The Astros continue their inexorable march back to the World Series (Take It Back) as the Red Sox hover at .500. Never one to gloat, Tom takes a break to join Jay to discuss both events some of this week’s top compliance and ethics stories which caught their collective eyes.

  1. Uber stumbles at going IPO. What role did its culture, lack of compliance and ethics play? The New York Times Dealbook explore in depth.
  2. Belying those who advocate a paper program compliance defense, DOJ/SEC require compliance programs which actually works. Matt Kelly in Navex’s Ethics and Compliance Matters
  3. What is up with Ephemeral Messaging for Businesses? Avi Gessner, Daniel Foerster and Mengyi Xu consider in NYU’s Compliance and Enforcement Blog.
  4. What criteria should be used to make reparations to victims of corruption? Sam Hickey explores in Global Anti-Corruption Blog.
  5. Hong Kong criminally indicts ex-JP Morgan banker in Princeling case. Harry Cassin reports in the FCPA Blog.
  6. FCPA Unit head Dan Kahn discusses evolution in FCPA enforcement. Clara Hudson reports in GIR (sub req’d)
  7. Mongolia exiled McKinsey. Ian McDougall reports in ProPublica.
  8. Federal judge lambastes SEC for filing on VW nearly 4 years after emissions-testing scandal erupted. David Shepardson reports in the NYT.
  9. What is the fraud risk for non-profits? Jonathan Marks considers in Board and Fraud.
  10. Last week, Tom had a special 5-part podcast series with Don Stern, Managing Director at AMI on Use of Monitors by Defense Counsel. Check out the following: Part 1-Introduction;Part 2-the Nuts and Bolts; Part 3– Case Studies; Part 4-in the Health Care industry; Part 5-Non-Profits and Varsity Blues. The podcast is available on multiple sites: the FCPA Compliance Report, iTunes, JDSupra, Megaphone,YouTube,  Spotify and Corporate Compliance Insights. The Compliance Podcast Network.
  11. Join Tom at Compliance Week 2019. It is one of the top compliance and ethics conferences of the year. This year, Tom is joined by Jonathan Marks in leading a pre-conference workshop on Sunday afternoon about handling internal investigations and performing a root cause analysis. Monday will include a keynote address from the always popular Hui Chen, Tuesday Preet Bharara. To review the full agenda, see who is speaking or to review the registration information click on the appropriate link. Best of all, if you have read this blog,  you are eligible for a discount on the conference cost. Enter code “TOM300” at checkout to save $300 from your registration.

Tom Fox is the Compliance Evangelist and can be reached at Jay Rosen is Mr. Monitor and can be reached at

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