As the lads wish a fond farewell to May, enjoy the Astros still leading the MLB with the best record and looking forward to the start of summer, they return to discuss both events some of this week’s top compliance and ethics stories which caught their collective eyes.

    1. Dave Lefort’s Top 10 takeaways from Compliance Week 2019. On the newly revised Compliance Week (sub req’d) Tom, Mary Shirley, Lisa Fine and Amii Bernard-Bahn provide their reflections on a cross-posted podcast. On the FCPA Compliance Report and on Great Women in Compliance.
    2. Why ethics matters at the top. Jeff Kaplan on Conflicts of Interest
    3. Can UNCAC help Mozambique recover funds stolen through corruption? Rick Messick explores in Global Anti-Corruption
    4. What is cooperation and remediation? Matt Kelly explores an OFAC enforcement action involving State Street Global in Radical Compliance.
    5. Why is pre-acquisition DD from the compliance perspective now critical in France? Antoine F. Kirry, Frederick T. Davis, and Alexandre Bisch discuss on NYU’s Compliance and Enforcement Blog.
    6. How much does a monitorship cost? Jay continues his multipart series on monitorships in his Corporate Compliance Insights
    7. How do you audit your investigative protocol? Mike Volkov explains in a 3-part series on his blog site Corruption, Crime and Compliance. (Part 1, Part 2, Part 3) If. You prefer the audio format of a podcast, click here.
    8. Why is visibility key for compliance? Elsa Chan explores in the FCPA Blog.
    9. CITGO now part of PdVSA/Venezuelan corruption scandal. Dick Cassin reports in the FCPA Blog. Marissa Luck in the Houston Chronicle.
    10. Is there a legal duty to set the right ‘tone at the top?” Article in Harvard Law School Forum on Corporate Governance and Financial Regulation.
    11. This week Tom had a special 5-part podcast series sponsored by Hanzo on using AI and data analytics in compliance investigations. Check out the following: Part 1-Current State of Investigations; Part 2-Using AI and Web-Based Evidence; Part 3– Overcoming Investigative Challenges; Part 4-Improving Investigative Efficiencies; Part 5-Where are investigations headed? The podcast is available on multiple sites: the FCPA Compliance Report, iTunes, JDSupra, Megaphone, YouTube,  Spotifyand Corporate Compliance Insights. The Compliance Podcast Network joins C-Suite Radio.
    12. Join Tom in Boston for industry leading Compliance Master Class on June 11 & 12. Listeners who attend will receive a complimentary copy of The Compliance Handbook. Registration and Information is here. Join Tom, Eric Feldman, Vin DiCianni and Jay at the AMI Roundtable in Boston on June 13 for a deep dive into the DOJ’s new Evaluation of Corporate Compliance Programs-2019 Guidance. Information and registration is here.

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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