Day 23 - Investigative Protocols

Welcome to 31 Days to a More Effective Compliance Program. Over this 31-day series in January 2026, Tom Fox will post a key component of a best-practice compliance program each day. By the end of January, you will have enough information to create, design, or enhance a compliance program. Each podcast will be short, at 6-8 minutes, with three key takeaways that you can implement at little or no cost to help update your compliance program. I hope you will join each day in January for this exploration of best practices in compliance. In today’s Day 31 episode, and our final day in this 2026 update to 31 Days to a More Effective Compliance Program, we end with a review of root cause analysis. Key highlights: Integrating Root Cause Analysis into Solutions Regulatory Expectations and Internal Controls Performing Effective Root Cause Analysis Developing and Implementing Solutions Resources: Listeners to this podcast can receive a 20% discount on The Compliance Handbook, 6th edition, by clicking here. Learn more about your ad choices. Visit megaphone.fm/adchoices

Welcome to 31 Days to a More Effective Compliance Program. Over this 31-day series in January 2026, Tom Fox will post a key component of a best-practice compliance program each day. By the end of January, you will have enough information to create, design, or enhance a compliance program. Each podcast will be short, at 6-8 minutes, with three key takeaways that you can implement at little or no cost to help update your compliance program. I hope you will join each day in January for this exploration of best practices in compliance. In today’s Day 30 episode, we discuss the Foreign Extortion Prevention Act (FEPA), a significant piece of legislation that fills a critical gap in the FCPA. Key highlights: Filling the Gap in Anti-Corruption Laws Key Features and Implications of FEPA Challenges in Implementing FEPA The Name and Shame List Resources: Listeners to this podcast can receive a 20% discount on The Compliance Handbook, 6th edition, by clicking here. Learn more about your ad choices. Visit megaphone.fm/adchoices

Welcome to 31 Days to a More Effective Compliance Program. Over this 31-day series in January 2026, Tom Fox will post a key component of a best-practice compliance program each day. By the end of January, you will have enough information to create, design, or enhance a compliance program. Each podcast will be short, at 6-8 minutes, with three key takeaways that you can implement at little or no cost to help update your compliance program. I hope you will join each day in January for this exploration of best practices in compliance. In today’s Day 29 episode, we explore how Chief Compliance Officers and compliance professionals can enhance their programs through automation. Key highlights: Challenges in Traditional Compliance Reporting The Role of Reg Ops in Compliance Integrating Tools for Real-Time Compliance Resources: Listeners to this podcast can receive a 20% discount on The Compliance Handbook, 6th edition, by clicking here. Learn more about your ad choices. Visit megaphone.fm/adchoices

Welcome to 31 Days to a More Effective Compliance Program. Over this 31-day series in January 2026, Tom Fox will post a key component of a best-practice compliance program each day. By the end of January, you will have enough information to create, design, or enhance a compliance program. Each podcast will be short, at 6-8 minutes, with three key takeaways that you can implement at little or no cost to help update your compliance program. I hope you will join each day in January for this exploration of best practices in compliance. In today’s Day 28 episode, we look into the crucial importance of data governance in the realms of compliance and cybersecurity. Key highlights: The Role of Data Governance in Compliance and Cybersecurity Data Governance and ESG Understanding Data Privacy Laws Resources: Listeners to this podcast can receive a 20% discount on The Compliance Handbook, 6th edition, by clicking here. Learn more about your ad choices. Visit megaphone.fm/adchoices

Welcome to 31 Days to a More Effective Compliance Program. Over this 31-day series in January 2026, Tom Fox will post a key component of a best-practice compliance program each day. By the end of January, you will have enough information to create, design, or enhance a compliance program. Each podcast will be short, at 6-8 minutes, with three key takeaways that you can implement at little or no cost to help update your compliance program. I hope you will join each day in January for this exploration of best practices in compliance. In today’s Day 27 episode, we explore the growing importance and responsibilities of the compliance function within corporations, emphasizing the need for adequate staffing, resources, and independence. Key highlights: DOJ’s Expectations for Compliance Programs Funding and Resources for Compliance Compliance Program Structure and Authority Resources: Listeners to this podcast can receive a 20% discount on The Compliance Handbook, 6th edition, by clicking here. Learn more about your ad choices. Visit megaphone.fm/adchoices

