The Boston Red Sox storm into the World Series after defeating the Houston Astros in the ALCS. Will the team with the best record in baseball take home the trophy this year? Jay and Tom (well really just Jay) hit the highlights from the Sox 4-1 shellacking of Houston. Tom takes his medicine as they take a look at some of the week’s top compliance and ethics stories.

  1. The Benczkowski Memo continues to be sliced and diced. Tom had two posts on it, an overview and what it means for compliance practitioners. Channelling his inner cynical journalist, Matt takes a dim view of it on Radical Compliance. Tom and Matt hash it out on Compliance into the Weeds. Dick Cassin reports in the FCPA Blog. Sam Rubenfeld reports in the Wall Street Journal Risk and Compliance Journal.
  2. Is your country trustworthy. Barbara Brooks Kimmel on the TrustAcrossAmerica on the 2018 Country Trust Index in the FCPA Blog.
  3. The SEC says companies need better controls to stop phising expeditions. Ezequiel Minaya reports in the WSJ. Doug Cornelius weighs in on his Compliance Building. Kevin Lacroix looks at it from the insurance angle in his D&O Diary.
  4. Mike Volkov channels his inner Moody Blues when he saws CCOS are on the see-saw. It’s a balancing act for every CCO in Corruption, Crime and Compliance.
  5. Continuing his tipping point theme, Mike Volkov says we are at a tipping point for 3rdparty risk management. In Navex Global’s Compliance and Ethics Matters. Also check out Navex Global’s 2018 Third-Party Risk Management Benchmark Report here.
  6. The International Forum on Business Ethical Conduct recently published guidelines for model business courtesies and hospitality. Kelvin Stroud writes about it in the FCPA Blog.
  7. A Yank in the SFO? Not really, as she is British born but American bred head. Lisa Osofsky, new head of the UK Serious Fraud Office returns to the colonies to talk about enforcement of the SFO going forward. Reported in NYU’s Compliance and Enforcement
  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 premiered a new podcast series, Adventures in Compliancewhich explores the intersection of Sherlock Holmes and Compliance. The first five episodes were released this week and are available on iTunes, Libsyn, JDSupra and this site. They were the Red Circle and Communications; the Abbey Grange and Institutional Justice; the Priory School and Criminality; the Six Napoleons and Mentoring and the Empty House and Imagination in Compliance.
  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. Give him a shout to connect.
  12. World Series predictions?

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

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