As Tom recovers from the Astros loss to the Washington Nationals, two huge stories break, Unaoil guilty pleas and Jho Low agrees to forfeiture. He and Jay review them and reflect on some other of this week’s top compliance and ethics stories which caught their collective eyes.

  1. The Hoskins trial begins. Dylan Tokar reports in WSJ. Law360 has two reports: Daniel Seigel provides background and previews the case & Cara Salvatore on the DOJ Opening Statement.
  2. Jho Low agrees to forfeit all goods claimed by in US in its civil forfeiture actions. Byron Tau and Aruna Viswanathan report in the WSJ.
  3. Is the DFS about to bring the hammer down on cyber breaches? Davis Polk lawyers in NYU’s Compliance and Enforcement
  4. What are the stakes for corporate wrongdoers? Dan Portnoy in the Grand Jury Target.
  5. Unaoil CEO and COO, plus head of BD all plead guilty as pleas unsealed. Dick Cassin breaks the story in the FCPA Blog.
  6. Mattel announces material controls weakness. Jaclyn Jaeger reports in Compliance Week. (sub req’d)
  7. Should a merger partner be an ethical fit? Jay explores in his continuing series on CCI.
  8. What will the Crown Prosecution Service review of the SFO mean going forward? Sam Tate and Charlotte Thompson explains in the FCPA Blog.
  9. Quid Pro Quo-a Primer. Rick Messick in Global Anticorruption Blog.
  10. What are 5 steps you can engage in to improve BOD monitoring of compliance. Mike Volkov explains on Corruption, Crime and Compliance.
  11. Tom had a great group of top-notch podcasts, this week on the CPN. Check out the following lineup: FCPA Compliance Report– Steven Lofchie on the Cadwalader Cabinet; Innovation in Compliance-Thinkeen Law, a law firm that focuses on data and compliance; #GWIC with Part 1 of a 2-part podcast with Michelle Shapiro; 12 O’Clock High– Branding lessons from Count Dracula; Popcorn and Compliance-Jay and Tom consider the compliance angles from Star Trek II-The Wrath of Khan, Sunday Book Review-four books from the UNC Press. The podcasts are available on multiple sites: the FCPA Compliance Report, iTunes, JDSupra, Megaphone, YouTube,  Spotify and the Compliance Podcast Network.
  12. Check in next week where Ronnie Feldman and I have a 5-part podcast series on Creativity and Compliance celebrating Compliance Week 2019.

Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

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

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