Welcome to 31 Days to a More Effective Compliance Program. Over this 31-day series in January 2026, Tom Fox will post a key component of a best-practice compliance program each day. By the end of January, you will have enough information to create, design, or enhance a compliance program. Each podcast will be short, at 6-8 minutes, with three key takeaways that you can implement at little or no cost to help update your compliance program. I hope you will join each day in January for this exploration of best practices in compliance. In today’s Day 26 episode, we ponder the evolving stature and authority of the CCO within organizations, as highlighted by recent guidelines and regulations. Key highlights: Key Inquiries Around the CCO and Compliance Function Importance of CCO Certification and Court Decisions Critical Takeaways for Compliance Professionals Resources: Listeners to this podcast can receive a 20% discount on The Compliance Handbook, 6th edition, by clicking here. Learn more about your ad choices. Visit megaphone.fm/adchoices

Welcome to 31 Days to a More Effective Compliance Program. Over this 31-day series in January 2026, Tom Fox will post a key component of a best-practice compliance program each day. By the end of January, you will have enough information to create, design, or enhance a compliance program. Each podcast will be short, at 6-8 minutes, with three key takeaways that you can implement at little or no cost to help update your compliance program. I hope you will join each day in January for this exploration of best practices in compliance. In today’s Day 25 episode, we consider the critical importance of addressing investigative findings within a corporate compliance framework. Key highlights: The Impact of Investigations on Compliance Communicating Costs and Risks Ensuring Effective Communication Resources: Listeners to this podcast can receive a 20% discount on The Compliance Handbook, 6th edition, by clicking here. Learn more about your ad choices. Visit megaphone.fm/adchoices

Welcome to 31 Days to a More Effective Compliance Program, a series by Tom Fox in January 2026, where he will post daily insights on best practices for compliance programs. Each short podcast, lasting 6-8 minutes, will provide three actionable takeaways to help you create, design, or enhance your compliance program at minimal cost. Join daily for valuable guidance on compliance best practices. In today’s Day 24 episode, we look into the critical process of internal reporting and triaging of FCPA claims. Key highlights: Guidelines for Effective Compliance Programs Jonathan Marks’ Five-Step Process for Early Assessment Key Takeaways Resources: Listeners to this podcast can receive a 20% discount on The Compliance Handbook, 6th edition, by clicking here. Learn more about your ad choices. Visit megaphone.fm/adchoices

Welcome to 31 Days to a More Effective Compliance Program. Over this 31-day series in January 2026, Tom Fox will post a key component of a best-practice compliance program each day. By the end of January, you will have enough information to create, design, or enhance a compliance program. Each podcast will be short, at 6-8 minutes, with three key takeaways that you can implement at little or no cost to help update your compliance program. I hope you will join each day in January for this exploration of best practices in compliance. In today’s Day 23 episode, we delve into the essential steps for conducting a thorough and effective internal investigation following an internal report. Key highlights: Key Questions for Internal Investigations Detailed Procedures for Handling Complaints Steps in the Investigative Process Importance of Consistency in Investigations Resources: Listeners to this podcast can receive a 20% discount on The Compliance Handbook, 6th edition, by clicking here. Learn more about your ad choices. Visit megaphone.fm/adchoices

Welcome to 31 Days to a More Effective Compliance Program. Over this 31-day series in January 2026, Tom Fox will post a key component of a best-practice compliance program each day. By the end of January, you will have enough information to create, design, or enhance a compliance program. Each podcast will be short, at 6-8 minutes, with three key takeaways that you can implement at little or no cost to help update your compliance program. I hope you will join each day in January for this exploration of best practices in compliance. In today’s Day 22 episode, we consider the levels of due diligence you should use when investigating third parties. Key highlights: What are the levels of Due Diligence? When is each level appropriate? Key Takeaways Resources: Listeners to this podcast can receive a 20% discount on The Compliance Handbook, 6th edition, by clicking here. Learn more about your ad choices. Visit megaphone.fm/adchoices