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
Dobbs and Compliance
In this episode, we take a deep dive into some of the issues for compliance professionals in the wake of the Dobbs decision.
24 min
2
Unintended Consequences of CCO Certifications
In this episode, Tom and Matt look at some of the unintended consequences of CCO certifications required by the DOJ.
23 min
3
Compliance Craziness
Tom and Matt look at some unusual recent compliance stories.
22 min
4
Compliance Lessons from the Army
In this episode, we take a deep dive into the recently released GAO report on failures in the US Army SHARP program, largely around policies and procedures, with a dash of culture thrown in.
19 min
5
Compliance Lessons from Uvalde
In perhaps their most somber podcast ever, Matt and Tom take a deep dive into the some of the failures which led to the tragedy in Uvalde TX and lessons for the compliance professional.
30 min
6
DOJ Expectations for Compliance & CCOs
Tom and Matt take a deep dive into a recent DOJ speech on what the DOJ expects in compliance programs and CCOs involved in enforcement actions.
22 min
7
ComEd Compliance Report
In this episode, Tom and Matt take a deep dive into the recently released Commonewealth Edison report on the current state of its compliance program.
19 min
8
JPMorgan Responds to Whistleblower Claims
Tom and Matt take a deep dive into the JPMorgan response to the whistleblower allegations of Shaqualla Williams.
21 min
9
Impacts on Compliance of Russian Invasion of Uk...
Matt and Tom take a deep dive into some of the impacts on compliance from the Russian invasion of Ukraine on supply chain and cyber security.
22 min
10
Stericycle FCPA Enforcement Action
This week, Matt and Tom take a deep dive into the recently released Stericycle FCPA enforcement action.
21 min
11
SEC Proposed Rules on Disclosure of Cyber Breaches
In this episode, Matt and Tom are joined by Karen Woody and Jonathan Marks to consider the SEC’s recent proposed rules for disclosure of cyber breaches.
19 min
12
Musk Pulls U-Turn on Twitter Board
Tom and Matt look at the abortive Elon Musk to Twitter Board saga.
23 min
13
Company Size and State of Their Compliance Prog...
In this episode, Matt and Tom take a look at the recent ECI report on the Differences Between Small, Medium And Large Enterprises E&C Programs.
21 min
14
CCO Certification of Compliance Programs
Matt and Tom consider remarks by Kennth Polite about CCO certifications of compliance programs.
21 min
15
Proposed SEC Climate Change Risk Disclosure Reg...
Matt and Tom review the recently released proposed SEC climate change risk disclosure regs released.
18 min
16
A Ukrainian Compliance Professional-Tim Khashin...
Tim Khashinov-Batirov. joins Tom & Matt to discuss his escape from Ukraine, what life has been like as a displaced person in Europe, the current and burgeoning refugee crisis and some things that we in America can do right now to help those still in Ukraine and its refugees.
23 min
17
First We Kill All the Lawyers
Tom and Matt are back to review a speech by SEC Commissioner Lee on lawyers and their gatekeeper obligations under SOX, Sec. 307.
25 min
18
Compliance Issues from the Russia Invasion of U...
Matt and Tom look at compliance issues from the Russia invasion of Ukraine.
26 min
19
Corrupt Culture and Bags of Cash-the KT Corp. F...
Tom and Matt are back to look at the recent FCPA enforcement action brought by the SEC involving the Korean company KT Corp.
23 min
20
Elon Musk and Tesla Redux
Matt and Tom return to Elon Musk and Tesla for questions about corporate governance.
18 min
21
Two Obscure Academic Papers and Compliance
Matt and and Tom take up two recent academic papers which provide insight about how communications can impact both fraud prevention and compliance.
21 min
22
Mike Volkov on Antitrust Issues in Microsoft Ac...
Matt and Tom welcome Mike Volkov to discuss anti-trust enforcement evolution and how it might impact the Microsoft acquisition of Activision Blizzard.
40 min
23
Log4j-the Merger of Cyber, 3rd Party and Operat...
Matt and Tom take a look at a cyber breach which has merged the areas of cyber, 3rd party and operational risk.
25 min
24
Aspirational Compliance Training and Messaging
Matt and Tom take up compliance training and messages insights the book, Get It Done.
21 min
25
Issue and Trends for 2022, Part 2
Matt and Tom conclude a special two-part podcast series of several topics they will be following in 2022.
31 min
26
Issue and Trends for 2022, Part 1
Tom and Matt begin a special two-part podcast series of several topics they will be following in 2022. Topics include FCPA recidivists, SEC & ESG, the PCAOB, FinCEN & AML impacting FCPA enforcement.
36 min
27
Year End Review, Part 2
Tom and Matt return for Part 2 of a special year-end review. In this episode they review the Strategy on Countering Corruption, DAG Lisa Monaco's speech on the refocus of the DOJ on FCPA enforcement, the continuing evolution of ransomware attacks and ESG.
36 min
28
Year End Review, Part 1
Tom and Matt begin a special 2-part year end review. Today they look at SPACs, Robinhood/GameStop and hybrid work environments.
