Tag: Karen Moore

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The Compliance Handbook, 7th Edition

As the Compliance Evangelist, I am pleased to announce the release of The Compliance Handbook, Seventh Edition. I believe it is the best single-author handbook for compliance professionals and about compliance professionals. Beautifully packaged, edited, and published by the country’s top legal and compliance publisher, LexisNexis.

This edition is an update of the Compliance Handbook, 7th edition. The handbook is a must-read for all ethics and compliance professionals. The Seventh Edition provides practical, helpful solutions to important ethics and compliance issues. It is comprehensive, accessible, and a must-have for every ethics and compliance professional.

As noted, I have teamed up with the country’s top legal and compliance publisher, LexisNexis Legal & Professional, to add to its winning series of compliance offerings. The Compliance Handbook, 7th edition, provides seasoned compliance professionals and those new to the profession with practical, actionable guidance and tools to design, implement, and continually enhance a best-practices compliance program. Why the need for this update?

Noted compliance maven Karen Moore said in the book’s foreword.

There is an increasing awareness that compliance and ethics stand at a unique crossroads—the intersection of human behavior and decision-making and of corporate identity, purpose, and mission. We operate at all levels of the organization: we satisfy the board, seek to understand strategy in the C-suite, engage middle managers, and stay relevant to the factory floor and frontline workers. We reconcile the need to defend the enterprise with the need to believe in its individuals. All that, within an increasingly complex landscape of shifting regulations, emerging risk areas, and geopolitical instability.

The Compliance Handbook, 7th edition, provides an in-depth look at the latest thinking and trends for the full range of critical compliance topics, including:

  • Compliance and business ventures;
  • Third-party risk management
  • The Board’s Role in Compliance
  • Continuous improvement;
  • Compliance innovation; and
  • And much more.

The Compliance Handbook, 7th edition, also takes a close look at the roles of all professionals with compliance responsibility, from Compliance Officers and Boards of Directors to Human Resources, Internal Audit and Internal Controls, and Communications and Training professionals. Understanding compliance responsibilities across the organization remains a key theme for both the Department of Justice (DOJ) and the Securities and Exchange Commission (SEC). In this 6th edition, I expand on the concepts articulated in previous editions for operationalizing your compliance program.

What’s new for the 7th edition?

  • Key compliance enforcement actions, DOJ pronouncements, and all things compliance from 2025;
  • The revised section on the use of AI in a best practices compliance program.
  • The significant revisions to the chapter on data analytics, and
  • Looking forward to compliance in 2030 and beyond.

The Compliance Handbook, 7th edition, incorporates the most current government pronouncements governing best practices compliance programs, including the 2024 Evaluation of Corporate Compliance Programs; the new DOJ whistleblower initiative; ideas on innovation in compliance training, data, and its use in improving and maintaining corporate culture; the continued evolution of AI in compliance; and much more.

The Compliance Handbook, 7th edition, is available in both print and eBook editions.  Visit the LexisNexis® Store at https://lexisnexis.com/fox20

To save 20% on The Compliance Handbook: A Guide to Operationalizing Your Compliance Program, please use the promotion code FOX20.

Offer expires December 31, 2026. The offer applies to new orders only, before shipping and taxes are calculated, and shipped to a U.S. address. Discount will be applied to each applicable product after code FOX20 is entered.

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Everything Compliance

Everything Compliance: Episode 157, The Q2 – 2025, Great Women in Compliance Edition

A few months ago, we hosted a Special Edition of Everything Compliance, featuring the two primary hosts of the Great Women in Compliance, Lisa Fine and Hemma Lomax, along with our female panelists from Everything Compliance, Karen Woody and Karen Moore, all moderated by Kristy Grant-Hart. The episode was so popular (and the host and guests had so much fun) that everyone involved decided to make it a quarterly event. Today’s episode is hosted by Kristy Grant-Hart, with panelists Karen Moore, Lisa Fine, and Hemma Lomax.

