Thomas Fox
Compliance Evangelist

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11152 Westheimer
Ste. 742
Houston, TX 77042, United States
Phone: 832-744-0264
Areas of Practice
  • Business Organizations
  • Commercial Law & Contracts
  • Energy & Utilities
  • International Law & Trade
  • Securities Law
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Operationalizing Compliance: Part V – Controller’s Office

This week I have engaged in a series on how a Chief Compliance Officer (CCO) or compliance practitioner might think about operationalizing a compliance program with other corporate functions and disciplines. I have been joined…more
 /  Commercial Law & Contracts, International Law & Trade

This Week in FCPA-Episode 54, the Rubber Match Edition [Video]

This week, Jay and I have a wide-ranging discussion on some of the week’s top compliance related stories. We discuss: 1. Tom reports on Compliance Week 2017? 2. If the DOJ releases new information in the form of the…more
 /  Criminal Law, International Law & Trade, Science, Computers, & Technology, Securities Law

Day 20 - Compliance Leadership from the Bottom [Video]

The key concept from the Department of Justice’s (DOJ) Evaluation of Corporate Compliance Program (Evaluation) is operationalization. For instance, under the query Shared Commitment is the following question - “How is…more
 /  Labor & Employment Law

Operationalizing Compliance: Part IV – Internal Audit

This week I am engaging in a week-long series on how a Chief Compliance Officer (CCO) or compliance practitioner might think about operationalizing a compliance program with other corporate functions and disciplines. I am joined…more
 /  Commercial Law & Contracts, International Law & Trade

Unfair and Unbalanced-Episode 18 [Video]

In this episode, Roy Snell and myself discuss how incentives are integral to the compensation plans of a wide range of workers. Many experts point to their value in rewarding behavior that is in the interest of the organization…more
 /  Labor & Employment Law

Operationalizing Compliance Through Your Tone in the Middle [Video]

One of the ways that Human Resources (HR) can help to operationalize compliance is to assist each level of an organization to have a proper tone. While the top of an organization rightly gets much of attention, the tone about…more
 /  Labor & Employment Law

Operationalizing Compliance: Part III – Human Resources

This week I am engaging in a week-long series on how a Chief Compliance Officer (CCO) or compliance practitioner might think about operationalizing a compliance program with other corporate functions and disciplines. I am joined…more
 /  Commercial Law & Contracts

Day 18 of One Month to Better Compliance Through HR- Using Promotions to Operationalize Compliance [Video]

The role of Human Resources (HR) in anti-corruption compliance programs, is often underestimated. If your company has a culture where compliance is perceived to be in competition or worse yet antithetical to HR, the company…more
 /  Labor & Employment Law

Compliance into the Weeds-Episode 39, Disclosure of Ransomware Attacks [Video]

In this episode Matt Kelly and I take a deep dive into the question of whether a company has a duty to disclose ransomware attacks. We consider it from the regulatory, legal, ethical, law enforcement, business, PR and some other…more
 /  Criminal Law, Labor & Employment Law, International Law & Trade, Science, Computers, & Technology, Securities Law

Compliance Lessons for Executive Leadership from The Wells Fargo Investigation Report

Compliance lessons from truly one of the most damning reports of complete corporate failures around ethics and culture that has recently been seen…more
 /  Business Organizations, Criminal Law, Labor & Employment Law, Finance & Banking, Consumer Protection

Operationalizing Compliance: Part II – Breaking Through Obstacles

This week I am engaging in a week-long series on how a Chief Compliance Officer (CCO) or compliance practitioner might think about operationalizing a compliance program with other corporate functions and disciplines. I am joined…more
 /  Commercial Law & Contracts

Day 17 of One Month to Better Compliance Through HR-Using HR to Create an Ethical Culture [Video]

The Evaluation of Corporate Compliance Programs document makes clear that operationalization of compliance into an organization should be done at multiple levels in a company. Creating an ethical culture is an important step for…more
 /  Labor & Employment Law, International Law & Trade

FCPA Compliance Report-Episode 328, Chris McNett on State Street Global Advisors' ESG Institutional Investor Survey [Video]

In this episode I visit with Chris McNett, the State Street Global Advisors' Head of Environmental, Social and Governance on SSGA's ESG Institutional Investor Survey. Topics include: 1. What was the reason for the State Street…more
 /  Finance & Banking, International Law & Trade, Securities Law

Operationalizing Compliance: Part I – It All Starts with Pizza

With the release of their Evaluation of Corporate Compliance Programs (Evaluation) in February, the Department of Justice (DOJ) emphasized yet again the importance of actually doing compliance and not simply having a paper…more
 /  Commercial Law & Contracts, International Law & Trade

Day 16 of One Month to Better Compliance Through HR-The Exit Interview [Video]

The exit interview can be a further mechanism to operationalize compliance. This type of interview is used when someone voluntarily departs from a company, as opposed to a lay-off or reduction in force exercise. Typically…more
 /  Labor & Employment Law
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