Compliance into the Weeds
What happens when two compliance aficionados get together to talk all things compliance, risk management and ERM? You get Tom Fox, the Voice of Compliance and Matt Kelly, the Coolest Guy in Compliance, going into the weeds of a topic each week. Each week, you can take a deep dive with two of the top writers, thinkers and prognosticators in compliance.
1
What Happens When a CCO Goes off the Deep End?
Matt and Tom explore why a CCO should not also be the GC.
21 min
2
First Energy Corruption Settlement
Matt and Tom take a deep dive into the First Energy domestic corruption enforcement action.
21 min
3
SEC-SPAC Enforcement Action
Tom and Matt look at the SEC enforcement action involving the SPAC Stable Road Acquisition Corp. and its acquisition of Momentus.
17 min
4
FINRA Enforcement Actions involving Robinhood
Matt and Tom review 2 recent FINRA enforcement actions involving Robinhood.
19 min
5
The Amec Foster Wheeler FCPA Enforcement Action
Compliance lessons from the Amec Foster Wheeler FCPA enforcement action.
25 min
6
Disclosures of Cyber Security Disclosure Failures
Why can the failure to disclose a cyber breach be just as bad as the breach itself? Tom and Matt explore.
14 min
7
Financial Crimes Compliance Costs
In this episode Matt and Tom look at a recent report on the increasing costs of financial crimes compliance.
17 min
8
PCAOB Clean Sweep
What does the clean sweep of the PCAOB mean for compliance? Tom and Matt explore in this episode.
22 min
9
Compliance and ESG
In this episode, we look at the role of compliance in ESG.
25 min
10
Compliance Lessons from the Super League Fiasco
This week Matt and Tom take a deep dive into the fiasco around the formation of the Super League .
16 min
11
Biden Administration Executive Order on Cyberse...
Matt and Tom take a deep dive into the Biden Administration Executive Order on Cybersecurity
26 min
12
Elon Musk, Cryptocurrency and the SEC
Tom & Matt take a deep dive into the intersection of Elon Musk, cryptocurrencies and the SEC.
20 min
13
SAP Trade Sanctions Enforcement Action
Matt and Tom take a deep dive into SAP trade sanction enforcement action.
22 min
14
Compliance Lessons from the Cuban Missile Crisis
What was the role of culture in the events leading to and resolution of the Cuban Missile Crisis? Tom and Matt take a dip into history to explore.
23 min
15
What is risk?
In this episode, Tom Fox and Matt Kelly take a deep dive into the questions of what is risk and what is risk management.
19 min
16
Cybersecurity, ERP and Compliance
This week Matt and Tom take a deep dive into the type of cybersecurity risk where ERP software is compromised due to a bug or other vulnerability.
25 min
17
SPACs and Compliance
In this episode, Matt and Tom take a deep dive into the recent spate of SPACs which have formed.
22 min
18
Boaty McBoat, Risk and Compliance
What does the Ever Given grounding mean from the risk management and compliance perspective?
22 min
19
CEOs Perception of Risk, Impact on Compliance
In this episode, take a deep dive into the 2021 PwC Global CEO Survey, including its findings about digital transformation of business processes and risk management to discuss.
22 min
20
A Punch in the Face to SEC Enforcement?
SEC Commissioner Caroline Crenshaw recently challenged SEC enforcement theory with a 'punch in the face'
22 min
21
The ECI 2021 Global Business Ethics Survey
Matt and Tom take a deep dive into findings, conclusions and recommendations in the ECI 2021 GBES.
26 min
22
The SEC and Climate Disclosures
In this episode, we take a deep dive into the recent announcement by the SEC that it would start paying more attention to companies’ climate change disclosures.
18 min
23
Compliance Lessons from Citibank’s $900MM Erron...
What are the compliance lessons from Citibank's erroneous $900 wire transfer? Plenty it turns out.
34 min
24
Employee Trust and Compliance
In this episode, Matt & Tom This continue their dialogue about the current state of employee trust and its role in corporate culture and a best practices compliance and ethics program.
28 min
25
Human Capital Disclosures and Compliance
In this episode, we consider the SEC regulations requiring companies to detail human capital issues in their annual reports.
25 min
26
GameStop and Compliance
In this episode, we consider the GameStop matter through the lens of the compliance profession.
28 min
27
WFH, RTW or Something Else
In this episode we consider will we be permanently working from home, returning to the office, a mix of both or something else?
24 min
28
FinCEN Enforcement Action involving Capital One
In this episode, we consider the Capital One resolution of the FinCEN enforcement action.
26 min
29
The Deutsche Bank FCPA Settlement
In this episode, Matt Kelly and Tom Fox take a deep dive into the Deutsche Bank FCPA resolution.
