Winnie the Pooh and his friends inform your compliance program. We start by using Tigger to examine sales incentives within a best practices compliance program.

For more information on this topic, refer to The Compliance Handbook: A Guide to Operationalizing Your Compliance Program, 6th edition, recently released by LexisNexis. It is available here.

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AI Today in 5

AI Today in 5: November 10, 2025, The Use AI or Be Fired 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 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. 5 Pillars for AI Compliance. (Medical Economics)
  2. Use AI or be fired. (WSJ)
  3. Is AI something more than intelligent? (NYT)
  4. Voice phishing is AI fraud. (FT)
  5. Is AI spending out of control? (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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Compliance Tip of the Day

Compliance Tip of the Day – NBA Betting Scandal – Rebuilding a Culture of Integrity

Welcome to “Compliance Tip of the Day,” the podcast that brings you daily insights and practical advice on navigating the ever-evolving landscape of compliance and regulatory requirements. Whether you’re a seasoned compliance professional or just starting your journey, our goal is to provide you with bite-sized, actionable tips to help you stay ahead in your compliance efforts. Join us as we explore the latest industry trends, share best practices, and demystify complex compliance issues to keep your organization on the right side of the law. Tune in daily for your dose of compliance wisdom, and let’s make compliance a little less daunting, one tip at a time.

This week, we will mine the ongoing NBA betting scandal for compliance lessons. Today, in this concluding Part 5, we conclude by looking at what the NBA itself can do to rebuild trust with its stakeholders.

For more information on this topic, refer to The Compliance Handbook: A Guide to Operationalizing Your Compliance Program, 6th edition, recently released by LexisNexis. It is available here.

Categories
Blog

Compliance and Building Resilient Boards

In today’s volatile world, the word “resilience” has become the boardroom’s rallying cry. From geopolitical risk to technological disruption, boards and C-suites are being asked to navigate what Deloitte calls a “multiverse” of parallel realities, balancing short-term shocks with long-term strategy. But BOD resilience is not just about surviving turbulence. It is about thriving through uncertainty. And that is where the corporate compliance function, often underestimated as a back-office monitor, can emerge as a strategic partner in building board-level resilience. This is the key message that resonates from a recent article in the Harvard Law School Forum on Corporate Governance, How Board and C-Suite Collaboration Can Build Organizational Resilience.

Effective collaboration between boards and executive teams strengthens organizational adaptability, foresight, and integrity. Resilience is not the absence of risk; rather, it is the ability to master a response. Today, we consider this article and mine it for lessons for compliance leaders seeking to help their boards become more resilient, responsive, and ready for the future.

1. Compliance as the Early-Warning System for the Board

The Deloitte survey highlights a growing reality: boards are increasingly overwhelmed by short-term risks, ranging from cyberattacks to economic volatility. They may overlook longer-term imperatives such as innovation and human capital development. Compliance professionals are uniquely positioned to serve as an early warning system for emerging risks. Through monitoring, testing, and continuous improvement, compliance provides data-driven insight into what is actually happening inside the business before it becomes a headline or regulatory crisis.

A resilient board depends on credible information flow. That means compliance must extend beyond reporting incidents to providing actionable intelligence. By translating risk data into actionable insight and identifying patterns in third-party due diligence, supply chain vulnerabilities, or employee reporting trends, the compliance function helps directors see around corners. As Gordon Nixon, chair of BCE Inc., put it, leadership today requires the ability to “synthesize complexity into decisive action.” Compliance gives boards the tools to do just that.

2. Turning Oversight Into Scenario Planning

According to Deloitte’s data, 86% of boards have increased their focus on risk monitoring and scenario planning, with 39% significantly stepping up their efforts. That is good news, but only if those exercises move beyond hypotheticals. This is where compliance can play a catalytic role. Scenario planning is most effective when it draws from real operational data, and no function gathers more cross-enterprise data than compliance. Every whistleblower report, transaction review, and training completion rate tells part of a story about how the organization will respond when tested.

A compliance leader should therefore help transform board discussions from abstract governance into strategic foresight. When boards examine potential crises, such as cyber breaches, sanctions violations, or ESG missteps, compliance can provide not just the risk but also the response map, including who is responsible, how escalation works, what past data reveals about reaction speed, and how remediation was measured.

3. Strengthening the Board–C-Suite Communication Loop

The Deloitte study finds that open, transparent communication between the board and CEO is the single most important factor in organizational resilience, cited by 66% of respondents. That transparency must extend beyond financial performance; it must include culture, ethics, and conduct. Compliance officers can serve as trusted interpreters between management and directors. Often, executives filter messages to the board, softening bad news or emphasizing short-term wins. A strong compliance function ensures that uncomfortable truths, emerging investigations, cultural risks, or weak control environments are brought to the board’s attention promptly and accurately.

Moreover, compliance officers can help foster “psychological safety,” a quality Deloitte found lacking on many boards. When executives and directors feel safe discussing failures and near misses, they can act more decisively and learn faster. Compliance teams, with their neutral and process-driven perspective, can facilitate those candid conversations.