Highlights include:

  • Lisa Discusses UK Fraud Prevention Law
  • Hema on the False Claims Act
  • Karen on Compliance, Rewards, and Incentives
  • Exploring Behavioral Science in Business
  • Ethics and Compliance Incentives
  • AI, Blackmail, and Whistleblowing
  • Sentient AI and Ethical Dilemmas
  • Rants and Raves: Compliance and Beyond

The members of this special episode of Everything Compliance (GWIC edition) are:

  • Karen Moore is an Adjunct Law professor at the Fordham School of Law.
  • Lisa Fine – is a co-host of the award-winning Great Women in Compliance.
  • Hemma Lomax– is a co-host of the award-winning Great Women in Compliance.

The host of this special episode of Everything Compliance is Kristy Grant-Hart, VP, Head of Advisory Services at Diligent and co-host of the award-winning podcast 2 Gurus Talk Compliance.

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Everything Compliance - Shout Outs and Rants

Everything Compliance: Episode 135 – Shout Outs and Rants

Welcome to the only roundtable podcast in compliance as we celebrate our second century of shows.

In this episode, we have the septet of shout-outs and rantors; Jonathan Marks, Matt Kelly, special guests Karen Moore and Mike DeBernardis, all hosted by Tom Fox.

1. Matt Kelly praises the Supreme Court for upholding the constitutionality of the CFPB’s rants about right-wing radicals trying to destroy democratic institutions through the courts.

2. Guest Panelist Karen Moore sends sympathies to all those who have experienced flooding and shouts out to two Brazilian rowers, Evaldo Mathias Becker and Piedro Tuchtenhagen, who gave up on their Olympic dreams to stay in their home state of Rio Grande do Sul after heavy rains devastated the state.

3. Jonathan Marks shouts out to Dylan Beard, a Walmart deli worker who qualified for spot at the U.S. Olympic track and field trials in June in the hurdles. As an unsponsored athlete, his employer, Walmart, presented him with a check for $20,000 so his friends and family could support him as he made his way to the Olympic trials.

4. Special Guest Panelist Mike DeBernardis shouts out to the Washington Commanders for some long-awaited sanity with the club’s new owners.

5. Host Tom Fox shouts out to the City of Louisville for the bookend of Sydney Thomas saving lives and arresting the World’s Number 1 golfer, Scottie Scheffler, while driving on his way to the PGA Golf Tournament at Valhalla Country Club.

The members of the Everything Compliance are:

• Jay Rosen – Jay can be reached at Jay.r.rosen@gmail.com

• Matt Kelly – Founder and CEO of Radical Compliance. Kelly can be reached at mkelly@radicalcompliance.com

• Jonathan Armstrong – is our UK colleague and an experienced data privacy/data protection lawyer in London. He can be reached at windyridgehouse@gmail.com.

• Jonathan Marks can be reached at jtmarks@gmail.com.

• Special Guest Karen Moore can be reached at Kmoore51@fordham.edu

• Special Guest Mike DeBernaris can be reached at the law firm’s website, www.hugheshubbard.com/.

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

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Compliance and AI

Compliance and AI: Karen Moore on The American Privacy Rights Act and AI

What is the role of Artificial Intelligence in compliance? What about Machine Learning? Are you using ChatGPT? These are but three of the many questions we will explore in this exciting new podcast series, Compliance and AI. Hosted by Tom Fox, the award-winning Voice of Compliance, this podcast, Karen Moore joins me to discuss the proposed American Privacy Rights Act (APRA) and its intersection with artificial intelligence.

Moore has expressed cautious optimism towards the act, paying particular attention to how the Act impacts artificial intelligence and automated decision-making processes. Drawing on the act’s provisions, Moore emphasizes the importance of the preemption clause, which indicates a shift towards federal regulations superseding state laws. She also underscores the potential challenges and complexities that lie ahead for companies, especially large data holders or high-impact social media companies, in adhering to the APRA’s requirements, such as conducting design evaluations, transparency obligations, and data minimization. This perspective is shaped by her extensive background in the field and her intricate understanding of the Act’s impact on data processing and AI algorithms.

