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FCPA Compliance Report

Tom Fox has practiced law in Houston for 30 years and now brings you the FCPA Compliance and Ethics Report. Learn the latest in anti-corruption and anti-bribery compliance and international transaction issues, as well as business solutions to compliance problems.
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Now displaying: 2019
May 8, 2019

Compliance into the Weeds is the only weekly podcast which takes a deep dive into a compliance related topic, literally going into the weeds to more fully explore a subject. In this episode, Matt Kelly (the coolest guy in compliance) and I take a deep dive into the proposed changes by the SEC into SOX 404(b) reporting and what it may well portend for the compliance practitioner. Some of the highlights include: 

Some of the highlights include: 

  • Is there an economic basis for the relaxation of SOX 404(b)?
  • Will this increase IPOs or negatively impact small investors?
  • What is the significance of losing independent outside auditors?
  • How does impact the SOX 404(a) certification requirement?
  • How can investors have assurance of internal controls going forward?
  • What is the impact for CCOs under the FCPA or SEC enforcement thereon?
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