32 min
29
Compliance into the Weeds: On the Naughty List-...
Tom and Matt take a deep dive into the JPMorgan $200MM settlement with the SEC and CFTC.
33 min
30
US Strategy on Countering Corruption
Is the recently released US Strategy on Countering Corruption a big deal? Tom and Matt debate on this episode.
21 min
31
Ransomware Attacks and Internal Controls
Tom and Matt take a deep dive into ransomware attacks and internal controls.
23 min
32
Red Flags and SPACs
Tom and Matt go into the weeds on red flags surrounding SPACs.
24 min
33
A Single Source of Truth
Matt and Tom take a the recently filed lawsuit by Shaquala Williams against JPMorgan for alleged retaliation for her internal whistleblowing.
23 min
34
Retreat on DoD Cybersecurity for Contractors
Matt and Tom take a look at the DoD retreat on its cybersecurity initiative for contractors, from the original CMMC to the new standard of CMMC 2.0.
19 min
35
More on DAG Monaco Speech-DPAs and NPAs
Tom and Matt return to the Monaco speech to consider DPAs and NPAs going forward.
21 min
36
DAG Announces Changes in Enforcement Priorities
Matt and Tom have a rare emergency podcast on DAG Lisa Monaco’s speech announcing some very significant change to white collar, including FCPA enforcement.
25 min
37
Credit Suisse and Holistic Risk Management
Tom and Matt take a deeer dive into the Credit Suisse matter to consider a more holistic approach to risk.
22 min
38
Compliance and AI
Tom and Matt take a deep dive into Compliance and AI.
29 min
39
Expansive SEC Enforcement in the Wind
Tom and Matt look at potential increase in SEC enforcement penalties.
26 min
40
Ozy Media and Culture Failure Bingo
What is an Ozy and why does its collapse matter to compliance? Matt and Tom explore.
28 min
41
The WPP Foreign Corrupt Practices Act Enforceme...
Tom and Matt deep into the WPP FCPA enforcement action.
29 min
42
Lax Anti-Vax Policies
What will be the impact of employer vaccination policies?
23 min
43
Listening is a Conversation
Today we look at a speak up v. listen up culture.
23 min
44
High Calorie Compliance Lessons from Kraft Foods
What are the compliance lessons from Kraft Foods SEC enforcement action?
25 min
45
Delta Airlines Responds to the Delta Variant
Matt and Tom look at the Delta Airline response to unvaccinated employees?
19 min
46
Matt Miner Makes 3-Point Pivot into the Walmart...
Matt and Tom consider ex-DOJer Matt Miner moving to the Walmart CCO chair.
24 min
47
Pearson SEC Enforcement Action
Matt and Tom take a deep dive into the Pearson SEC Enforcement Action.
22 min
48
Who Controls Corporate Values?
What happens when management values conflict with employee values?
22 min
49
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
50
First Energy Corruption Settlement
Matt and Tom take a deep dive into the First Energy domestic corruption enforcement action.
21 min
51
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
52
FINRA Enforcement Actions involving Robinhood
Matt and Tom review 2 recent FINRA enforcement actions involving Robinhood.
19 min
53
The Amec Foster Wheeler FCPA Enforcement Action
Compliance lessons from the Amec Foster Wheeler FCPA enforcement action.
25 min
54
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
55
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
56
PCAOB Clean Sweep
What does the clean sweep of the PCAOB mean for compliance? Tom and Matt explore in this episode.
22 min
57
Compliance and ESG
In this episode, we look at the role of compliance in ESG.
25 min
58
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
59
Biden Administration Executive Order on Cyberse...
Matt and Tom take a deep dive into the Biden Administration Executive Order on Cybersecurity
26 min
60
Elon Musk, Cryptocurrency and the SEC
Tom & Matt take a deep dive into the intersection of Elon Musk, cryptocurrencies and the SEC.
20 min
61
SAP Trade Sanctions Enforcement Action
Matt and Tom take a deep dive into SAP trade sanction enforcement action.
22 min
62
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
63
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
64
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
65
SPACs and Compliance
In this episode, Matt and Tom take a deep dive into the recent spate of SPACs which have formed.
22 min
66
Boaty McBoat, Risk and Compliance
What does the Ever Given grounding mean from the risk management and compliance perspective?
22 min
67
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
68
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
69
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
70
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
71
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
72
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
73
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
74
GameStop and Compliance
In this episode, we consider the GameStop matter through the lens of the compliance profession.
28 min
75
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
76
FinCEN Enforcement Action involving Capital One
In this episode, we consider the Capital One resolution of the FinCEN enforcement action.
26 min
77
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
78
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
79
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
80
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
81
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
82
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
83
A Mayor, Covid-19 and Leadership
What is a leader's responsibility to follow his own prescriptions around ethical conduct?
21 min
84
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
85
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
86
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
87
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
88
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
89
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
90
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
91
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
92
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
93
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
94
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
95
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
96
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
97
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
98
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
99
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
100
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