Tag: compliance

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31 Days to More Effective Compliance Programs

31 Days to a More Effective Compliance Program: Day 22 – Level of Due Diligence

Welcome to 31 Days to a More Effective Compliance Program. Over this 31-day series in January 2026, Tom Fox will post a key component of a best-practice compliance program each day. By the end of January, you will have enough information to create, design, or enhance a compliance program. Each podcast will be short, at 6-8 minutes, with three key takeaways that you can implement at little or no cost to help update your compliance program. I hope you will join each day in January for this exploration of best practices in compliance. In today’s Day 22 episode, we consider the levels of due diligence you should use when investigating third parties.

Key highlights:

  • What are the levels of Due Diligence?
  • When is each level appropriate?
  • Key Takeaways

Resources:

Listeners to this podcast can receive a 20% discount on The Compliance Handbook, 6th edition, by clicking here.

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Great Women in Compliance

Great Women in Compliance: Don’t Freak Out: Compliance from a Prosecutor-Defense Lens

Dive into the world of compliance and high-stakes investigations!

In this episode of #GWIC, Hemma Lomax talks with Jamie Hoxie Solano, Partner at Dynamis LLP and former federal prosecutor, about how compliance and legal teams can lead with precision when incidents become investigations—especially where cyber risk and digital assets raise the stakes and the speed.

We cover:

  • What prosecutors look for when assessing credibility and cooperation
  • The “first 72 hours” of an internal investigation: triage, scope, evidence, and governance
  • Why cyber and digital assets matter in changing the evidence trail and the decision timeline
  • How to protect privilege while still moving fast
  • Practical guidance for cross-functional leadership under pressure

Jamie’s Bio

Jamie Hoxie Solano is a Partner at Dynamis LLP and a former federal prosecutor. She represents individuals and companies in high-stakes matters spanning government and internal investigations, white-collar and regulatory defense, and cybercrime and digital asset disputes.

Before returning to private practice, Jamie served as an Assistant U.S. Attorney in both the Northern District of Texas and the District of New Jersey, working in units including cybercrime and national security, and serving (among other leadership roles) as the Digital Asset Coordinator for the District of New Jersey. 

She is also an adjunct professor at Seton Hall Law School, where she teaches Persuasion and Advocacy.

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31 Days to More Effective Compliance Programs

31 Days to a More Effective Compliance Program: Day 21 – Managing Third Parties

Welcome to 31 Days to a More Effective Compliance Program. Over this 31-day series in January 2026, Tom Fox will post a key component of a best-practice compliance program each day. By the end of January, you will have enough information to create, design, or enhance a compliance program. Each podcast will be short, at 6-8 minutes, with three key takeaways that you can implement at little or no cost to help update your compliance program. I hope you will join each day in January for this exploration of best practices in compliance. In today’s Day 21 episode, we dive into the essential strategies for managing third-party relationships in a compliance program.

Key highlights:

  • Strategic Approach to Third-Party Relationships
  • Auditing and Ongoing Management
  • Key Takeaways

Resources:

Listeners to this podcast can receive a 20% discount on The Compliance Handbook, 6th edition, by clicking here.

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Compliance Into the Weeds

Compliance into the Weeds: Addressing Retaliation Against Compliance Officers: Strategies and Insights

The award-winning Compliance into the Weeds is the only weekly podcast that takes a deep dive into a compliance-related topic, literally going into the weeds to explore it more fully. Looking for some hard-hitting insights on compliance? Look no further than Compliance into the Weeds! In this episode of Compliance into the Weeds, Tom Fox and Matt Kelly look at the challenges of retaliation against Chief Compliance Officers (CCOs).

They highlight the need for ongoing communication between compliance officers and senior management and share strategies for CCOs to mitigate personal risk. The discussion includes real-world examples, the role of senior management in fostering a compliant culture, and the importance of scenario planning and training to prepare for potential issues. The episode emphasizes proactive measures such as charm offensives and preemptive remediation plans to navigate and defuse potential retaliatory scenarios.

Key highlights:

  • Real-Life Examples of Retaliation
  • Management’s Perception and Compliance Challenges
  • Building Relationships with Senior Management
  • Proactive Compliance Strategies to Prevent Retaliation
  • Framing Compliance Training Like Cybersecurity Drills

Resources:

Matt in Radical Compliance

Tom

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A multi-award-winning podcast, Compliance into the Weeds was most recently honored as one of the Top 25 Regulatory Compliance Podcasts, a Top 10 Business Law Podcast, and a Top 12 Risk Management Podcast. Compliance into the Weeds has been conferred a Davey, a Communicator Award, and a W3 Award, all for podcast excellence.

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31 Days to More Effective Compliance Programs

31 Days to a More Effective Compliance Program: Day 20 – Third Party Risk Management Process

Welcome to 31 Days to a More Effective Compliance Program. Over this 31-day series in January 2026, Tom Fox will post a key component of a best-practice compliance program each day. By the end of January, you will have enough information to create, design, or enhance a compliance program. Each podcast will be short, at 6-8 minutes, with three key takeaways that you can implement at little or no cost to help update your compliance program. I hope you will join each day in January for this exploration of best practices in compliance. In today’s Day 20 episode, we delve into third-party risk management, a crucial aspect of corporate compliance under the FCPA.

Key highlights:

  • Introduction to Third-Party Risk Management
  • The Five Steps of Third-Party Risk Management
  • Key Takeaways

Resources:

Listeners to this podcast can receive a 20% discount on The Compliance Handbook, 6th edition, by clicking here.

