The lads mourn the passing of DC (Dorothy Catherine) Fontana this week. She was one of the earliest driving forces behind Star Trek and a great screenwriter. Jay mourns the Texans first in over his Patriots in the 21st Century and they then turn to some other of this week’s top compliance and ethics stories which caught their collective eyes.

  1. Bribery and Corruption on trial. Boustani admits paying bribes but found not guilty. How did that happen? Rick Messick explains on Global Anti-Corruption Blog. Conversely, 6 FCPA defendants have been found guilty this year. Dick Cassin reports in the FCPA Blog.
  2. DOJ tweaks FCPA Corporate Enforcement Policy. Mike Volkov reviews on Corruption Crime and Compliance. Davis Polk lawyers weigh in NYU’s Compliance and Enforcement Blog.
  3. Assistant Attorney General Brian A. Benczkowski Delivers Remarks at the ACI Conference on the FCPA. See DOJ Press Release. Matt Kelly opines in Radical Compliance. Tom reports in the FCPA Compliance and Ethics blog.
  4. The most idiotic FCPA article ever. Frank Orlowski in Global Trade.
  5. Jay reminices on the founding of AMI and the creation of the independent integrity monitor in CCI.
  6. What are ethical downsides to AI in FinTech and RegTech? Kristin Broughton explores in the WSJ Risk and Compliance Journal.
  7. Don’t encourage employees to speak up if you are not ready to listen. Bob Conlin explains why in Navex Global’s Ethics and Compliance Matters blog.
  8. Fallout continues from massive money-laundering scheme ‘down under’. Jonathan Rausch in Dipping Through Geometries.
  9. A framework to think about ESG, corporate purpose and governace. Frank Glassner in Harvard Law School Forum on Corporate Goverance and Financial Regulation.
  10. Ten things to do in preparation for CCPA. Lori Tripoli reports in Compliance Week. (sub req’d)
  11. On the Compliance Podcast Network, Tom interview AMI MD, Mikhail Gordon for a sponsored podcast series on Aspects of Monitorships. In Part 1, why independence is so critical; in Part 2, the ABA on Monitors; in Part 3, How international teaching informs compliance; in Part 4 cultural differences in int’l and domestic monitorships and in Part 5, the evolution of monitorships.
  12. Reflections on DC Fontana. NYT obit, Star Trek, and Boing Boing tributes.

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