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
Remediation During an Enforcement Action
Tom and Matt tackle the question of how to remediate during an enforcement action.
19 min
52
SEC Sues Solar Winds and CISO
Tom and Matt take a deep dive into the SEC suit against Solar Winds and Tim Brown for false disclosures.
27 min
53
Szabolcs Fekete and the Consequences of Ethical...
Today, Tom and Matt look at Szabolcs Fekete and the Consequences of Ethical Breaches.
21 min
54
A Deep Dive into Policies and Procedures
Tom and Matt take a deep dive into policies and procedures.
20 min
55
New M&A Safe Harbor
In this episode, Tom and Matt consider the recent speech by DAG Lisa Monaco, creating a Safe Harbor for M&A under the FCPA and beyond.
21 min
56
DE Shaw Enforcement Action for Pre-taliation
Tom and Matt take a look at the SEC enforcement action with DE Shaw for Pre-taliation.
16 min
57
3M OFAC Enforcement Action
Tom and Matt take on the 3M OFAC Enforcement Action.
20 min
58
MGM Grand Data Breach
Tom and Matt take a deep dive into the recent MGM Grand Data Breach.
26 min
59
Failure to Have Effective Compliance Program
Tom and Matt consider the recent DOJ enforcement action involving Verizon Business Network Services for failure to have an effective cyber security compliance program.
18 min
60
Risk Assessments, Control Environments and Plug...
Tom and Matt take a deep dive into inadequate risk assessments.
21 min
61
3M FCPA Enforcement Action
Tom and Matt take a deep dive into the 3M FCPA Enforcement Action.
17 min
62
Messaging App Enforcement and Internal Controls
Matt and Tom look at the latest round of enforcement actions against regulated industries around ephemeral messaging.
21 min
63
Responses to PCAOB Proposal On Audits
Tom and Matt are back to look a the responses to the PCAOB proposed rule on fraud and related audits.
23 min
64
SEC Rules for Cyber Breach Disclosure
Tom and Matt take a deep dive into the recently released SEC rules on cyber breach disclosures.
22 min
65
Auditing AI For Compliance
Tom and Matt look at challenges for auditors around auditing AI.
21 min
66
BOA Enforcement Action for Bogus Accounts
Tom and Matt take up the recent CFTC enforcement action involving Bank of America.
20 min
67
Compliance into the Weeds Takes a Eurotrip with...
Matt and Tom are joined by Compliance Man for a Eurotrip.
36 min
68
What is Driving Compliance Engagement at the Bo...
Tom and Matt review the Navex 2023 State of Risk and Compliance Report to ask: what is driving Board engagement.
23 min
69
A Material Weaknesses Catastrophe
Tom and Matt look at a company which created material weaknesses catastrophe in its 10-K.
20 min
70
PCAOB: Expanding Audit Duties-the Impact and Co...
Tom and Matt look at the PCAOB proposed rule to expand audits to consider compliance failures.
19 min
71
Compliance and Middle Managers
Today, Tom and Matt consider the role of Compliance and Middle Managers.
20 min
72
A Compliance Response on Messaging Apps
Tom and Matt look at some compliance solutions for the messaging apps problem.
21 min
73
COSO Fraud Risk Management Framework
Matt and Tom take a deep dive into the COSO Fraud Risk Management Framework.
24 min
74
ComEd 2023 Compliance Report
Tom and Matt take a deep dive into the 2023 ComEd Compliance Report.
24 min
75
BAT Sanctions Enforcement Action
Matt and Tom take a deep dive into the BAT sanctions enforcement action.
18 min