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
Compliance Implications of DOJ’s New Fraud Divi...
The new Fraud Division and what it means for compliance.
23 min
2
Ted Lasso, Culture and Compliance
Compliance and Ted Lasso
27 min
3
FinCEN’s $125MM UBS AML Order: A Culture and Re...
Matt and Tom look at the UBS fine and penalty.
25 min
4
Scoular Company FCPA Settlement: Cartel Links, ...
What does the Scoular FCPA enforcement action mean for compliance?
25 min
5
The Slaughter Ruling, Regulatory Volatility and...
What does a Supreme Court decision mean for compliance?
27 min
6
Survey Finds Widespread Retaliation Against Com...
Retaliation against CCOs.
25 min
7
Bosch and the Foreign Direct Product Rule: Less...
Matt and Tom take deep dive into the Bosch BIS and NSD Declination.
26 min
8
OFAC’s Warning Shot: FTI Consulting Fined for I...
Matt and Tom review the OFAC enforcement action involving FTI.
19 min
9
Why the Compliance Job Market Feels Frozen
Tom and Matt consider the hiring market in compliance.
22 min
10
An SEC Rollback and a Tribute to Barney Frank
SEC rollback and tribute to Barney Frank.
22 min
11
The DOJ Trainwreck and the Rising Risk Calculus...
What does the DOJ train wreck mean for compliance?
25 min
12
Ohio State and Improper Requests by a President
Ohio State, COIs and Investigations
22 min
13
Navigating DOJ's Evolving Self-Disclosure Strat...
Tom and Matt consider a recent piece by Hui Chen on assessing self-disclosure.
22 min
14
Banking Regulators Cut Model Risk Guidance: Imp...
What does the FED and OCC say about Risk Management in 2026?
22 min
15
Surveying Retaliation Against Compliance Officers
The Radical Compliance survey on retaliation against CCOs.
16 min
16
Duty Owed vs. Material Nonpublic Information: P...
The prediction markets and compliance.
23 min
17
AI-Driven SOC Audits and the Growing Trust Gap
Wither SOC II audits?
22 min
18
Balt and TradeStation: Lessons for the Complian...
Tom and Matt look at the Balt declination and TradeStation enforcement action.
26 min
19
McKinsey’s Lilli AI Hack: What It Signals for A...
Tom and Matt look at the McKinsey AI hack.
18 min
20
Carrots and Sticks in Washington: Antitrust Whi...
How the DOJ and Democratic Senators are upping the game for self-disclosure.
18 min
21
SDNY’s New Declination Policy: Crime Categories...
Tom and Matt look at the new SDNY policy on declinations.
21 min
22
FCPA Trial Rarity: Charles Hobson Convicted
Tom and Matt review the Hobson FCPA trial conviction.
23 min
23
Truth Stranger the Fiction: Binance, Iran, Cryp...
Tom and Matt look at Binance.
19 min
24
NPAs, Escalation and Ethics in Competing
Today, we consider self-disclosure, NPAs, terminated compliance officers, and Lindsey Vonn.
26 min
25
The Reality of AI Adoption in Corporate Compliance
Tom and Matt differ on AI adoption.
26 min