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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This Week in FCPA-Episode 99, the banks are still behaving badly edition [Video]

With Wells Fargo about to be fined $1 billion for behaving badly, Jay Rosen and myself take a look at some of the top compliance stories over the past week. 1. Wells Fargo expected to be fined $1 billion for variety of…more
 /  Business Organizations, Finance & Banking, International Law & Trade, Science, Computers, & Technology, Securities Law

Farewell to Sammartino: The Continued Unraveling of PDVSA Corruption

Yesterday Cesar David Rincon Godoy (Rincon) pled guilty to a massive money laundering scheme which took the proceeds of his corruption while he was employed at PDVSA. According to the DOJ Press Release, Rincon, a citizen of…more
 /  Commercial Law & Contracts, International Law & Trade

Farewell to Barbara Bush: The Role of a Compliance Committee Chair – Part II

The role of a Chief Compliance Officer (CCO) is that of a doer. However, if you move up to the Board of Directors and become the Compliance Committee Chair, your role changes…more
 /  Commercial Law & Contracts, International Law & Trade

Everything Compliance-Episode 27, the Zuckerberg and Cohen Edition [Video]

This week the gang goes for more of a roundtable Q&A with a couple of topics. We first consider the testimony of Facebook CEO Mark Zuckerberg before Congress and his company’s imbroglio with Cambridge Analytica and then the…more
 /  Business Organizations, Finance & Banking, International Law & Trade, Science, Computers, & Technology, Securities Law

Farewell to Hall Greer: The Role of a Compliance Committee Chair – Part I

I continually advocate that a Boards of Directors should include a compliance professional and that there should be a Compliance Committee Chair on the Board, handling ethics, compliance, #MeToo and other reputational issues,…more
 /  Commercial Law & Contracts, International Law & Trade

Compliance into the Weeds-Episode 78, an episode about Weed [Video]

In this episode, Matt Kelly and I go meta as we go into the weeds about Weed, in the context of the recent announcement by the administration that it would not prosecute persons or producers in states where marijuana sales are…more
 /  Business Organizations, Finance & Banking, International Law & Trade, Science, Computers, & Technology, Securities Law

Leadership Lessons from James Polk – Mind the Details but Don’t Take Your Eyes off the Goal

There were two economic issues that Polk accomplished which greatly furthered US economic interests. The first was the reduction of the Tariff of 1842. Polk directed Secretary of the Treasury Robert Walker to draft a lower…more
 /  Commercial Law & Contracts, International Law & Trade

Innovation in Compliance Episode 5: The Future of Disrupting Risk with Dan Torpey [Video]

Dan Torpey is a forensic accountant CPA and former auditor with over 30 years of public accounting experience. He’s a partner at Ernst & Young and the US leader of EY’s Investigation and Compliance services. With all those…more
 /  Business Organizations, Finance & Banking, International Law & Trade, Science, Computers, & Technology, Securities Law

Nights in White Satin – The Continued Pain at Wells Fargo

The Wells Fargo scandals continue to be one of the starkest lessons about the cost of a corrupt culture and the catastrophic effect it can have on an organization. The former Chief Executive Officer (CEO) and head of the…more
 /  Commercial Law & Contracts, International Law & Trade

FCPA Compliance Report-Episode 379, Steve Durham on $83MM SEC Whistleblower Award [Video]

In March the SEC made its biggest-ever whistleblower award. It gave one person more than $33 million and in the same case split nearly $50 million between two others. The previous high for an SEC award to a single whistleblower…more
 /  Business Organizations, Finance & Banking, Mergers & Acquisitions, International Law & Trade, Securities Law

Operationalizing compliance through tailored compliance training

I have considered this in the context of third-parties, forecasting and the risk management process and through the use of a root cause analysis. Today, I want to conclude this week’s blog posts with a post on operationalizing…more
 /  Commercial Law & Contracts, International Law & Trade

This Week in FCPA-Episode 98, the Sox are back edition [Video]

With the Red Sox leading the AL with a 10-2 start and back to brawling with the NY Yankees, Jay Rosen and myself take a look at some of the top compliance stories over the past week. 1. Is there a new health care focus…more
 /  Business Organizations, Finance & Banking, International Law & Trade, Securities Law

Operationalizing Compliance Through a Root Cause Analysis

This week I have been exploring how you can work to operationalize your compliance programs in ways you perhaps had not considered previously. Today I want you to consider Prong 1 of the Evaluation of Corporate Compliance…more
 /  Commercial Law & Contracts, International Law & Trade

Operationalizing your compliance program through the risk management process

I continue this week’s exploration of how to more effectively operationalize your compliance program. Yesterday, I wrote about forecasting to more fully burn compliance into the fabric of your organization…more
 /  Commercial Law & Contracts, International Law & Trade

Operationalizing through Forecasting

Sometimes I just feel a roll coming on and this week it seems the word operationalization is stuck in my head. To honor that instinct, I am going to make this week’s theme on operationalization of your compliance program…more
 /  Commercial Law & Contracts, International Law & Trade
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