FCPA Compliance Report

In this episode, Tom Fox cross-posts an episode of Red Flag Rising featuring U.S. Attorney for the Eastern District of Pennsylvania David Metcalf, joined by co-hosts Mike Huneke and Brent Carlson. David Metcalf, the U.S. Attorney for the Eastern District of Pennsylvania, brings a practical, business-aware perspective on fraud enforcement and corporate compliance, shaped by experience both in government and as in-house counsel. He notes that white-collar enforcement in his district centers heavily on healthcare fraud but also extends to cybercrime, narcotics trafficking, export controls, and other complex investigations. Metcalf strongly encourages companies to consider self-disclosure in their self-interest, warning that the DOJ will be especially aggressive toward those that do not come forward. At the same time, he stresses that early engagement is the most effective approach, because trust and candid discussion at the outset can create meaningful benefits, including even unpublicized declinations.  Key highlights: Risk-based compliance shaped by business realities Whistleblower evidence versus compliance rationale perspective Data Analytics-Powered National Fraud Detection Center Data-Driven Detection of Healthcare Fraud Cases Tariff Evasion and Customs Fraud Crackdown DOJ’s relaxed near-miss voluntary disclosure incentive Resources: More about U.S. Attorney David Metcalf The Eastern District of Pennsylvania’s White Collar Justice Program The DOJ’s National Fraud Enforcement Division More about the 1950 classic Japanese film “Rashomon” Contact Brent: [email protected] More about Brent Connect with Brent on LinkedIn Contact Mike: [email protected] More about Mike Connect with Mike on LinkedIn Tom Fox Instagram Facebook YouTube Twitter Learn more about your ad choices. Visit megaphone.fm/adchoices

Welcome to Natural Disasters Expo Houston! For its fifth year, Natural Disasters Expo USA comes back to Houston on October 14–15, 2026, at the George R. Brown Convention Center. And there’s no better place. This city knows what it takes to prepare for disasters, respond, and rebuild afterward. For two days, industry leaders, government agencies, first responders, and resilience professionals will come together with one shared goal: helping communities weather the next storm stronger than the last. Explore new solutions and technology, learn from front-line experts, and meet the partners who will help you turn preparedness into action. Whether you’re here to learn, share, or collaborate, you’re part of the effort to build a more resilient nation. Tom interviews John Capodice, Executive Vice President at Sterling Site Access Solutions, about Sterling’s role in disaster recovery when utilities face anomalous events and need to restore power rapidly. Capodice previews his Disaster Expo presentation on quickly deploying safe temporary roads, bridges, and man-camp platforms, explaining Sterling’s capabilities as the world’s largest manufacturer of matting and access products to create stable access when storm-damaged ground or unsafe crossings prevent entry. He emphasizes a common “blind spot” in disaster recovery: access is often the first victim of a storm, and planning reduces time lost and costs. Sterling offers pre-incident consulting to identify weak spots, establish MSAs, and support utilities, co-ops, and other sectors, including wind, solar, and civil projects, with safe, efficient work platforms. Resources: Natural Disasters Expo USA Get your Ticket Conference Agenda Speakers 2026 Learn more about your ad choices. Visit megaphone.fm/adchoices

Welcome to Natural Disasters Expo Houston! For its fifth year, Natural Disasters Expo USA comes back to Houston on October 14–15, 2026, at the George R. Brown Convention Center. And there’s no better place. This city knows what it takes to prepare for disasters, respond, and rebuild afterward. For two days, industry leaders, government agencies, first responders, and resilience professionals will come together with one shared goal: helping communities weather the next storm stronger than the last. Explore new solutions and technology, learn from front-line experts, and meet the partners who will help you turn preparedness into action. Whether you’re here to learn, share, or collaborate, you’re part of the effort to build a more resilient nation. Tom Fox interviews Susan Anderson, Senior Director of Disaster Response at the American Society for the Prevention of Cruelty to Animals (ASPCA), about integrating animals into emergency management throughout the disaster life cycle. Anderson explains how her team supports local, state, and national agencies with animal-inclusive planning and provides resources when communities are overwhelmed by events such as severe weather and wildfires. She notes animal inclusion still varies widely by jurisdiction and cites Hurricane Katrina as a turning point that highlighted the human-animal bond and the consequences of excluding pets. Anderson argues that human and animal survival are interdependent and that an all-hazards, all-species approach improves public safety and responder safety, increases shelter capacity, and reduces secondary public health risks. She discusses shelter overcrowding limiting evacuation “safe harbor” options and urges local engagement through fostering, donating supplies, and legislative outreach. She previews advancing these topics at Disasters Expo. Resources: Connect with Susan Anderson on LinkedIn Natural Disasters Expo USA Get your Ticket Conference Agenda Speakers 2026 Learn more about your ad choices. Visit megaphone.fm/adchoices