26 min
30
5 Issues for Compliance Professionals in 2021
In this episode, Jay Rosen and Tom Fox consider what can influence an organization’s ethical culture, starting at the top with senior leadership.
32 min
31
Who Should Oversee and Manage the Hotline
In this episode, we take a deep dive into who should oversee and manage a hotline.
21 min
32
Algorithm Failures in Ethics and Equity at Stan...
In this episode, we consider how badly Stanford University Health Systems botched it decision on whom in the organization would receive its allotted Covid-19 vaccinations
21 min
33
Leadership Failures at Ft. Hood, with Special G...
In this episode, Matt,Tom and special guest Diane St. Ives consider the recent US Special Commission Report on leadership and culture failures in the areas of sexual harassment and assault which have occurred at Ft. Hood.
24 min
34
NDAA Creates New Whistleblower Law
In this, our 200th episode of Compliance into the Weeds, Matt and Tom go into the weeds to look at the new anti-money launder whistleblower law.
21 min
35
A Mayor, Covid-19 and Leadership
What is a leader's responsibility to follow his own prescriptions around ethical conduct?
21 min
36
Insider Trading Compliance and Former Apple CCO...
In this episode Matt and Tom go into the weeds to look at recent SEC remarks on issues around insider trading compliance programs.
22 min
37
The SEC Tenure of Jay Clayton
In this episode Matt and Tom go into the weeds to look at the SEC Chairmanship of Jay Clayton who announced he was stepping down at the end of the year.
21 min
38
Compliance Under the Biden Administration
In this episode Matt and Tom go into the weeds to look at compliance issues relevant to the next administration
32 min
39
Turbulence in the Compliance Profession
In this episode Matt and Tom go into the weeds to look at the turbulence brought to the compliance profession and compliance job market.
21 min
40
The Goldman Sachs FCPA Enforcement Action
In this episode Matt and Tom go into the weeds to look at the recent FCPA enforcement action involving the US banking and finance entity Goldman Sachs.
22 min
41
The J&F FCPA Enforcement Action
In this episode Matt and Tom go into the weeds to look at the recent FCPA enforcement action involving the Brazilian megalith, J&F Investments.
22 min
42
Citibank Failures in Risk Management
In this episode Matt and Tom go into the weeds to look at the recent fine of $400 million against Citibank for its poor risk management processes.
21 min
43
The JPMorgan Fine and Penalty
In this episode Matt and Tom go into the weeds to look at the recent fine of $920 million against JPMorgan for spoofing.
20 min
44
What are the compliance issues from WFH collabo...
In this episode, Matt Kelly and Tom Fox consider some of the compliance issues that collaboration tools raise in the WFH era.
17 min
45
Compliance into the Weeds: When is Diversity Tr...
In this episode Matt and Tom go into the weeds to look at the recent initiative of the Department of Education to go after Princeton University for diversity training which Trump says is “Anti-American propaganda” and the release of the FinCen papers.
21 min
46
Herbalife FCPA Enforcement Action
In this episode Matt and Tom go into the weeds to look the recently announced Herbalife FCPA enforcement action.
21 min
47
FinCen DD Pronouncements-Did they Hurt More tha...
In this episode Matt and Tom go into the weeds to look at two recent pronouncements by FinCen on customer and PEP due diligence. We ask the question: Is the Guidance so vague as to actually hurt the efforts of a compliance practitioner.
14 min
48
DFS First Cyber Case-First American Title
In this episode Matt and Tom go into the weeds to look at the first Cybersecurity breach case brought by the state of New York’s Department of Financial Services.
27 min
49
Governance Lessons from the Postal Service
In this episode Matt comes in smoking hot over the Trump Administration’s attempted evisceration of the US Postal Service. He cools down to present multiple lessons for the compliance professional.
18 min
50
Wells WAC-O Spending
n this episode Matt Kelly and Tom Fox consider the $20+ billion spend by Wells Fargo since the initial announcement of its fraudulent accounts scandal back in 2016. WAC-O
25 min
51
Vindman and Whistleblowers
In this episode Matt Kelly and Tom Fox take a look at an Op-Ed piece penned by Alexander Vindman in the Washington Post where detailed his experiences as a whistleblower in the Trump White House.
18 min
52
Compliance Conference Economics 101
What are the economics of compliance conferences? How has Covid-19 changed those numbers? What are the new realities going forward? Find out in Compliance Conference Economics 101.
15 min
53
CPA In America-the ComEd Bribery Action
n this episode Matt Kelly and Tom Fox take a look the recent domestic bribery and corruption enforcement action involving ComEd.
18 min
54
Deutsche Bank Fined Over Epstein Accounts
In this episode Matt Kelly and Tom Fox take a look the recent enforcement action by New York banking regulators against Deutsche Bank, which resulted in a $150 million penalty for its business dealings with Jeffrey Epstein.