Key Highlights:

  • Introduction to the American Privacy Rights Act Discussion
  • Exploring the Preemption Clause and AI Implications
  • Automated Decision-Making and Its Complexities
  • The Impact on High-Impact Social Media and Large Data Holders
  • Data Minimization Requirements and AI Challenges

Resources:

Karen Moore on LinkedIn

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Everything Compliance

Everything Compliance: Episode 134, The AI Edition

Welcome to the only roundtable podcast in compliance as we celebrate our second century of shows.

In this episode, we have a quintet of commentators; Jonathan Armstrong, Jonathan Marks, Matt Kelly, Jay Rosen, and special guest Karen Moore, all hosted by Tom Fox.

1. Matt Kelly discusses the role of the Board of Directors in AI. He rants about Kristi Noem killing her dog and that APRA should be ARPA.

2. Host Tom Fox shouts out to the revival of the Rock Opera Tommy on Broadway and to Pete Townshend

3. Jonathan Marks reviews AI and internal controls. He shouts out to Maureen Stanko and the So Much to Give Inclusive Cafe for starting a restaurant that utilizes people with autism as employees.

4. Jay Rosen considers compliance issues for AI. He shouts out to his favorite time of the sports year, with the NBA and NHL playoffs, MLB in full swing and the start of the WNBA.

5. Karen Moore considers the AI implications from the American Privacy Rights Act. She shouts out to Travis Clayton for being the first Rugby Union player to be signed to the NFL and to the Buffalo Bills for doing so.

6. Jonathan Armstrong reviews the EU AI Act. He shouts out to Kate Middleton for the grace and dignity which she has shown throughout her cancer diagnosis.

The members of the Everything Compliance are:

• Jay Rosen– Jay can be reached at Jay.r.rosen@gmail.com

• Karen Woody – Is one of the top academic experts on the SEC. Woody can be reached at kwoody@wlu.edu

• Matt Kelly – Founder and CEO of Radical Compliance. Kelly can be reached at mkelly@radicalcompliance.com

• Jonathan Armstrong – is our UK colleague, and is an experienced data privacy/data protection lawyer in London. He can be reached at windyridgehouse@gmail.com.

• Jonathan Marks can be reached at jtmarks@gmail.com.

• Special Guest Karen Moore can be reached at Kmoore51@fordham.edu

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

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Life with GDPR

Life With GDPR: Karen Moore on The EU, Corporate Sustainability Due Diligence Directive

Tom Fox and Jonathan Armstrong, renowned expert in cyber security, co-host the award-winning Life with GDPR. Jonathan is on a short hiatus and in this episode, we have a special guest, Karen Moore who discusses the EU’s Corporate Sustainability-Due Diligence Directive.

Karen Moore is a well-versed professional in the area of impact assessments and due diligence, with a particular focus on human rights and environmental issues to prevent and address potential harm. Her perspective, shaped by her extensive experience, is that impact assessments and due diligence are key indicators of a corporation’s commitment to preserving the environment and upholding human rights.

Moore emphasizes the importance of these processes not only within a company’s own activities, but also within those of its suppliers and indirect suppliers. She stresses the need for a robust due diligence process, including tracking progress, publishing annual statements, implementing complaints procedures, and involving all employees.

Additionally, she highlights the challenges of managing these processes, such as complex questionnaires for third-party suppliers and the need for streamlined assessments. She believes in a proactive approach to corporate responsibility, going beyond regulatory requirements to foster sustainable practices and ethical decision-making.

