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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Soft Skills in Remediation: Part I – The Gatekeepers

Many Chief Compliance Officers (CCOs) came to the position from the legal department, internal audit or another professional discipline. These professions are technically focused and their training provides little to no soft…more
 /  Commercial Law & Contracts, International Law & Trade

FCPA Compliance Report-Episode 346, Mike Skopets on Miller’s Summer 2017 FCPA Report [Video]

In this episode, I visit with Mike Skopets, from Miller & Chevalier on the firm’s Summer 2017 FCPA Report. We discuss the background to the Report and begin with what macro trends the firm identified. We discuss the numbers of…more
 /  Criminal Law, International Law & Trade, Securities Law

Day 15 of One Month to More Effective Continuous Improvement-Risk Based Monitoring for Continuous Improvement [Video]

Another mechanism for continuous improvement of your compliance program is through risk-based monitoring. Under Prong 5 of the DOJ’s Evaluation of Corporate Compliance Programs, is the following topic and question: Manifested…more
 /  Business Organizations

Time for Compliance to Take a Stand

Chuck Duross has called the compliance profession “The Alamo” of corporate America, in that sometimes you must take a stand, draw a line in the sand and make the ultimate commitment to your values. Based upon the events in…more
 /  Commercial Law & Contracts, International Law & Trade

This Week in FCPA-Episode 66, the Take a Stand Edition [Video]

Jay and I return for a wide-ranging discussion on some of the week’s top compliance and ethics related stories, including:   1. The SEC charges KPMG and partner with blown oil and gas company audit. 2. BSRG raises its head…more
 /  Business Organizations, Finance & Banking, International Law & Trade, Securities Law

A Chief Compliance Officer's Guide to Investigations

Tom Fox in conversation with Jonathan Marks, who has laid out a concrete way for CCOs and c-level executives to think through how to plan an investigation, staff it properly and meet the inevitable challenges…more
 /  Business Organizations, Criminal Law

Why Wells Fargo Needs Compliance Expertise on its Board

In a New York Times (NYT) Dealb%k article, entitled “Wells Fargo Vice Chairwoman to Succeed Departing Chairman”, Stacy Cowley reported that the Wells Fargo Board of Directors Chairperson, Stephen W. Sanger, will retire at the…more
 /  Commercial Law & Contracts, Finance & Banking, International Law & Trade

Compliance into the Weeds-Episode 50, Where's the Upside? [Video]

In this very topical episode Matt Kelly and I take a deep dive into the administration’s response to the events over the weekend in Charlottesville and what it means for business leaders, compliance practitioners and others…more
 /  Business Organizations, Finance & Banking, International Law & Trade, Science, Computers, & Technology, Securities Law

Day 12 of One Month to More Effective Continuous Improvement-Keeping Track of Current Events [Video]

In 2015, the Securities and Exchange Commission (SEC) announced resolution of a Foreign Corrupt Practices Act (FCPA) enforcement action involving the Hitachi Ltd (Hitachi). There were several interesting aspects to this…more
 /  Business Organizations, Finance & Banking, International Law & Trade, Science, Computers, & Technology, Securities Law

Leadership Lessons from James Madison

I continue my leadership series based upon the lives of US Presidents by looking at leadership lessons from the fourth President, James Madison. Madison lived a life full enough for several people. He served as both a member of…more
 /  Commercial Law & Contracts, International Law & Trade

Day 13 of One Month to More Effective Continuous Improvement-Big Data and Continuous Monitoring [Video]

I continue my discussion of continuous improvement using big data in a best practices compliance program, with some thoughts on how to use it going forward. In an eBook, entitled “Planning for Big Data – A CIO’s Handbook to the…more
 /  Business Organizations, Finance & Banking, International Law & Trade, Science, Computers, & Technology, Securities Law

Across the Board-Episode 4, Why Wells Fargo Needs Compliance Expertise on its Board [Video]

In this episode, I explore why Wells Fargo needs a true compliance expert on its Board of Directors. The Wells Fargo Board needs someone with compliance expertise to oversee of the role of the Chief Compliance Officer (CCO) and…more
 /  Business Organizations, Energy & Utilities, Finance & Banking, Science, Computers, & Technology, Securities Law

Day 11 of One Month to More Effective Continuous Improvement-the Desktop Risk Assessment [Video]

Another mechanism to facilitate continuous improve comes from ideas around risk assessments. Both the Department of Justice (DOJ) and Securities and Exchange Commission (SEC) make clear the need for a risk assessment to inform…more
 /  Business Organizations, Finance & Banking, International Law & Trade, Science, Computers, & Technology, Securities Law

Leadership Lessons from Dunkirk [Video]

In this episode Richard Lummis and I consider the movie Dunkirk and the leadership lessons which can be drawn from the movie and historical events. If you have not seen it, I would suggest you go to see what I believe is the…more
 /  Business Organizations, Finance & Banking, International Law & Trade, Science, Computers, & Technology, Securities Law

Leadership Lessons from Dunkirk

There are several leadership lessons which I believe can be learned from the British (and German) experiences at Dunkirk, which was a series of battles, campaigns and events that lasted from May 25, 1940 until June 4, 1940…more
 /  Commercial Law & Contracts, International Law & Trade
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