Thomas Fox – Compliance Evangelist

This Week in FCPA-Epiode 24, the SCCE Edition [Video]

Show Notes for Episode 24, week ending September 30, 2016-the SCCE Edition 1. Misonix discloses possible FCPA violations, 2. The Anheuser-Busch InBev SEC FCPA enforcement action, 3. Och-Ziff SEC FCPA enforcement action,…more
| Commercial Law & Contracts, Finance & Banking, International Law & Trade, Science, Computers, & Technology, Securities Law

Anheuser-Busch InBev and Lessons in Joint Venture FCPA Compliance

Just in time for National Beveridge Day comes the Foreign Corrupt Practices Act (FCPA) enforcement action involving Anheuser-Busch InBev (ABI), where the company paid $6 million to settle charges that it violated the FCPA and…more
| Civil Procedure, Civil Remedies, Commercial Law & Contracts, Labor & Employment Law, International Law & Trade

FCPA Compliance Report-Episode 281-SCCE CEI Wrap-up, Part I [Video]

In this episode, I sit down with 4 top compliance commentators to discuss the SCCE 2016 Compliance and Ethics Institute conference. The panelists include Jay Rosen, Jonathan Armstrong, Mike Volkov, Matt Kelly and myself. We…more
| Finance & Banking, Mergers & Acquisitions, International Law & Trade, Science, Computers, & Technology, Securities Law

Good-Bye to Arnold Palmer and Revolutionizing Compliance

The golfing world and the world of beverages lost one of their giants earlier this week. I, of course, refer to golfing and beverage legend Arnold Palmer. The legend around the beverage is that at dinner one evening Palmer…more
| Commercial Law & Contracts, International Law & Trade

Bill Baer at SCCE: What is Extensive Cooperation

The second day of the SCCE Compliance and Ethics Institute (CEI) Conference began with Principal Deputy Associate Attorney General Bill Baer providing remarks. After opening with how aggressively the Department of Justice (DOJ)…more
| Commercial Law & Contracts, International Law & Trade

The Ping FCPA Enforcement Action: Lessons for the Compliance Practitioner

The Securities and Exchange Commission (SEC) settled a Foreign Corrupt Practices Act (FCPA) enforcement action against an individual earlier this month when it announced the resolution of a matter involving Jun Ping Zhang, via a…more
| Commercial Law & Contracts, Mergers & Acquisitions, International Law & Trade, Science, Computers, & Technology

Houston Professional Football Stays the Same; Compliance Evolves

The history of professional football in Houston is certainly star-crossed. After winning the first two American Football League (AFL) championships in 1960 and 1961, the Oilers never made it back to the big game. After the…more
| Commercial Law & Contracts

Wells Fargo Week: Part V – Compliance is the Answer

I want to end this week’s review of the Wells Fargo scandal by considering what is at issue and what is at stake in this imbroglio. Unlike a Foreign Corrupt Practices Act (FCPA) violation, Wells Fargo paid the relatively paltry…more
| Commercial Law & Contracts, Finance & Banking, International Law & Trade

This Week in FCPA-Epiode 23, the Wells Fargo edition [Video]

In this week's episode, Jay Rosen and I discuss the following: Show notes for this week’s edition: 1. Tom's week long series on Well’s Fargo scandal. 2. Christina Muehl’s two part series on Corruption, Crime and…more
| Finance & Banking, Law Practice Products & Services, International Law & Trade, Science, Computers, & Technology, Securities Law

Wells Fargo Week: Part IV – Senior Management, the Board and Corporate Governance Issues

At least he fessed up that it was not the (non) rogue 5,300 employees that were responsible for defrauding Wells Fargo customers. At the Senate Banking Committee hearing, held on Tuesday 20th September, Wells Fargo Chief…more
| Commercial Law & Contracts, Finance & Banking

FCPA Compliance Report-Episode 280-Tim Hedley and Rich Girgenti on their new book The New Era of Regulatory Enforcement [Video]

In this episode, authors Tim Hedley and Rich Girgenti discuss their new book The New Era of Regulatory Enforcement…more
| Commercial Law & Contracts, Criminal Law, Finance & Banking, International Law & Trade, Securities Law

Wells Fargo Week, Part III-the Bank Knew All Along

You know it is going to be a very bad day when, as a company’s Chief Executive Officer (CEO), you receive a letter asking the following, “Specifically, the committee should thoroughly examine this issue, including: How it is…more
| Commercial Law & Contracts, Finance & Banking

Wells Fargo Week – Part II: Tones at the Tops

Tone at the top is the single most ubiquitous phrase in compliance. However, I heard it phrased in a manner last week which not only made sense but explained why it is the most used phrase. It came from Vanessa Rossi, FCPA Due…more
| Commercial Law & Contracts, Finance & Banking

Compliance into the Weeds-Episode 14-Wells Fargo and the Fraud Triangle [Video]

In this episode, Matt Kelly and I take a look at the Wells Fargo scandal through the lens of the fraud triangle…more
| Business Organizations, Commercial Law & Contracts, Finance & Banking, Science, Computers, & Technology, Securities Law

FCPA Compliance Report-Episode 279-Adam Turteltaub on the SCCE 2016 Compliance and Ethics Institute [Video]

In this episode I visit with Adam Turteltaub about the upcoming SCCE 2016 Compliance and Ethics Institute…more
| Communications & Media Law, Finance & Banking, International Law & Trade, Science, Computers, & Technology, Securities Law
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