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Innovation in Compliance

Innovation in Compliance: Transforming from Hierarchy to High Performance: Governance and AI in 2026

Innovation occurs across many areas, and compliance professionals need not only to be ready for it but also to 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 guests Bill Sanders, Olivia Storelli, and Andrew Stevens to explore the theme ‘From Hierarchy to High Performance’ in the context of AI and corporate governance.

They take a deep dive into the critical role of AI governance, highlighting its importance for accountability and competitive advantage, and stress the need for decentralized, automated governance to ensure fair and unbiased outcomes. The discussion also covers the interplay between leadership, accountability, and culture in achieving AI success, and outlines the three primary functions of AI: customer relationships, operations, and business models. The episode emphasizes the need for execution over ambition for AI value creation and addresses how legal and compliance professionals can keep pace with the rapidly changing business environment through AI.

Key highlights:

  • The Importance of AI Governance
  • Distributed Governance and Compliance
  • AI’s Impact on Business Models and Operations
  • Decentralization and High Performance

Resources:

Download the AI Executive Whitepaper:

Text the word PLAYBOOK to 415.960.1161. 

or

Visit https://whitepaper.download/

  • Websites

https://roeblingstrauss.com/

https://www.sakurasky.com/

• LinkedIn 

LinkedIn: Bill Sanders

LinkedIn: Olivia Storelli

LinkedIn: Andrew Stevens

Books:

Innovation in Compliance was recently ranked 4th among Risk Management podcasts by 1,000,000 Podcasts.

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FCPA Compliance Report

FCPA Compliance Report – Navigating Corporate Ethics and Compliance Trends in 2026 with Mike Volkov, Part 2

Welcome to the award-winning FCPA Compliance Report, the longest-running podcast in compliance. In this inaugural episode of 2026, Tom Fox welcomes back his good friend and colleague, Mike Volkov, to reflect on the tumultuous year of 2025 and discuss the new trends for the upcoming year. This is Part 2 of a two-part series.

This episode delves into the significance of the False Claims Act (FCA) as a critical tool for government enforcement, discussing its constitutionality and potential outcomes before the Supreme Court. The conversation expands to discuss how FCA applies across various areas, such as trade enforcement and tariffs, and how it encourages corporate whistleblowing. Additionally, the discussion highlights the growing role of technology, AI, and ChatGPT in compliance, as well as the risks associated with their use. Other focal points include the importance of conflict-of-interest programs and the impact of ethical conduct on marketplace dynamics. The episode underlines the growing scrutiny from financial institutions and private equity over compliance practices, as well as the long-term trend towards a more ethics-driven corporate culture.

Key highlights:

  • Supreme Court and Constitutionality Issues on the FCA
  • Corporate Whistleblowers and DOJ’s Stance
  • Technology, AI, and Compliance Risks
  • Conflict of Interest and Ethical Culture
  • Marketplace Accountability and Corporate Reputation
  • Financial Institutions and Due Diligence

Resources:

Mike Volkov on LinkedIn

Volkov Law Group

Tom Fox

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31 Days to More Effective Compliance Programs

31 Days to a More Effective Compliance Program: Day 19 – Evaluating the Risk Management Process

Welcome to 31 Days to a More Effective Compliance Program. Over this 31-day series in January 2026, Tom Fox will post a key component of a best-practice compliance program each day. By the end of January, you will have enough information to create, design, or enhance a compliance program. Each podcast will be short, at 6-8 minutes, with three key takeaways that you can implement at little or no cost to help update your compliance program. I hope you will join each day in January for this exploration of best practices in compliance. In today’s Day 19 episode, we review the critical process of evaluating and translating risk assessments into actionable risk profiles.

Key highlights:

  • Understanding Risk Profiles
  • Evaluating Risk Management Processes
  • Risk Matrix and Heat Maps

Resources:

Listeners to this podcast can receive a 20% discount on The Compliance Handbook, 6th edition, by clicking here.

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Sunday Book Review

Sunday Book Review: January 18, 2026, The Top Books on Innovation ’26 Edition

In the Sunday Book Review, Tom Fox considers books that would interest compliance professionals, business executives, or anyone curious. It could be books about business, compliance, history, leadership, current events, or anything else that might interest Tom. In this episode, we look at some of the top books on innovation, both those already published and those scheduled for 2026.

  1. Twin Transformation: A Gripping Tale of How AI and Sustainability Converge, and the Race to Get It Right by Michael Wade & Konstantinos Trantopoulos 
  2. The Innovation Approach: Overcoming the Limitations of Design Thinking and the Lean Startup by David C. Roach
  3. The Shortest History of AI: The Six Essential Ideas That Animate It by Toby Walsh
  4. The Coming Wave: AI, Power, and Our Future by Mustafa Suleyman & Michael Bhaskar
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31 Days to More Effective Compliance Programs

31 Days to a More Effective Compliance Program: Day 18 – Risk Assessments

Welcome to 31 Days to a More Effective Compliance Program. Over this 31-day series in January 2026, Tom Fox will post a key component of a best-practice compliance program each day. By the end of January, you will have enough information to create, design, or enhance a compliance program. Each podcast will be short, at 6-8 minutes, with three key takeaways that you can implement at little or no cost to help update your compliance program. I hope you will join each day in January for this exploration of best practices in compliance. In today’s Day 18 episode, we discuss the essential role of risk assessments in anti-corruption compliance programs.

Key highlights:

  • The Importance of Regular Risk Assessments
  • Methodologies for Risk Assessment
  • Steps in Conducting a Risk Assessment

Resources:

Listeners to this podcast can receive a 20% discount on The Compliance Handbook, 6th edition, by clicking here.