As the whole world counts down to the US election, Tom and Jay are back to look at top compliance articles and stories which caught their eye this week.

  1. Goldman Sachs settles FCPA enforcement action involving Tom with a five-part series on FCPA Compliance and Ethics Blog, Mike Volkov with a 3-part series on Corruption, Crime and Compliance, Tom and Matt on Compliance into the Weeds and the Everything Compliance gang with their first emergency video podcast.
  2. The Beam Suntory FCPA enforcement action. Harry Cassin breaks the story in the FCPA Blog. Matt Kelly provides some lessons in Radical Compliance.
  3. What can investigators learn from Wirecard? Llyodette Bai-Marrow in the FCPA Blog.
  4. TLI President sentenced to 48 months in prison. Dylan Tokar in the WSJ Risk and Compliance Journal.
  5. Why the Exit Interview is such a useful exercise. Jonathan Marks in Board and Fraud.
  6. It’s Halloween. What are your (corp) skeletons? Michael Toebe in CCI.
  7. Experian to appeal ICO fine. Jaclyn Jaeger in Compliance Week.
  8. Channel you inner Sherlock Holmes to determine UBOs. Alia Noor on com.
  9. On the Compliance Podcast Network, on 31 Days to a More Effective Compliance Program, we continue our exploration of compliance for Business Ventures.  Monday-Franchisor Liability; Tuesday-Franchisor compliance; Wednesday– Following the money thru distributors; Thursday– Distributor liability; Friday– Why Business Ventures are Different than 3rd Parties. Note 31 Days to a More Effective Compliance Program now has its own iTunes channel. If you want to binge out and listen to only these episodes, click here.
  10. Join K2 Intelligence FIN for a November 5 webinar, highlighting scenarios in which investigative due diligence can help uncover areas of risk and opportunity in the wake of COVID-19. Learn more and register here.
  11. Virtual book launch for Sending the Elevator Back Down. Thursday, November 5, 4:30 ET. Information and registration here.

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.

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