As Tom revels in the Astros inexorable march towards the World Series, he and Jay reflect on Doobie Brothers nomination to the Rock N Roll Hall of Fame and also discuss some of this week’s top compliance and ethics stories which caught their collective eyes.

  1. Is disclosure of a COI enough or should companies go further? Jeff Kaplan in the Conflict of Interest
  2. What is the ‘last mile of finance’ and how is it achieved? French Caldwell explains in the Analyst Syndicate.
  3. Ex Credit Suisse bankers to testify in Mozambique corruption case. Patricia Hurtado reports in Bloomberg.
  4. French anti-corruption agency issues guideline for T&E, in a White & Case client alert on JDSupra.
  5. When COIs get people killed. Matthew Stephenson in the Global AntiCorruption Blog on Trump and his business interests in Turkey.
  6. Were Wells Fargo fraudulent accounts tactics used by AT&T? Jaclyn Jaeger explores by looking at a new lawsuit against the company in a Compliance Week (Sub Req’d).
  7. Richard Bistrong explains what channel stuffing is, how he used it to make his numbers and why it’s accounting fraud, writing in the FCPA Blog.
  8. Is it time for Boards to revisit their compliance obligations? Posted by Robert Biskup, Krista Parsons, and Robert Lamm, opine in the Harvard Law School Forum on Corporate Goverance and Financial Regulation.
  9. Doobie Brothers head (Tom’s) nominations for the 2020 inductees into the Rock N Roll Hall of Fame. Andy Greene reports in Rolling Stone.
  10. This week Jay joins Tom in a five-part podcast series exploring ethical culture in a corporation, sponsored by AMI. Check out the following lineup: 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.
  11. Popcorn and Compliance is back as Tom and Jay return to take a look at Star Trek-The Motion Picture. Its posts Saturday, October 19 at 7 AM.

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

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