Welcome to Natural Disasters Expo Houston! For its fifth year, Natural Disasters Expo USA comes back to Houston on October 14–15, 2026, at the George R. Brown Convention Center. And there’s no better place. This city knows what it takes to prepare for disasters, respond, and rebuild afterward. For two days, industry leaders, government agencies, first responders, and resilience professionals will come together with one shared goal: helping communities weather the next storm stronger than the last. Explore new solutions and technology, learn from front-line experts, and meet the partners who will help you turn preparedness into action. Whether you’re here to learn, share, or collaborate, you’re part of the effort to build a more resilient nation. In this speaker series, Tom Fox interviews retired US Navy Reserve officer Amy Forsythe ahead of her Disaster Expo keynote, “When Crisis Calls: Leadership, Communication & Community in the Moments That Matter.” Forsythe describes her 33 years of service, beginning as a Marine Corps combat photographer and later retiring as a Navy public affairs officer, with extensive experience coaching senior leaders on media engagement and crisis response. She and co-presenter Mandy Feindt will combine Feindt’s firsthand experience from the Red Hill fuel spill crisis in Hawaii with Forsythe’s lessons on building trust, honest communication, humility, and effective interagency coordination during disasters. Forsythe notes these principles apply to businesses and leaders whose viability can be impacted by crisis communication, including the risk of “one bad interview.” She aims to share hard-learned lessons, including from the 2017 Santa Rosa, California, fires, and to connect with practitioners in Houston. Resources: Connect with Amy Forsythe on LinkedIn Natural Disasters Expo USA Get your Ticket Conference Agenda Speakers 2026 Learn more about your ad choices. Visit megaphone.fm/adchoices

In this episode, Tom Fox welcomes Anthony Pugliese, President and CEO of The Institute of Internal Auditors Inc. We begin with the IIA’s global footprint, with boards in 122 countries; its role in setting internal audit standards; certifications, including the Certified Internal Auditor credential with about 225,000 holders; and education. Pugliese describes how internal audit is shifting from primarily financial controls to a broader focus on non-financial risks, including cybersecurity, AI and disruptive technologies, sustainability reporting, business resilience, and geopolitical risk. He emphasizes internal audit’s growing prospective/advisory role, particularly in assessing whether AI governance is keeping pace with rapid adoption and in communicating complex risks to boards and audit committees. Cybersecurity is cited as chief audit executives’ top concern and increasingly requires continuous monitoring. Pugliese notes members want more industry-specific guidance and expanded GRC resources relevant to compliance and directs listeners to iia.org and the free annual Risk in Focus report. Key highlights: What the IIA Does Risk Landscape Shifts From Assurance to Advisory Geopolitical Risk in Practice Cyber Threats and Continuous Auditing Why Compliance Pros Should Join Resources: Anthony Pugliese on LinkedIn Institute of Internal Auditors  Tom Fox Instagram Facebook YouTube Twitter LinkedIn My first work of general non-fiction is now out: Deluge Before Dawn, the story of the 2025 flood in Kerr County, Texas, which killed 119 people and devastated a county. It is a story of tragedy, heartbreak, survival, and resilience. It is available on the following sites: Amazon.com Stoney Creek Publishing Barnes and Noble Texas A&M University Press Bookshop.org Google.Books Walmart This week only, the Kindle e-book version is available for $0.99 on Amazon. Learn more about your ad choices. Visit megaphone.fm/adchoices

Welcome to Natural Disasters Expo Houston! For its fifth year, Natural Disasters Expo USA comes back to Houston on October 14–15, 2026, at the George R. Brown Convention Center. And there’s no better place. This city knows what it takes to prepare for disasters, respond, and rebuild afterward. For two days, industry leaders, government agencies, first responders, and resilience professionals will come together with one shared goal: helping communities weather the next storm stronger than the last. Explore new solutions and technology, learn from experts on the front lines, and meet the partners who will help you turn preparedness into action. Whether you’re here to learn, share, or collaborate, you’re part of the effort to build a more resilient nation. In this speaker series, Tom Fox interviews Atascocita Fire Department Chief Mike Mulligan about Hurricane Harvey Frontline Leadership Lessons. Chief Mulligan serves the Atascocita Fire Department, which covers a 25-square-mile area with 75,000–90,000 residents in unincorporated northeast Harris County. Mulligan previews his conference panel, “Lessons From the Front Line,” describing Harvey-era preparation and rescue execution, political and resource-prioritization challenges, the unexpected arrival of the Cajun Navy, and an EMS-related “tug-of-war” over a resource that drove extended after-action discussions. He explains that before Harvey, the department had limited high-water exposure, lacked boats and swift-water capability, and then added equipment and planning after prior floods while still maintaining normal EMS call volume during Harvey. Mulligan also discusses attending a broader disaster conference to learn how emergency response affects downstream mitigation and recovery. Resources: Connect with Chief Mulligan on LinkedIn Natural Disasters Expo USA Get your Ticket Conference Agenda Speakers 2026 Learn more about your ad choices. Visit megaphone.fm/adchoices

