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
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
227
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
228
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
229
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
230
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
231
A Mayor, Covid-19 and Leadership
What is a leader's responsibility to follow his own prescriptions around ethical conduct?
21 min
232
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
233
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
234
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
235
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
236
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
237
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
238
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
239
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
240
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
241
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
242
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
243
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
244
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
245
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
246
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
247
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
248
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
249
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
250
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