20 min
55
FCPA Resource Guide, 2nd edition
In this episode Matt Kelly and Tom Fox take a look the recently released FCPA Resource Guide, 2nd edition; released jointly last week by the Department of Justice and Securities and Exchange Commission.
20 min
56
Novartis FCPA Enforcement Action
In this episode of Compliance into the Weeds, Matt Kelly and Tom Fox take a look the recently announced Novartis FCPA enforcement action.
28 min
57
Supreme Court Upholds Profit Disgorgement
In this episode Matt Kelly and Tom Fox take a look this week’s United States Supreme Court decision in Liu v. SEC.
22 min
58
Emergency Weekend Podcast-Barr Tries to Oust Be...
In this special emergency weekend episode, Matt Kelly and Tom Fox take a deep dive into the attempt by AG William Barr to fire the US Attorney for the Southern District of New York
26 min
59
Wynn Monitor Report-3rd Parties
In this episode Matt Kelly and Tom Fox take another deep dive into the Wynn Monitor report, today focusing on the issues around third parties
19 min
60
Ham-fisted Leadership
In this episode Matt Kelly and Tom Fox take a look at two examples of ham-fisted leadership; one by Facebook CEO Mark Zuckerberg and the second by NFL Commissioner Roger Goodell.
23 min
61
Compliance and Leadership Lessons from the Floy...
What are the leadership compliance lessons from the George Floyd tragedy? Matt Kelly and Tom Fox take a deep dive into the weeds to explore on this week's episode.
23 min
62
Demonstrating Corporate Values in the Time of E...
In this podcast Matt Kelly and Tom Fox take a deep dive into how business leaders can demonstrate values during times of difficulty, specifically when the CEO of Airbnb was required to layoff nearly 25% of the company’s workforce.
23 min
63
Covid-19 Attestation in Massachusetts
In this episode, Matt Kelly and Tom Fox take a deep dive into the attestation required by the Commonwealth of Massachusetts for businesses eligible to reopen in response to Covid-19.
23 min
64
The Compliance Job Market, Frozen Not Wrecked
What does the compliance job and hiring market look like about now? Will it change in 2020? Find out on this episode of Compliance into the Weeds.
21 min
65
Rough Waters Ahead for Cruise Line CCOs
The CDC wants cruise lines CEOs, CCOs and CFOs to certify adherence to CDC requirements before their crews can disembark. What possibly could go wrong?
16 min
66
Compliance Lessons from Smithfield Foods
In this podcast Matt Kelly and Tom Fox take a deep dive into the recently released CDC Inspection Report for the Smithfield Foods’ South Dakota meat packing facility.
17 min
67
Happy Hour FCPA Enforcement Action Involving ENI
The ENI Foreign Corrupt Practices Act enforcement action presents several lessons learned for the compliance professional.
20 min
68
Hotline Benchmark Report
In this episode of Compliance int the Weeds, Matt Kelly and Tom Fox take a look at a new hotline benchmarking study.
17 min
69
Covidiocy
What is covidiocy and how does it relate to compliance and corporate governance. Find out in this episode of Compliance into the Weeds.
15 min
70
Compliance Officer as Whistleblower
In this podcast Matt Kelly and Tom Fox take a deep dive into the recent whistleblower award issued to an anonymous whistleblower, who happened to be a compliance officer.
16 min
71
According to Frank...A Tale of Compliance and C...
What is a tale of Frank in the time of coronavirus? Matt Kelly and Tom Fox take a deep dive into how COVID-19 is impacting one compliance professional.
19 min
72
Flattening the COVID-19 Curve
In this episode we take a deep dive into the need to integrate public health measures into our private enterprise operations, now and for the foreseeable future. And of course why we must flatten the curve now.
19 min
73
OCC Guidance on 3rd Party Risk Management
The OCC recently released guidance on third-party risk management. Matt Kelly and Tom Fox take a deep dive into it on this episode of Compliance into the Weeds.
21 min
74
Cardinal Health FCPA Enforcement Action
In this episode of Compliance into the Weeds, Matt Kelly and I take a deep dive into the Cardinal Health FCPA enforcement action.
18 min
75
Barr Sentencing Memo and Trump Pardons
What do the Barr Sentencing Memo for Roger Stone and Trump pardons of white collar criminals mean for compliance? Nothing but trouble.
24 min
76
Hogan Lovells Report on Compliance Budgets
In this episode of Compliance into the Weeds, Matt Kelly and I go into the weeds to explore the reported decrease in compliance budgets and headcount.
21 min
77
Wells Fargo Risk Assurance Execs Under Scrutiny
In this episode we take a deep dive into the Office of Comptroller and Currency’s proposed Cease and Desist Order against former high-ranking Wells Fargo risk assurance executives.
