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.
76
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
77
Sustainability and Managing 3rd Party Risk
Tom and Matt take a deep dive into third party risk management issues.
29 min
78
Scathing Report on Culture at The FDIC
Tom and Matt look at the report on the FDIC and its toxic culture.
25 min
79
The WACKO Enforcement Action Involving BF Borgers
Tom and Matt look at the SEC enforcement action involving BF Borgers.
22 min
80
What Are Boards Doing About AI (Hint: Not Much)
Tom and Matt look into corporate reports on their Boards’ oversight of AI.
22 min
81
Digital Transformation in Sports Betting: Preve...
Tom and Matt look at compliance lessons from the Jontay Porter betting scandal.
19 min
82
Do We Need More Centralized Compliance?
Tom and Matt consider if we need more centralized compliance?
20 min
83
The Complexity of Risk Assessments
Tom and Matt take a fresh look at risk assessments.
28 min
84
Trafigura FCPA Enforcement Action
Tom and Matt take a deep dive into the Trafigura FCPA Enforcement Action.
24 min
85
AI Washing and Compliance
Tom and Matt look at AI washing and what it means for compliance.
24 min
86
SEC Climate Change Reporting and a Unified Risk...
Matt and Tom consider a Unified Risk Management Process.
20 min
87
Monaco on DOJ Whistleblower Initiative and AI
26 min
88
The Gunvor FCPA Enforcement Action
Tom and Matt consider the Gunvor FCPA Enforcement Action.
24 min
89
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
90
Compliance and Internal Controls in the Trump O...
Tom and Matt look at Compliance and Internal Controls in the Trump Organization.
20 min
91
Down The Rabbit Hole on SEC Enforcement Waivers
Why is the SEC granting enforcement waivers for messaging apps violations?
19 min
92
To Monitor or Not to Monitor: What is even the ...
Tom and Matt look at seemingly different enforcement results re: monitorships.
20 min
93
Oscar Season and Internal Controls
Tom and Matt take a dive into Oscar season and internal controls.
16 min
94
Pre-Taliation is Illegal as to All
Tom and Matt take up a game changing pre-taliation case.
17 min
95
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
96
FTC and Rite-Aid: Compliance Issues with AI Fac...
Tom and Matt look at AI facial recognition from the compliance perspective.
21 min
97
Key Compliance Issues for 2024
Tom and Matt consider some key compliance issues for 2024.
35 min
98
Congress Fills a Gap - FEPA
Tom and Matt look at FEPA.
21 min
99
The Importance of Empathy and Moral Clarity in ...
The Importance of Empathy and Moral Clarity in Campus Anti-Discrimination
22 min
100
Data Analytics, BoA and DOJ Pronouncements
Tom and Matt take a deep dive into data analytics and the BoA CFPB action.
23 min