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.
251
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
252
FinCEN Enforcement Action involving Capital One
In this episode, we consider the Capital One resolution of the FinCEN enforcement action.
26 min
253
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
254
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
255
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
256
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
257
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
258
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
259
A Mayor, Covid-19 and Leadership
What is a leader's responsibility to follow his own prescriptions around ethical conduct?
21 min
260
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
261
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
262
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
263
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
264
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
265
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
266
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
267
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
268
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
269
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
270
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
271
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
272
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
273
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
274
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
275
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