With the Red Sox leading the AL with a 10-2 start and back to brawling with the NY Yankees, Jay Rosen and myself take a look at some of the top compliance stories over the past week.

  1. Is there a new health care focus coming in FCPA enforcement actions? Joseph Spinelli and Lisa Murtha explore this issue in the FCPA Blog.
  2. Mark Zuckerberg testifies before Congress. What are the implications? Sascha Matusak says a wave of litigation is coming on the SCCE Compliance and Ethics.  Ben DiPietro wraps up national coverage on the WSJ Risk and Compliance Journal. Joe Mont explores the potential regulatory aspect in Compliance Week. (Sub Req’d)
  3. The SEC awarded more than $2.1 million to a former company insider “whose information led to multiple successful enforcement actions. Dick Cassin reports in the FCPA Blog.
  4. Do ‘No-Poach’ agreements violate anti-trust law? Jaclyn Jaeger explores in Compliance Week. (sub req’d)
  5. A Navex Global report says that more hotline and whistleblower reports are turning out to be valid after corporate investigations? Henry Cutter reports on the report in the WSJ Risk and Compliance Journal. Carrie Penman considers three key finding on Navex’s Ethics and Compliance Matters
  6. Tom Topolski and Eric Feldman talk about how make the relationship between a corporate monitor and corporation work. Check out the SCCE Compliance Perspectives podcast, hosted by Adam Turteltaub.
  7. FinCen rules on customer due diligence and ultimate beneficial ownership go into effect on May 11. What are the implications for non-financial institutions? Check out FinCen’s FAQs here.
  8. Tom announces presales of his next book, the Complete Compliance Handbook, which will be published by Compliance Week in April 2018. It is available for PreSale here.
  9. Tom will be leading Convercent Roundtables on using data to drive ethics to the center of business on Houston (April 17) and Dallas (April 18). He will lead discussions on using data to drive ethics into the center of business.
  10. The Everything Compliance gang will be back on Thursday April with a deep dive into Mark Zuckerberg’s Facebook testimony, the Michael Cohen subpoena and more. Check it out next Thursday.
  11. AMI’s Eric Feldman will be speaking on How Audits Become Investigations at the 2018 Public Service Internal Audit Conference in Singapore, hosted by The Institute of Internal Auditors Singapore, on April 18, 2018. For information and registration, click here.

For more information on how an independent monitor can help improve your company’s ethics and compliance program, visit Affiliated Monitors at www.affiliatedmonitors.com.

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