Incorporating the compliance function into a long-term business strategy starts with answering three important questions.
Tom Fox
Thomas Fox has practiced law for over 40 years. Tom writes the daily award-winning blog, the FCPA Compliance and Ethics blog and founded the Compliance Podcast Network. Tom leads the discussion on AI in compliance through his best-selling book Upping Your Game. He has 38 other books on the use of AI in compliance and business ethics, leadership including the seminal work, The Compliance Handbook, with its 7th edition coming out in 2025. He is the founder of the award-winning Compliance Podcast Network.
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Posted inBoards & Shareholders
Boards and their own succession planning
What is the board’s role in succession planning? At a bare minimum, a board should assure there is a pipeline of qualified candidates for its own succession planning.
Posted inUncategorized
What is the tone at Facebook and how far down does it go?
What does tone-at-the-top mean at an organization? Is it win at any (literally any) cost? If that really is the message, how long, then, before it permeates all the way through the organization? asks The Man From FCPA.
Posted inThird Party Risk
Pre-acquisition due diligence is critical in M&A work
Engaging in robust pre-acquisition due diligence can go a long way toward helping a company avoid FCPA liability, says The Man From FCPA.
Posted inBoards & Shareholders
The board’s role in hiring senior executives
The Man From the FCPA asks, “What is the role of a board of directors in hiring senior executives, chief compliance officers, and even other board members?” Both fiduciary risk and exposure for the board of directors cannot be overlooked.
Posted inEthics & Culture
Some troubling questions at Morgan Stanley
Allegations of domestic violence against one of Morgan Stanley’s top producers raise larger questions about the firm’s code of conduct, internal investigations, and compliance standards.
Posted inFrom the Archive
When tone at the top means cheating at the top
In one of Cricket’s biggest scandals ever, the Australian national Cricket team, concocted a scheme to scruff the ball on piece of yellow tape in the pants pocket of the bowler, Cameron Bancroft. Is the team corrupt, through and through?
Posted inRegulatory Enforcement
Be careful what you wish for, Corporate America
Businesses might soon regret the Supreme Court’s pro-business Somers decision, which impacts the Dodd-Frank Act anti-retaliation whistleblower provision.
Posted inBoards & Shareholders
CCO reporting to a board
A look at some best practices for chief compliance officers to follow when reporting to the board of directors.
Posted inAnti-Bribery
The continuous improvement cycle in compliance
There are two basic tools in the continuous improvement cycle for any best practices compliance program, auditing and monitoring. The Man From FCPA illustrates how to effectively accomplish both within your program.
