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
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
227
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
228
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
229
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
230
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
231
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
232
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
233
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
234
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
235
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
236
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
237
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
238
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
239
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
240
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
241
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
242
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
243
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
244
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
245
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
246
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
247
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
248
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
249
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
250
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