Thomas Fox

The Passing of Günter Grass and Compliance Week 2015 Is Near

Günter Grass died this week. The contradictions that made up post-war Germany were wrapped up in him as well as any other single person I know anything about. He was a Nobel Prize winner for literature, who, it was revealed late…more
| Commercial Law & Contracts, Finance & Banking, International Law & Trade, Securities Law

FCPA Compliance and Ethics Report-Episode 151-Glenn Lammi of the Washington Legal Foundation [Video]

In this episode I visit with Glenn Lammi of the Washington Legal Foundation who discusses the work of the WFL…more
| Commercial Law & Contracts, Finance & Banking, Mergers & Acquisitions, International Law & Trade, Securities Law

Consumer Protection and Your Business

You’ve been hearing for a while now that the regulatory environment has been changing, and you follow the Consumer Financial Protection Bureau (“CFPB”) alerts to see if this new regulator will be looking at your type of business…more
| Commercial Law & Contracts, Finance & Banking, Privacy, Consumer Protection, Science, Computers, & Technology

FCPA Compliance and Ethics Report-Episode 150-Tanya Otterstein-Liehs on the Process of Fitness [Video]

In this episode, I visit with Canadian fitness guru Tanya Otterstein-Liehs on her process approach to fitness, the need for a positive attitude in any job you perform and how she has been able to create a large clientele using…more
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Five Step Process for Transaction and Continuous Controls Monitoring

Most Chief Compliance Officers (CCOs) and compliance practitioners understand the need for transaction monitoring. Whether it be as a part of your overall monitoring of third parties, employees, or to test the overall…more
| Commercial Law & Contracts, International Law & Trade

Lincoln Assassinated and HSBC’s Continued Self-Inflicted Woes

HSBC continues to stay in the news, unfortunately largely for the wrong reasons in the realm of anti-corruption, facilitating tax evasion and money laundering. In an article in the New York Times (NYT), entitled “HSBC Is Deemed…more
| Commercial Law & Contracts, Criminal Law, Finance & Banking, International Law & Trade

Brazilian Corruption Scandal Expands Past Petrobras – Is a FCPA Country Sweep Next?

The Brazilian corruption scandal took a new turn last week, when the Brazilian government announced that it was investigating the country’s health ministry and the state-owned bank Caixa Econômica Federal (Caixa). As reported by…more
| Commercial Law & Contracts, International Law & Trade

International Anti-Corruption Enforcement Efforts

While the US Foreign Corrupt Practices Act (FCPA) is still the most widely recognized and enforcement anti-bribery and anti-corruption law across the globe, there have been a number of initiatives which will lead directly to…more
| Commercial Law & Contracts, International Law & Trade

FCPA Compliance and Ethics Report-Episode 149-Patrick Taylor of Oversight Systems on developments in transaction monitoring [Video]

In this episode I visit with Patrick Taylor, CEO of Oversight Systems on some of the newest developments in tools to facilitate transaction monitoring…more
| Commercial Law & Contracts, Finance & Banking, International Law & Trade, Securities Law

FCPA Compliance and Ethics Report-Episode 148-Mike Volkov on Criminal Enforcement of the Internal Controls Provisions of the FCPA [Video]

In this episode I visit with Mike Volkov on his recent series on internal controls under the FCPA and his belief that the DOJ may be moving towards criminal enforcement of the internal controls provisions…more
| Commercial Law & Contracts, Finance & Banking, Mergers & Acquisitions, International Law & Trade, Securities Law

The WPA and More Productive Compliance Meetings

On this day 80 years ago, Congress created the Works Progress Administration (WPA), a central part of President Franklin D. Roosevelt’s New Deal. The WPA was established under the Emergency Relief Appropriation Act, as a means…more
| Commercial Law & Contracts

FCPA Compliance and Ethics Report-Episode 147-Prof. David Orozco on the use of compliance as a business strategy [Video]

In this episode I visit with Florida State University Professor David Orozco about his recent article on the use of corporate legal as a business strategy and its implications for the compliance practitioner…more
| Commercial Law & Contracts, Finance & Banking, Mergers & Acquisitions, International Law & Trade, Securities Law

Rolling Stone’s Rape Story Retraction: Lessons for the Compliance Practitioner

There are only a very few magazine articles that have radically affected me when I read them. Nick Hornby’s account of a group of soccer hooligans, where he chronicled when they traveled to and briefly took over the Italian city…more
| Commercial Law & Contracts, International Law & Trade

Tribute To Eddie LeBaron and CCO as Compliance Project Sponsor

Today we celebrate Eddie LeBaron, who died last week. LeBaron was a diminutive pro quarterback for 11 seasons in the National Football League (NFL) in the 1950s and 1960s. He was also a lawyer and decorated veteran, having been…more
| Commercial Law & Contracts

Why Tone at the Top Matters and Join the FCPA Professor in Houston

Over this week I have looked at some issues related to compensation and methods from other disciplines that a compliance practitioner might use to test and then improve a company’s third party management regime. Today, I want to…more
| Commercial Law & Contracts, International Law & Trade
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