The reigning World Series Champions, the Houston Astros storm into the ALCS with a sweep of Cleveland.  The team with the best record in baseball, the Boston Red Sox destroy the Yankees. The ALCS opens Saturday in Boston and comes to Houston Tuesday. Will the top podcasting duo in compliance survive? Also, Tom and Jay discuss and take a look at some of the week’s top compliance and ethics stories.

  1. What are the lessons from Styker and Petrobras about customers and the FCPA?. Tom explored in two blog separate blog series. Petrobras Part 1, Part 2 & Part 3. Stryker Part 1 and Part 2.
  2. It really is about the culture. Mike Volkov explains a new eBook, published by Corporate Compliance Insight. Available here and here.
  3. Where was she when Jay was selling shoes? Wife of ex-banker spends $21 million at Harrod’s. Dick Cassin reports in the FCPA Blog.
  4. Remember when kids with glasses were called ‘four-eyed’? Turns out having four eyes is a good thing. Jonathan Marks explains on Board and Fraud
  5. Use of internal investigations in government prosecutions just got tougher. Stewart Bishop reports in Law360 (sub req’d).
  6. Its sanctions week on the Risk and Compliance Journal (not really it just seems that way). Sam Rubenfeld reports on a Turkish firm and North Korea, Saudia Arabia and Magnitsky Act, a Lebanese businessman and Iran and a JPMorgan fine, Margot Patrick and Aruna Viswanatha report on the massive Standard Chartered. In a turnabout US says it will not sanction BP to operate gas field in North Sea owned by Iran, reported in the BBC online.
  7. Voice of America fires four employees for taking bribes in Africa. Harry Cassin reports in the FCPA Blog.
  8. Looking for the top training on how to operationalize your compliance program? Tom announces a new Compliance Master Class to be held in NYC November 12 & 13, hosted by Jonathan Marks and Baker Tilly. For agenda, more information and registration details click here.
  9. Want to attend a top compliance conference but have no travel budget? Navex Global has the answer for you with its virtual conference. Check out details and registration here.
  10. Tom premiers a new podcast series, The Opinion Release Papers which explore the FCPA Opinion Release Procedure. The first five episodes were released this week and are available on iTunes, Libsyn, JDSupra and this site. They were Opinion Releases 14-02, 14-01, 13-01, 12-02 and 12-01.
  11. Will you be attending the SCCE 2018 Compliance and Ethics Institute? If so let’s connect. Jay is hosting his annual Orphan’s Dinner on Saturday night if you are getting there early.
  12. The baseball playoffs (is there anything else?)

Sessions with AMI Personnel:

509 Decades to Build, Seconds to Destroy: Proactive Compliance On Your Own Terms to Avoid or Mitigate An Enforcement Action

Tuesday, 11:00 am – 12:00 pm

Eric Feldman, Senior VP and Managing Director, Corporate Ethics and Compliance Programs, Affiliated Monitors and Thomas Topolski, Executive Vice President, Turner & Townsend

–– Learn how proactive assessment and remediation

measures are less costly and more effective than more

potentially restrictive compliance responses.

–– Determine how company actions prior to, during, and

after an ethical crisis can help determine the severity of

fines, penalties and required remediation.

–– Explore the value of “proactive monitoring” to help

strengthen organizational culture, identify and manage

potential vulnerabilities, and establish credibility

AD11 Secrets from In-house Ethics & Compliance Buyers: How to Keep the Gate and Your Sanity

Tuesday, 1:00 –2:00 pm

Jay Rosen, VP, Business Development and Monitoring

Specialist, Affiliated Monitors, Inc.

– Learn how to manage your vendor relationships to maximize their value proposition and minimize persistent and time consuming sales pitches.

– Vendors believe they can make a buyer’s life easier, but they must listen for “buying or non-buying” cues and modulate their contact proportionately.

– While SCCE believes that tomorrow’s solutions for today’s E&C issues will come from the vendor community, in-house clients respond to authentic vendor relationships as they can easily separate salesy features from those colleagues who really care.

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