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.
101
External Auditors, Fraud Risks and Compliance
Tom and Matt break down the SEC statement on external auditors assessing fraud risk and consider the implications for the compliance professional.
25 min
102
A Hockey Scandal in Canada
Inspired by Matt's holiday in Canada, in this episode we consider a hockey scandal in Canada.
18 min
103
The Oracle FCPA Enforcement Action
Tom and Matt take a deep dive into the Oracle FCPA Enforcement Action.
19 min
104
Monaco Doctrine and Memo
In this episode, we look at the recently announced Monaco Doctrine as encapsulated in the Monaco Memo
34 min
105
Polite Speech-A Jolt for Compliance
What are corporate clawbacks and why is there institution so significant for compliance? Tom and Matt explore on this episode of Compliance into the Weeds.
32 min
106
Suicide Prevention Hotline and a Speak Up Culture
Tom and Matt look at data from the first month of the operation of the National Suicide Prevention Hotline and mine it for compliance data.
16 min
107
Cyber Security Failures Alleged in Mudge Whistl...
Tom and Matt continue their deep dive into the Mudge allegations re: Twitter. This week, hacked, duped and internal control failures.
15 min
108
Mudge and Whistleblower Allegations Against Twi...
In this episode, we explore whistleblower allegations by Peiter Zatko, made against his former employer Twitter.
25 min
109
HanesBrands Cyber Security Breach Disclosure
In this episode, we explore the recent disclosure by HanesBrands of a cyber security breach in Q2.
21 min
110
CFPB on Data Protection Minimums
Matt and Tom take a deep dive into the recent CFPB circular on data protection standards.
18 min
111
What is a ‘Reasonably Designed’ Compliance Program
In this episode, we continue our exploration of the new requirements for CCO certification by considering the term ‘reasonably designed’ compliance program.
24 min
112
Internal Controls Lessons from Cyber Failures i...
Matt and Tom take a deep dive into recent failures detected in the state of Wisconsin cyber security risks around election integrity
21 min
113
Lessons from the Biotronik Anti-Kickback Enforc...
Tom and Matt go into the weeds to review the Biotronik FCA claim.
21 min
114
The Wild and Wacky World of Control Failures
In this episode, we take a deep dive into the recent story of an in-house attorney who was disbarred for creating fraudulent claims and fraudulent settlements.
22 min
115
DFS Fines Carnival Cruise Lines for Cyber Failures
In this episode, we take a deep dive into the recent DFS enforcement action against Carnival Cruise Lines for failures in its cybersecurity reporting obligations.
19 min
116
Dobbs and Compliance
In this episode, we take a deep dive into some of the issues for compliance professionals in the wake of the Dobbs decision.
24 min
117
Unintended Consequences of CCO Certifications
In this episode, Tom and Matt look at some of the unintended consequences of CCO certifications required by the DOJ.
23 min
118
Compliance Craziness
Tom and Matt look at some unusual recent compliance stories.
22 min
119
Compliance Lessons from the Army
In this episode, we take a deep dive into the recently released GAO report on failures in the US Army SHARP program, largely around policies and procedures, with a dash of culture thrown in.
19 min
120
Compliance Lessons from Uvalde
In perhaps their most somber podcast ever, Matt and Tom take a deep dive into the some of the failures which led to the tragedy in Uvalde TX and lessons for the compliance professional.
30 min
121
DOJ Expectations for Compliance & CCOs
Tom and Matt take a deep dive into a recent DOJ speech on what the DOJ expects in compliance programs and CCOs involved in enforcement actions.
22 min
122
ComEd Compliance Report
In this episode, Tom and Matt take a deep dive into the recently released Commonewealth Edison report on the current state of its compliance program.
19 min
123
JPMorgan Responds to Whistleblower Claims
Tom and Matt take a deep dive into the JPMorgan response to the whistleblower allegations of Shaqualla Williams.
21 min
124
Impacts on Compliance of Russian Invasion of Uk...
Matt and Tom take a deep dive into some of the impacts on compliance from the Russian invasion of Ukraine on supply chain and cyber security.
22 min
125
Stericycle FCPA Enforcement Action
This week, Matt and Tom take a deep dive into the recently released Stericycle FCPA enforcement action.
21 min