 Key Takeaways:

  • Ethical and Sustainable Business Practices Compliance Guidelines
  • Ethical Evaluation for Data Privacy Compliance in the US
  • Ethical Data Handling for GDPR Compliance
  • Ethical Business Practices in Supply Chains

 Resources:

Connect with Tom Fox

Connect with Jonathan Armstrong

Connect with Karen Moore

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Compliance Week Conference Podcast

Compliance Week 2024 Speaker Preview Podcasts – Karen Moore on Meaningful Ways to Convey the Compliance Department’s Value

In this episode of the Compliance Week 2024 Speaker Preview Podcasts series, Karen Moore discusses her panel at Compliance Week 2024, “Meaningful Ways to Convey the Compliance Department’s Value.” Some of the issues she will discuss in this podcast and her presentation are:

  • What is the value of your compliance program?
  • ROI of compliance and beyond
  • Seeing old friends and learning about new best practices at Compliance Week 2024

I hope you can join me at Compliance Week 2024. This year’s event will be held April 2-4 at the Westin Washington, DC, Downtown. The line-up is first-rate, with some top ethics and compliance practitioners around.

Gain insights and make connections at the industry’s premier cross-industry national compliance event, offering knowledge-packed, accredited sessions and take-home advice from the most influential leaders in the compliance community. Back for its 19th year, join 500+ compliance, ethics, legal, and audit professionals who gather to benchmark best practices and gain the latest tactics and strategies to enhance their compliance programs. Compliance, ethics, legal, and audit professionals will gather safely face-to-face to benchmark best practices and gain the latest tactics and strategies to enhance their compliance programs, among many others, to:

  • Network with your peers, including C-suite executives, legal professionals, HR leaders, and ethics and compliance visionaries.
  • Hear from 80+ respected cross-industry practitioners, including CEOs, CCOs, regulators, federal officials, and practitioners, to help inform and shape the strategic direction of your enterprise risk management program.
  • Hear directly from panels on leadership, fraud detection, confronting regulatory change, abiding by cross-border rules and regulations, and the always-favorite fireside chats.
  • Bring actionable takeaways from various session types, including cyber, AI, Compliance, Board obligations, data-driven compliance, and many others, to your program for you to listen, learn, and share.
  • Compliance Week aims to arm you with information, strategy, and tactics to transform your organization and career by connecting ethics to business performance through process augmentation and data visualization.

I hope you can join me at the event. For information on the event, click here. As an extra benefit to listeners of this podcast, Compliance Week is offering a $200 discount on the registration price. Enter the discount code TFOX2024 for $200 off.

The Compliance Podcast Network produces the Compliance Week 2024 Preview Podcast series. Compliance Week sponsors this series.

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Everything Compliance - Shout Outs and Rants

Shout Outs and Rants – Episode 130, The End of SPACs Edition

Welcome to the only roundtable podcast in compliance as we celebrate our second century of shows.

In this episode, we have the quartet of Jonathan Armstrong, Matt Kelly, Karen Woody, Jay Rosen, and Special Guest Karen Moore, all hosted by Tom Fox, joining us on this episode of Shout Outs and Rants.

1. Matt Kelly shouts out to the Russian people who turned in droves for the funeral of murdered activist Alexei Navalny.

2. Karen Woody shouts out to Caitlin Clark, who set the all-time single season scoring record in college basketball.

3. Special Guest Karen Moore shouts out and rants about UW killing the EU Corporate Sustainability Due Diligence Directive.

4. Jonathan Marks shouts out garbage collectors who saw a house on fire, saved the family inside and warned neighbors all before the Fire Department arrived.

5. Jay Rosen shouts out to the rich getting richer: Shohei Ohtani signing with the LA Dodgers for $700MM and deferring 97% of his salary until 2034 and to Adam Turteltaub, an uber Dodgers fan who might see a Dodgers World Series this year.

6. Tom Fox rants about the Supreme Court intentionally delaying the federal trials of Donald Trump.

The members of the Everything Compliance are:

• Jay Rosen – Jay can be reached at Jay.r.rosen@gmail.com.

