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This Week in FCPA

Episode 290 – the Super Sunday Edition


Super Sunday is here. The NFL finally gets the game in the spotlight after weeks of brutal PR. Who ya got? “Who Dey” or Hollywood? Tom and Jay are back look at some of the week’s top compliance and ethics stories this week in the Super Sunday edition.

 Stories

1.     Do compliance professionals need a union? Dick Cassin in the FCPA Blog.
2.     Jailed employees under the FCPA. Bill Jacobsen explores in the FCPA Blog.
3.     New workplace normal for policies and training. Ingrid Freeden in Risk and Compliance Matters.
4.     New SOE risk management framework.  Alexandra Gillies and Thomas Shipley in the FCPA Blog.
5.     3 questions from KPMG and Carillion tribunal. Neil Hodge in Compliance Week(sub req’d)
6.     SFO investigation protocol announced. Mengqi Sun in the WSJ Risk and Compliance Journal.
7.     Companies yet again ask EU for rules around ESG. Lawrence Heim in practicalESG.
8.     CCOs say self-reporting a hard sell. Evren Esen in CCI.
9.     What comes next for ABC and the Olympics? Andy Spalding in GAB.
10.  The Spotify imbroglio. Matt Kelly with a 2-parter in Radical Compliance, Part 1 and Part 2.

 Podcasts and More

11.  In February on The Compliance Life, I visit with Ellen Smith, a former Director of Trade Compliance who recently started her own consulting firm. In Part 1, she discussed her academic background and early professional career. InPart 2, Ellen moves in-house.
12.  Tom and Richard Lummis begin their annual review of Best Picturing winning movies on 12 O’Clock High, a podcast on business leadership. In Part 1 they review Schindler’s List for leadership and ethical lessons. Upcoming episodes will look at Gladiator, A Man for All Seasons and Platoon.
13.  CCI releases new e-book from Tom “FCPA 2021 Year in Review”. Available free from CCI.
14.  Trial of the Century-the Enron Trial. This week, Tom premiered a 5-part podcast series on the Enron Trial with Loren Steffy, who covered the trial for the Houston Chronicle. In Part 1, run up to the trial. In Part 2, the trial begins. In Part 3, the star witnesses and key testimony. In Part 4, the Verdict comes in. In Part 5, what did it all mean. It is be available on the Compliance Podcast Network, Megaphone, iTunes, Spotify and all other top podcast platforms.
15.  In a special 2-part series on the Sunday Book Review, Tom looks at the Notre Dame Deloitte Center for Ethical Leadership’s top books on ethical leadership from 2021. Part 1 and Part 2.
Tom Fox is the Voice of Compliance and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

Categories
Daily Compliance News

February 10, 2022 the SFO Under Investigation Edition


In today’s edition of Daily Compliance News:

  • Year and a day for convicted Varsity Blues defendant. (Reuters)
  • UK launches probe of SFO over Unaoil prosecutions.  (WSJ)
  • Why you need to vet your ABC training. (NYT)
  • Brené Brown returns to Spotify. (NYT)
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Daily Compliance News

December 21, 2021 the Flash Cash Edition


In today’s edition of Daily Compliance News:

  • Another appeal of Unaoil conviction. (WSJ)
  • Trump International Hotel epicenter of massive corruption. (Insider)
  • Wyoming top state for tax havens. (WaPo)
  • Hacking for insider trading tips. (Reuters)
Categories
Daily Compliance News

December 13, 2021 CEO Takes Charge Edition


In today’s edition of Daily Compliance News:

  • SocGen CEO takes over risk management function. (Reuters)
  • Alibaba fires whistleblowers. (WSJ)
  • Lawyers doing work of lawmakers. (I’m shocked) (NYT)
  • SFO slammed in Akle decision. (WSJ)
Categories
Life with GDPR

Potpourri Edition


Jonathan Armstrong returns from assignment to take on a potpourri of issues with co-host Tom Fox. We use the recent speech by Deputy Attorney General Lisa Monaco as a jumping off point to discuss how this change in DOJ enforcement policy and focus will be impacted by GDPR, the new EU Whistleblower Directive and how increased international cooperation around international anti-corruption compliance may play out. Some of the issues we consider include:

  1. Data protection issues under the new DOJ FCPA enforcement policy?
  2. Monitorships outside the US.
  3. Data privacy and investigations.
  4. Class actions in the UK going forward.
  5. Increased cooperation between the DOJ/SEC and the UK Serious Fraud Office.

Resources
Check out the Cordery Compliance, client alert on this topic, click here. For more information on Cordery Compliance, go their website here. Also check out the GDPR Navigator, one of the top resources for GDPR Compliance by clicking here.

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Daily Compliance News

November 16, 2021 the Retro is Cool edition


In today’s edition of Daily Compliance News:

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Daily Compliance News

July 27, 2021 the SFO Still Relevant? edition


In today’s edition of Daily Compliance News:

Categories
Daily Compliance News

July 3, 2021 the Like the Mafia edition


In today’s edition of Daily Compliance News:

  • Will Wells Fargo ever change? (WSJ)
  • SFO ordered to reveal contacts with fixer. (FT)
  • DOJ probing Lordstown Motors. (WSJ)
  • Did Greensill mislead its insurers? (FT)
Categories
Daily Compliance News

April 27, 2021 the No Book Deals? edition


In today’s edition of Daily Compliance News:

  • SFO prosecution collapses. (WSJ)
  • UK blacklists for corruption. (WSJ)
  • Investors target Credit Suisse Board over risk failures. (WSJ)
  • No book deals for ex-Trump Administration? (WSJ)
Categories
Daily Compliance News

February 6, 2021, SFO Hands Spanked edition

In today’s edition of Daily Compliance News:

  • Another Varsity Blues guilty plea. (WSJ)
  • SFO loses at UK SCt. (WSJ)
  • Fairness and market plumbing. (FT)
  • SEC investigating Clover Health. (FT)