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.
51
Of Fat Fingers, Internal Controls and Compliance
In this episode Tom and Matt delve deep into Citigroup's $126 million trading error, resulting from poor internal controls.
27 min
52
Sustainability and Managing 3rd Party Risk
Tom and Matt take a deep dive into third party risk management issues.
29 min
53
Scathing Report on Culture at The FDIC
Tom and Matt look at the report on the FDIC and its toxic culture.
25 min
54
The WACKO Enforcement Action Involving BF Borgers
Tom and Matt look at the SEC enforcement action involving BF Borgers.
22 min
55
What Are Boards Doing About AI (Hint: Not Much)
Tom and Matt look into corporate reports on their Boards’ oversight of AI.
22 min
56
Digital Transformation in Sports Betting: Preve...
Tom and Matt look at compliance lessons from the Jontay Porter betting scandal.
19 min
57
Do We Need More Centralized Compliance?
Tom and Matt consider if we need more centralized compliance?
20 min
58
The Complexity of Risk Assessments
Tom and Matt take a fresh look at risk assessments.
28 min
59
Trafigura FCPA Enforcement Action
Tom and Matt take a deep dive into the Trafigura FCPA Enforcement Action.
24 min
60
AI Washing and Compliance
Tom and Matt look at AI washing and what it means for compliance.
24 min
61
SEC Climate Change Reporting and a Unified Risk...
Matt and Tom consider a Unified Risk Management Process.
20 min
62
Monaco on DOJ Whistleblower Initiative and AI
26 min
63
The Gunvor FCPA Enforcement Action
Tom and Matt consider the Gunvor FCPA Enforcement Action.
24 min
64
The ACFE 2024 Anti-Fraud Technology Benchmarkin...
Tom and Matt go into the weeds into The ACFE 2024 Anti-Fraud Technology Benchmarking Report.
25 min
65
Compliance and Internal Controls in the Trump O...
Tom and Matt look at Compliance and Internal Controls in the Trump Organization.
20 min
66
Down The Rabbit Hole on SEC Enforcement Waivers
Why is the SEC granting enforcement waivers for messaging apps violations?
19 min
67
To Monitor or Not to Monitor: What is even the ...
Tom and Matt look at seemingly different enforcement results re: monitorships.
20 min
68
Oscar Season and Internal Controls
Tom and Matt take a dive into Oscar season and internal controls.
16 min
69
Pre-Taliation is Illegal as to All
Tom and Matt take up a game changing pre-taliation case.
17 min
70
The SAP Foreign Corrupt Practices Act Enforceme...
Tom and Matt take a deep dive into the The SAP Foreign Corrupt Practices Act Enforcement Action.
26 min
71
FTC and Rite-Aid: Compliance Issues with AI Fac...
Tom and Matt look at AI facial recognition from the compliance perspective.
21 min
72
Key Compliance Issues for 2024
Tom and Matt consider some key compliance issues for 2024.
35 min
73
Congress Fills a Gap - FEPA
Tom and Matt look at FEPA.
21 min
74
The Importance of Empathy and Moral Clarity in ...
The Importance of Empathy and Moral Clarity in Campus Anti-Discrimination
22 min
75
Data Analytics, BoA and DOJ Pronouncements
Tom and Matt take a deep dive into data analytics and the BoA CFPB action.
23 min