• Karen Woody – One of the top academic experts on the SEC. Woody can be reached at kwoody@wlu.edu

• Matt Kelly – Founder and CEO of Radical Compliance. Kelly can be reached at mkelly@radicalcompliance.com

• Jonathan Armstrong – is our UK colleague, who is an experienced data privacy/data protection lawyer in London.

• Jonathan Marks can be reached at jtmarks@gmail.com.

• Special Guest Karen Moore is an Adjunct Professor at the Fordham School of Law. She can be reached at kmoore51@fordham.edu.

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

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FCPA Compliance Report

FCPA Compliance Report – Albemarle FCPA Enforcement Action – Internal Controls

Welcome to the award-winning FCPA Compliance Report, the longest-running podcast in compliance. Today, we begin a short podcast series on the Albemarle FCPA enforcement action. Today, we have Karen Moore on the internal controls failures and other areas identified in the SEC enforcement action.

The recent FCPA enforcement action against Albemarle has sparked a lively debate in the compliance community, particularly regarding the company’s internal controls, imposed penalties, and the lack of monitorship. While Karen is surprised at this development, Tom believes it is consistent with the new DOJ FCPA policy.

One of the key takeaways from the episode is the importance of thorough due diligence and stronger measures to prevent corruption. The case highlights the need for compliance officers to operate beyond their comfort zones and ensure that the right people receive the right training to spot issues. It also raises questions about the credibility of messages about risk tolerance from senior leadership and the effectiveness of deal reviews. Join us as we dive deeply into these issues in this FCPA Compliance Report podcast episode.

 Key Highlights:

  • Albemarle’s Penalties
  • Identifying Red Flags in Due Diligence
  • Including Monitors in Plea Deals for Compliance

Resources:

Tom Fox blog post series on the Albemarle FCPA Enforcement Action.

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Everything Compliance

Everything Compliance – The Albemarle Edition

Welcome to the only roundtable podcast in compliance as we celebrate our second century of shows. In this episode, we have the quartet of Jay Rosen, Jonathan Armstrong, Matt Kelly, and special guests Karen Moore and Kristy Grant-Hart, with Tom Fox hosting. Our topic today (with the exception of Mr. Armstrong) is the recently announced Albemarle FCPA enforcement action with both the DOJ and SEC. We conclude with our always popular and fan-favor Shout Outs and Rants.

1. Matt Kelly provides an overview of the enforcement action. He rants about former House Speaker Kevin McCarthy and the GOP’s desire for chaos rather than governing.

2. Guest Karen Moore takes a deep dive into the SEC FCPA enforcement action involving Albemarle. She rants about lawyer fees over $2000+ per hour.

3. Tom Fox shouts out to the MLB playoffs and pays tribute to Dick Butkus.

4. Guest Kristy Grant-Hart takes a deep dive into the holdback provision noted in the DOJ enforcement action.

5. Jonathan Armstrong reviews CEOs misbehaving and the corporate response. He shouts out Kortney Nordrum for her presentation on what it is like to go through a data breach.

The members of the Everything Compliance are:

•       Jay Rosen– Jay is Vice President of Business Development Corporate Monitoring at Affiliated Monitors. Rosen can be reached at JRosen@affiliatedmonitors.com

•       Karen Woody – One of the top academic experts on the SEC. Woody can be reached at kwoody@wlu.edu

•       Matt Kelly – Founder and CEO of Radical Compliance. Kelly can be reached at mkelly@radicalcompliance.com

•       Jonathan Armstrong –is our UK colleague, who is an experienced data privacy/data protection lawyer with Cordery in London. Armstrong can be reached at jonathan.armstrong@corderycompliance.com

•       Jonathan Marks can be reached at jtmarks@gmail.com.

•       Special Guest Kristy Grant-Hart is the founder of Spark Consulting.

•       Special Guest Karen Moore is an Adjunct Professor at Fordham University School of Law

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