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.
226
First Energy Corruption Settlement
Matt and Tom take a deep dive into the First Energy domestic corruption enforcement action.
21 min
227
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
228
FINRA Enforcement Actions involving Robinhood
Matt and Tom review 2 recent FINRA enforcement actions involving Robinhood.
19 min
229
The Amec Foster Wheeler FCPA Enforcement Action
Compliance lessons from the Amec Foster Wheeler FCPA enforcement action.
25 min
230
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
231
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
232
PCAOB Clean Sweep
What does the clean sweep of the PCAOB mean for compliance? Tom and Matt explore in this episode.
22 min
233
Compliance and ESG
In this episode, we look at the role of compliance in ESG.
25 min
234
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
235
Biden Administration Executive Order on Cyberse...
Matt and Tom take a deep dive into the Biden Administration Executive Order on Cybersecurity
26 min
236
Elon Musk, Cryptocurrency and the SEC
Tom & Matt take a deep dive into the intersection of Elon Musk, cryptocurrencies and the SEC.
20 min
237
SAP Trade Sanctions Enforcement Action
Matt and Tom take a deep dive into SAP trade sanction enforcement action.
22 min
238
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
239
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
240
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
241
SPACs and Compliance
In this episode, Matt and Tom take a deep dive into the recent spate of SPACs which have formed.
22 min
242
Boaty McBoat, Risk and Compliance
What does the Ever Given grounding mean from the risk management and compliance perspective?
22 min
243
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
244
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
245
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
246
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
247
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
248
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
249
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
250
GameStop and Compliance
In this episode, we consider the GameStop matter through the lens of the compliance profession.
28 min