4. Building the Skill Base for Resilient Oversight

One of the report’s most striking findings is a gap between board and C-suite perceptions of readiness. While 86% of directors believe they are providing the right support to management, only 73% of executives agree. The gap is even wider in terms of skill composition. Nearly half of C-suite respondents say boards lack the necessary expertise to guide them through today’s environment.

That is a call to action for compliance leaders. The modern compliance function serves as a knowledge hub, continuously monitoring global regulatory trends, AI governance frameworks, and emerging ESG risks. Boards can leverage this intelligence to refresh their own competencies. For example, compliance-led workshops on anti-corruption enforcement trends, cybersecurity reporting requirements, or AI ethics can help directors stay informed and prepared to challenge management with the right questions.

Sheila Murray, chair of Teck Resources, put it best: “If somebody’s coming to meetings and not participating, that’s on me. I’ve got to bring out the best in them.” Compliance can help by providing the content that sparks meaningful participation.

5. Embedding Agility and Integrity Into Board Culture

According to Deloitte, the most resilient organizations strike a balance between governance and agility. That’s easier said than done. Rigid board processes can impede responsiveness, while overly informal structures risk undermining accountability. Compliance can help build the right balance by institutionalizing agility without sacrificing integrity.

For instance, compliance can work with corporate secretaries to ensure that board minutes document not just decisions but also the rationale behind them. That strengthens the record for regulators and demonstrates that directors acted in good faith. Similarly, compliance can help shape board procedures to allow for rapid, ethics-aligned decisions in crisis conditions.

Roy Dunbar, an independent director at McKesson and Duke Energy, describes it this way: “What you want is to go deeper and ask more challenging questions around, ‘What are the threats? What are the opportunities? Where is growth going to come from? ” Those deeper questions about sustainability, AI, and ethical governance are exactly where compliance expertise can bring clarity.

From Reactive Oversight to Proactive Partnership

The Deloitte report concludes with a vision of co-creation between boards and management, transitioning from rigid oversight to a synergistic partnership. That’s also the next frontier for compliance. No longer confined to detection and discipline, the compliance function can become the architect of organizational resilience.

How? By helping boards connect the dots between ethics and performance. A resilient board is one that not only identifies risk but also ensures that values drive decision-making at every level. When compliance embeds those values into strategic planning, linking ethical conduct to innovation, transparency to investor trust, and governance to growth, the board’s resilience becomes systemic, not situational.

In a world where, as Anjali Bansal observed, “the level of uncertainty today is absolutely unprecedented,” resilience will depend less on predicting the next crisis and more on ensuring the integrity of the response. That is the mission compliance was born to serve.

What It Means for the Chief Compliance Officer

For the CCO, this moment represents both an invitation and a mandate. The board needs a partner who can translate regulatory language into strategic value and who can help bridge the trust gap between directors and management.

Here is how the CCO can deliver:

  1. Be the Board’s Barometer: Regularly update directors on the ethical health of the organization, including hotline data, investigation closure rates, and culture metrics, so that they can gauge the tone and trust across business units.
  2. Champion Cross-Functional Risk Alignment: Ensure that compliance, internal audit, and enterprise risk functions speak with one voice in board reporting. Fragmented risk narratives breed confusion, not confidence.
  3. Embed Compliance Into Resilience Planning: Collaborate with HR, IT, and finance to map how regulatory compliance underpins business continuity and crisis management.
  4. Educate for Anticipation, Not Reaction: Keep the board informed about emerging compliance trends, such as AI ethics, ESG reporting, or sanctions enforcement, so directors are prepared to govern the risks of tomorrow.
  5. Strengthen the Ethical Reflex: Make ethics an instinct, not an initiative, by integrating compliance into strategy discussions, M&A reviews, and innovation frameworks.

When the compliance function evolves from a rule enforcer to a resilience partner, it transforms board oversight from passive to proactive. It gives directors not just the confidence to govern but the courage to lead.

Categories
Compliance Tip of the Day

Compliance Tip of the Day – NBA Betting Scandal – The Role of Compliance in Sports Leagues

Welcome to “Compliance Tip of the Day,” the podcast that brings you daily insights and practical advice on navigating the ever-evolving landscape of compliance and regulatory requirements. Whether you’re a seasoned compliance professional or just starting your journey, our goal is to provide you with bite-sized, actionable tips to help you stay ahead in your compliance efforts. Join us as we explore the latest industry trends, share best practices, and demystify complex compliance issues to keep your organization on the right side of the law. Tune in daily for your dose of compliance wisdom, and let’s make compliance a little less daunting, one tip at a time.

This week, we will mine the ongoing NBA betting scandal for compliance lessons. Today, in Part 4, we review the role of compliance and ethics in sports leagues in combating illegal gambling scandals and the appearance of impropriety.

For more information on this topic, refer to The Compliance Handbook: A Guide to Operationalizing Your Compliance Program, 6th edition, recently released by LexisNexis. It is available here.