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
Updated DOJ Mandate on Clawbacks
Matt and Tom take a deep dive into the Monaco and Polite speeches (and ECCP) on clawbacks.
22 min
102
Creating a Data Analytics Program
Tom and Matt take a deep dive into creating a data analytics program.
21 min
103
Having a Values Conversation
Matt and Tom look at how to have a conversation on values, compliance and ethics.
16 min
104
ChatGPT for the Compliance Professional
Tom and Matt go into the weeds on ChatGPT for compliance professionals.
23 min
105
Activision Blizzard Settlement with SEC
Tom and Matt take a deep dive into the Activision Blizzard SEC settlement for failure to warn investors about its poor corporate culture.
26 min
106
McDonald’s and Duty of Corporate Officer Oversight
Tom and Matt take a deep dive into the Delaware Court of Chancery decision which creates a duty of oversight for corporate officers.
31 min
107
Update to the Corporate Enforcement Policy
Tom and Matt take a deep dive into the changes in the DOJ Corporate Enforcement Policy.
23 min
108
Easterbrook, McDonalds Board & Discretionary Fi...
Tom and Matt look at the SEC enforcement action against McDonalds for failures to disclose in the Steve Easterbrook firing.
22 min
109
DFS Fines Coinbase
Tom and Matt take a deep dive into the DFS fine involving crypto trading platform Coinbase.
23 min
110
Compliance Issues & Events We Are Looking at fo...
Tom and Matt look at some compliance issues and events they are following for 2023.
29 min
111
The Danske Bank AML Enforcement Action
Tom and Matt take a deep dive into the Danske Bank AML enforcement action.
20 min
112
OCC ALJ Slams ex-Wells Fargo Execs
Matt and Tom take a deep dive into a recent ruling by an ALJ on 3 former Wells Fargo execs.
23 min
113
ABB FCPA Resolution
Tom and Matt take a deep dive into the ABB FCPA resolution.
25 min
114
Mental Health and Compliance Officers
In this episode, we consider the very prescient topic of mental health and compliance officers.
18 min
115
From $34 Billion to $0 in One Week-FTX and Cont...
In this episode, we consider the recent collapse of the crypto currency trading platform FTX.
22 min
116
300th Anniversary Episode - Policies Policies P...
In this special 300th anniversary episode, Tom and Matt look a recent academic paper suggesting compliance policies are of little value.
26 min
117
Thinking about Clawbacks
In this episode we consider the recently announced clawback requirements from both the DOJ and SEC.
26 min
118
Lafarge and the Cost of Moral Bankruptcy
In this episode, we consider the recent guilty plea by Lafarge, the French cement giant now owned by Holcim, for paying bribes and protection money to ISIS and doing business in Syria with ISIS.
26 min
119
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
120
A Hockey Scandal in Canada
Inspired by Matt's holiday in Canada, in this episode we consider a hockey scandal in Canada.
18 min
121
The Oracle FCPA Enforcement Action
Tom and Matt take a deep dive into the Oracle FCPA Enforcement Action.
19 min
122
Monaco Doctrine and Memo
In this episode, we look at the recently announced Monaco Doctrine as encapsulated in the Monaco Memo
34 min
123
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
124
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
125
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