As Tom watches the Astros inexorable march towards the World Series, he and Jay reflect on the difficulty of the NBA in navigating their Chinese waters, they then discuss some of this week’s top compliance and ethics stories which caught their collective eyes.

  1. DOJ announced new guidelines for determination of inability of a company to pay a fine or penalty. Matt Kelly reports in Radical Compliance.
  2. NBA steps in it in China. Chris Mannix on Daryl Morey’s original tweet that set off the firestorm in; the NBA tries to walk it all back, Michael Powell reports in the New York Times; then Adam Silver finds a spine, Chris Mannix reports in
  3. Named in a FCPA investigation? No defamation case for you. Hailey Connath reports in Law360.
  4. A new way to calculate SEC whistleblower awards. Amanda Rose discusses her paper in the FCPA Blog.
  5. What is the intersection of compliance and tech? (Answer-it’s all about culture). Mike Volkov opines in Corruption Crime and Compliance.
  6. What is the CCO’s role in culture? Jay continues his 5-part series in CCI.
  7. Caremark duties extend to monitoring, not simply oversight. Kevin LaCroix explains in the D&O Diary.
  8. What is the interest group theory of anticorruption enforcement? Sean Griffin and Thomas Lee in a new University of Illinois Law Review
  9. What is the reverse agency problem for corp officers and directors? Asaf Eckstein and Gideon Parchomovsky opine in the Harvard Law School Forum on Corporate Goverance and Financial Regulation.
  10. Listen in next week, where Jay joins Tom in a five-part podcast series exploring ethical culture in a corporation, sponsored by AMI. The lineup will be the following: Monday-What is Ethical Culture; Tuesday-Factors Influencing Ethical Culture; Wednesday-The Role of the CCO; Thursday Assessing Ethical Culture Friday- the Role of Ethical Culture in an Overall E&C Program. The podcast will be 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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