20 min
78
The 2020 Edelman Trust Barometer
What are some of the top findings from the 2020 Edelman Trust Barometer? What are the implication for compliance. Join Matt Kelly and Tom Fox to take a deep dive into the weeds of this provocative report.
19 min
79
Lessons from the Astros Sign Stealing Scandal
In this episode of Compliance into the Weeds, Matt Kelly and Tom Fox take a deep dive into the Astros sign stealing scandal and the lessons a compliance professional can take away from it.
38 min
80
Compliance Issues in 2020, Part 2
In this Part 2 of a two-part podcast series, Matt Kelly and I take a look at ten issues that we think will be significant for the compliance professional in the upcoming year.
25 min
81
Compliance Issues in 2020, Part 1
In this Part 1 of a two-part series, Matt and Tom consider the first five of their top ten issues for compliance professionals in 2020.
33 min
82
Continued Missteps and Misadventures in Ethics ...
In this episode Matt Kelly and Tom Fox take a deep dive into the ethical failures of the now former Boeing CEO Dennis Muilenburg which led to his firing on December 23, 2019.
27 min
83
New DOJ Cooperation Guidance on Trade Sanctions...
In this episode Matt Kelly and I consider the new New DOJ Cooperation Guidance on Trade Sanctions and Export Controls.
22 min
84
Ericsson from the Internal Controls Perspective
In this episode of Compliance into the Weeds, Matt Kelly and I take a deep dive into the internal controls aspects of the Ericsson FCPA enforcement action.
19 min
85
Episode 149- Operational Resiliency
In this episode Matt Kelly and I consider the intersection of operational resiliency and compliance.
25 min
86
Procurement Collusion Strike Force
In this episode, Matt Kelly and I go into the weeds to explore the recent announcement of the creation of the Procurement Collusion Strike Force by the Department of Justice.
21 min
87
Episode 147-Secondhand Whistleblower Reporting
In this episode of Compliance into the Weeds, Matt Kelly and I take a deep dive into the differences in first-hand and secondhand whistleblowers.
18 min
88
SOX Compliance-Slow Poking Along
In this episode of Compliance into the Weeds, Matt Kelly and I go into the weeds to explore the ongoing slog of SOX compliance reporting.
24 min
89
Proposed SEC Whistleblower Reform
In this episode of Compliance into the Weeds, Matt Kelly and I go into the weeds to explore the SEC’s proposed changes to its whistleblower program.
18 min
90
Changes at the PCAOB
In this episode, Matt Kelly and I go into the weeds to explore the recent changes at the PCAOB made by SEC Chairman Jay Clayton.
21 min
91
Mylan and Silos
In this episode, Matt Kelly and I go into the weeds to explore the recent SEC enforcement action against Mylan and its mischaracterization of the drug EpiPen as a generic drug.
16 min
92
Quad/Graphics FCPA Enforcement Action
In this episode of Compliance into the Weeds, Matt comes in hot on the Quad/Graphics FCPA settlement.
18 min
93
PwC Spanked Edition
In this episode, Matt Kelly and I go into the weeds to explore the recent SEC enforcement action against PwC and its partner Brandon Sprankle for violating audit firm independence rules.
19 min
94
Some of My Best Friends Are Lawyers
In this podcast, Matt Kelly and I take a deep dive into the weeds to consider what additional education degrees a mid-career compliance professional would benefit from going forward.
21 min
95
Sharpies, Leadership and Compliance
How does the President’s recent imbroglio regarding Hurricane Dorian, Alabama and sharpies inform compliance? Find out on this episode of Compliance into the Weeds.
22 min
96
Juniper Networks FCPA Enforcement Action
In this episode, Matt Kelly and I go into the weeds to explore the recently released FCPA enforcement action by the SEC involving Juniper Networks.
28 min
97
Episode 137- Debating the Statement on the Purp...
In this episode of Compliance into the Weeds, Matt Kelly and I take a deep dive into Business Roundtable's recently released Statement on the Purpose of a Corporation. .
28 min
98
Compliance into the Weeds: Episode 136- Scoping...
Matt Kelly and I are back to dive into the weeds on another compliance topic. This week we consider the size of the compliance workforce in secondary markets.
23 min
99
Compliance into the Weeds: Episode 135-CEOs Mod...
In this episode, Matt Kelly and I explore the actions by Delta CEO in not going to a meeting at the White House because of previously scheduled vacation plans. Is this modeling of corporate values useful to improve employee morale?
29 min
100
Episode 134-Compliance Responses to El Paso and...
In this most somber episode, Matt Kelly and I go into the weeds to explore what are some of the compliance responses to the twin tragedies of El Paso and Dayton.
27 min