In this episode, Jay Rosen and myself take a look at some of the top compliance stories over the past week.

  1. The government indicts 5 KPMG partners and one former PCAOB professional for tipping the firm off from upcoming reviews of KPMG audits. Matt Kelly discusses in Radical Compliance. Francine McKenna reports in MarketWatch. Tom considers the matter in the FCPA Compliance Blog. Tammy Whitehouse asks if audit results should be restated in Compliance Week. Finally go into the weeds with Tom and Matt Kelly in Compliance into the Weeds, Episode 67.
  2. Mike Volkov suggests that CCOs renew Corporate Vows to the Chief Compliance Offi
  3. Dick Cassin considers whether employees are measuring up to the aspirations set in their corporate Code of Conduct, in the FCPA Blog. Taking a AI angle, Sam Rubenfeld reports how Accenture uses bots to bring it Code of Conduct to employees, in the WSJ Risk and Compliance Journal.
  4. Jonathan Marks writes about the Board of Directors Guide to FCPA Compliance, in his Board and Fraud
  5. Is your compliance function a part of your pre-acquisition M&A team? Henry Cutter explores this issue in the Wall Street Journal Risk and Compliance Report.
  6. Eric Newcomer and Brad Stone have a terrifying story you cannot put down about the fall of Travis Kalanick. They report in Bloomberg Business Week.
  7. Vince Walden writes about preventing fraud, enhancing compliance using digital twins. His article appears in Fraud-Magazine.com.
  8. Join Tom’s monthly podcast series on One Month to a More Effective Compliance Program, sponsored this month by Convercent. In January, I bring together the entire year of compliance program best practices with 31 days to a more effective compliance program. It is available on the FCPA Compliance Report, iTunes, Libsyn, YouTube and JDSupra.
  9. Tom announces his next Compliance Master Class, sponsored by Marcum LLP. It will be held on February 12 & 13 at Marcum’s offices in Miami, FL. More information or a copy of the agenda, or to register, will be available on my website, FCPA Compliance Report or at Marcum LLP.
  10. Join Tom at the SCCE Utilities and Energy Conference in DC on February 4-7. For registration and information click

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