In this episode, Tom Fox welcomes Mike Koenig to talk about his career and his recent move back to private practice after a 5-year stint at JBS. Mike is one of the few folks to move from private practice to an in-house CCO role, then back to private practice. Mike began by reviewing his career, from 25 years in private practice and a 2003 DOJ Fraud Section stint prosecuting corporate fraud to becoming chief compliance officer at JBS in August 2021 amid DOJ and SEC settlement agreements requiring an effective compliance program. He describes learning to operate within business-driven priorities by building relationships, learning the business and culture, “educating not dictating,” and securing C-suite, board, and audit committee buy-in, including CEO-driven training completion. He explains that he uses trusted outside experts and focuses on the specific problem to solve rather than “boiling the ocean.” After JBS completed the settlements and listed on the NYSE in June 2025, he returned to private practice at Friedman Kaplan to advise on investigations and compliance, emphasizing concise, solution-oriented counsel. He warns against de-prioritizing compliance despite reduced enforcement, urges risk assessments (tariffs, export controls, and human rights), and recommends using DOJ compliance guidance to review programs. Key highlights: Career Journey Recap Joining JBS In-House Building Compliance Fast Relationships Not Dictates Leadership Buy-In FCPA Pause or a Wake-Up Call Compliance Through 2030 Resources: Mike Koenig on LinkedIn Mike Koenig at Friedman Kaplan Friedman Kaplan Tom Fox Instagram Facebook YouTube Twitter LinkedIn My first work of general non-fiction is now out: Deluge Before Dawn, the story of the 2025 flood in Kerr County, Texas, which killed 119 people and devastated a county. It is a story of tragedy, heartbreak, survival, and resilience. It is available on the following sites: Amazon.com Stoney Creek Publishing Barnes and Noble Texas A&M University Press Bookshop.org Google.Books Walmart This week only, the Kindle e-book version is available for $0.99 on Amazon. Learn more about your ad choices. Visit megaphone.fm/adchoices

In this episode, Tom Fox welcomes Michelle Tavares, a former federal government forensic accountant and former USCIS EB-5 compliance officer who helped rewrite the EB-5 statute into the Reform and Integrity Act (RIA). Tavares explains EB-5 as an investor visa program where foreign nationals invest $1,000,000 (or $800,000 in a TEA) in U.S. projects that must create jobs, and she describes how EB-5 transactions sit at the intersection of immigration, securities, banking/AML, and corporate governance, making consistent documentation and a unified “story” critical for adjudication. She outlines the roles of regional centers, NCEs, and JCEs; the challenges of proving a lawful source of funds; and the importance of third-party oversight, KYC/AML controls, and tone-from-the-top governance. She discusses how RIA added compliance expectations, penalties, and increased scrutiny of regional centers and overseas promoters, and shares why she founded Standard & Proof Investigations to close knowledge gaps in EB-5 compliance. Key Highlights: EB-5 Basics and Why It Matters RIA Overhaul and New Compliance Inside the Adjudicator Mindset Boardroom Governance for EB-5 Third-Party Oversight Essentials Resources: Standard & Proof Investigations Counsel Ready Michelle Tavares on LinkedIn Tom Fox Instagram Facebook YouTube Twitter LinkedIn My first work of general non-fiction is now out: Deluge Before Dawn, the story of the 2025 flood in Kerr County, Texas, which killed 119 people and devastated a county. It is a story of tragedy, heartbreak, survival, and resilience. It is available on the following sites: Amazon.com Stoney Creek Publishing Barnes and Noble Texas A&M University Press Bookshop.org Google.Books Walmart This week only, the Kindle e-book version is available for $0.99 on Amazon. Learn more about your ad choices. Visit megaphone.fm/adchoices