As Tom watches the Astros inexorable march towards the World Series, he and Jay reflect on Converge19, which concluded this week and turned to discuss some of this week’s top compliance and ethics stories which caught their collective eyes.

  1. The SEC settles a trio of FCPA cases to end its enforcement year. Tom discusses them on the FCPA Compliance and Ethics blog; Barclays, Westport Fuel Systems, and Quad/Graphics.
  2. Will Africa’s dream of free trade be crushed by corruption. Patrick Bizimana weighs in on the FCPA Blog.
  3. What is compliance in the world’s most famous soccer club? Dick Cassin reports in the FCPA Blog.
  4. DOJ closes investigations into ENI for allegations of corruption in Algeria and Nigeria. Olivia Bugaul and Dylan Tokar report in the WSJ Risk and Compliance Journal on ENI. Dylan Tokar on the Shell DOJ, also in the WSJ Risk and Compliance Journal.
  5. How can you avoid an inadvertent waiver of privilege? Cleary Gottleib lawyers expound in NYU’s Compliance and Enforcement blog.
  6. What is the CCO’s role in culture? Jay continues his 5-part series in CCI.
  7. Where is FCPA enforcement headed? Anne Eberhardt opines in CCI.
  8. For every risk management strategy, you need a crisis management plan. French Caldwell explains in the Analyists Syndicate.
  9. New federal legislation proposed to protect whistleblowers. Lawyers from Choate Hall consider in Navex Global’s Ethics Matters blog.
  10. Tom was joined by Phil Fry this week in a five-part podcast series, sponsored by Verint, on the future of financial services compliance. Check out the following: Monday-Challenging the Accepted Wisdom; Tuesday-Capture;Wednesday-Control; Thursday Sustainability Friday– Maintaining Oversight. The podcast is available on multiple sites: the FCPA Compliance Report, iTunes, JDSupra, Megaphone, YouTube,  Spotify and the Compliance Podcast Network.

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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