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
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
2
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
3
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
4
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
5
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
6
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
7
Ransomware Attacks and Internal Controls
Tom and Matt take a deep dive into ransomware attacks and internal controls.
23 min
8
Red Flags and SPACs
Tom and Matt go into the weeds on red flags surrounding SPACs.
24 min
9
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
10
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
11
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
12
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
13
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
14
Compliance and AI
Tom and Matt take a deep dive into Compliance and AI.
29 min
15
Expansive SEC Enforcement in the Wind
Tom and Matt look at potential increase in SEC enforcement penalties.
26 min
16
Ozy Media and Culture Failure Bingo
What is an Ozy and why does its collapse matter to compliance? Matt and Tom explore.
28 min
17
The WPP Foreign Corrupt Practices Act Enforceme...
Tom and Matt deep into the WPP FCPA enforcement action.
29 min
18
Lax Anti-Vax Policies
What will be the impact of employer vaccination policies?
23 min
19
Listening is a Conversation
Today we look at a speak up v. listen up culture.
23 min
20
High Calorie Compliance Lessons from Kraft Foods
What are the compliance lessons from Kraft Foods SEC enforcement action?
25 min
21
Delta Airlines Responds to the Delta Variant
Matt and Tom look at the Delta Airline response to unvaccinated employees?
19 min
22
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
23
Pearson SEC Enforcement Action
Matt and Tom take a deep dive into the Pearson SEC Enforcement Action.
22 min
24
Who Controls Corporate Values?
What happens when management values conflict with employee values?
22 min
25
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
26
First Energy Corruption Settlement
Matt and Tom take a deep dive into the First Energy domestic corruption enforcement action.
21 min
27
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
28
FINRA Enforcement Actions involving Robinhood
Matt and Tom review 2 recent FINRA enforcement actions involving Robinhood.
19 min
29
The Amec Foster Wheeler FCPA Enforcement Action
Compliance lessons from the Amec Foster Wheeler FCPA enforcement action.
25 min
30
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
31
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
32
PCAOB Clean Sweep
What does the clean sweep of the PCAOB mean for compliance? Tom and Matt explore in this episode.
22 min
33
Compliance and ESG
In this episode, we look at the role of compliance in ESG.
25 min
34
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
35
Biden Administration Executive Order on Cyberse...
Matt and Tom take a deep dive into the Biden Administration Executive Order on Cybersecurity
26 min
36
Elon Musk, Cryptocurrency and the SEC
Tom & Matt take a deep dive into the intersection of Elon Musk, cryptocurrencies and the SEC.
20 min
37
SAP Trade Sanctions Enforcement Action
Matt and Tom take a deep dive into SAP trade sanction enforcement action.
22 min
38
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
39
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
40
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
41
SPACs and Compliance
In this episode, Matt and Tom take a deep dive into the recent spate of SPACs which have formed.
22 min
42
Boaty McBoat, Risk and Compliance
What does the Ever Given grounding mean from the risk management and compliance perspective?
22 min
43
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
44
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
45
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
46
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
47
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
48
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
49
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
50
GameStop and Compliance
In this episode, we consider the GameStop matter through the lens of the compliance profession.
28 min
51
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
52
FinCEN Enforcement Action involving Capital One
In this episode, we consider the Capital One resolution of the FinCEN enforcement action.
26 min
53
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
54
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
55
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
56
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
57
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
58
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
59
A Mayor, Covid-19 and Leadership
What is a leader's responsibility to follow his own prescriptions around ethical conduct?
21 min
60
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
61
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
62
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
63
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
64
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
65
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
66
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
67
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
68
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
69
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
70
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
71
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
72
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
73
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
74
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
75
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
76
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
77
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
78
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
79
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
80
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
81
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
82
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
83
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
84
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
85
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
86
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
87
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
88
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
89
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
90
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
91
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
92
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
93
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
94
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
95
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
96
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
97
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
98
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
99
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
100
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