Tag: internal investigations

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Compliance Tip of the Day

Compliance Tip of the Day – Your Investigative Team

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.

This week we continue our consideration of issues relating to your internal investigations. Today we consider who should be on your investigative team.

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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Compliance Tip of the Day

Compliance Tip of the Day – Selection of Investigative Counsel

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.

This week are considering issues relating to your internal investigations. Today we review your decision of selection of your investigative counsel.

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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Compliance Tip of the Day

Compliance Tip of the Day – Preparing for an Investigation

Welcome to “Compliance Tip of the Day,” the podcast that brings you daily insights and practical advice for navigating the ever-evolving landscape of compliance and regulatory requirements. Whether you’re a seasoned compliance professional or just starting your journey, we aim 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 consideration of issues relating to your internal investigations. Today, we will discuss how to prepare for an investigation.

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

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Compliance Tip of the Day

Compliance Tip of the Day – Your Investigative Protocol

Welcome to “Compliance Tip of the Day,” the podcast that brings you daily insights and practical advice for navigating the ever-evolving landscape of compliance and regulatory requirements. Whether you’re a seasoned compliance professional or just starting your journey, we aim 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.

This week, we will consider issues relating to your internal investigations. Today, we begin by considering your investigative protocol.

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

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ACI FCPA Conference 2025

ACI-FCPA Conference Speaker Preview Series – Dan Kahn on the New DOJ Enforcement Priorities

In this episode of the ACI-FCPA and Global Anti-Corruption Conference Speaker Podcasts series, Dan Kahn discusses his panel at the event, “Unpacking the DOJ’s New FCPA Enforcement Guidelines and Priorities: Practical Takeaways for Updating Risk Management, Internal Investigations, and Compliance Strategies.”

Some of the issues the panel will discuss are:

  • How does the current DOJ guidance inform compliance?
  • How to recalibrate your compliance program based on the updated Guidance.
  • What does the DOJ FCPA Guidance say about enforcement priorities? 

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.

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ACI FCPA Conference 2025

ACI-FCPA Conference Speaker Preview Series – Chuck Duross on Internal Investigation Strategies

In this episode of the ACI-FCPA and Global Anti-Corruption Conference Speaker Podcasts series, Chuck Duross discusses his panel at the event, “Rethinking Your Internal Investigations Playbook: Adapting Processes and Protocols to New Risk Realities from Anti-Corruption to Fraud, Trade, and Beyond.”

Some of the issues the panel will discuss are:

  • Reassessing investigation triggers;
  • Better identifying risk signals;
  • Coordinating investigations across multiple risk functions.

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.

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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.

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ACI FCPA Conference 2025

ACI-FCPA Conference Speaker Preview Series – Michael Harper on Reading the Tea Leaves for FCPA Enforcement Going Forward

In this episode of the ACI-FCPA and Global Anti-Corruption Conference Speaker Podcasts series, Michael Culhane Harper discusses his panel at the event, “Reading the Prosecutorial Tea Leaves: What the DOJ’s FCPA Case Pipeline and Go/No-Go Decisions Reveal About the Road Ahead.”

Some of the issues the panel will discuss are:

  • Analyzing recent DOJ pronouncements and enforcement actions;
  • Did Smartmatic change the self-disclosure calculus?
  • How voluntary disclosures and internal investigations are being assessed.

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.

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FCPA Compliance Report

FCPA Compliance Report – 10 Core Principles for Effective Internal Investigations with Michelle Peirce

Welcome to the award-winning FCPA Compliance Report, the longest-running podcast in compliance. In this episode, Tom Fox welcomes Michelle Peirce from Hinckley Allen, where she co-chairs the White Collar and Government Enforcement Group.

They take a deep dive into Michelle’s article on the 10 Core Principles Common to Internal Investigations, discussing topics such as the importance of understanding the investigation’s purpose, maintaining privilege, the role of an engagement letter, deciding between written reports and verbal summaries, and the significance of billing and internal communications. Michelle also shares her insights from her professional background, including her experience as a special assistant district attorney, and touches on current pressures on compliance tied to self-disclosure to the DOJ. The conversation offers a comprehensive guide for organizations on conducting successful internal investigations.

Key highlights:

  • Role and Challenges in Internal Investigations
  • Core Principles of Internal Investigations
  • Importance of Privilege and Engagement Letters
  • Written vs. Verbal Reports
  • Order and Structure of Investigations
  • Professionalism and Billing in Investigations

Resources:

Michelle Peirce on LinkedIn

Michelle Peirce at Hinckley Allen

10 Core Principles Common to Internal Investigations

Tom Fox

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

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Compliance Into the Weeds

Compliance into the Weeds: A Deep Dive into Employee Leaks and Corporate Culture

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 a subject more fully. Are you looking for some hard-hitting insights on compliance? Look no further than Compliance into the Weeds! In this episode, Tom Fox and Matt Kelly discuss the issues surrounding employee leaks of confidential information, drawing on insights from a recent SCCE Europe event.

They also consider the motivations behind such leaks, including dissatisfaction with corporate culture and ineffective internal reporting channels, exemplified by the recent leaks at Facebook. The episode reviews measures compliance officers can take to prevent leaks, such as implementing tight access controls, encryption, and improving communication during investigations. Practical tips for reducing leaks and the importance of trust in internal reporting are also highlighted.

Key highlights:

  • Discussion on Employee Leaks
  • Facebook’s Toxic Culture (or not) and Leaks
  • Addressing Internal Speak-Up Culture
  • Practical Tips to Prevent Leaks
  • Modern Communication Challenges

Resources:

Matt in Radical Compliance

Tom

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Compliance into the Weeds was recently honored as one of the Top 25 Regulatory Compliance Podcast.