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
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
102
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
103
3M OFAC Enforcement Action
Tom and Matt take on the 3M OFAC Enforcement Action.
20 min
104
MGM Grand Data Breach
Tom and Matt take a deep dive into the recent MGM Grand Data Breach.
26 min
105
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
106
Risk Assessments, Control Environments and Plug...
Tom and Matt take a deep dive into inadequate risk assessments.
21 min
107
3M FCPA Enforcement Action
Tom and Matt take a deep dive into the 3M FCPA Enforcement Action.
17 min
108
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
109
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
110
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
111
Auditing AI For Compliance
Tom and Matt look at challenges for auditors around auditing AI.
21 min
112
BOA Enforcement Action for Bogus Accounts
Tom and Matt take up the recent CFTC enforcement action involving Bank of America.
20 min
113
Compliance into the Weeds Takes a Eurotrip with...
Matt and Tom are joined by Compliance Man for a Eurotrip.
36 min
114
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
115
A Material Weaknesses Catastrophe
Tom and Matt look at a company which created material weaknesses catastrophe in its 10-K.
20 min
116
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
117
Compliance and Middle Managers
Today, Tom and Matt consider the role of Compliance and Middle Managers.
20 min
118
A Compliance Response on Messaging Apps
Tom and Matt look at some compliance solutions for the messaging apps problem.
21 min
119
COSO Fraud Risk Management Framework
Matt and Tom take a deep dive into the COSO Fraud Risk Management Framework.
24 min
120
ComEd 2023 Compliance Report
Tom and Matt take a deep dive into the 2023 ComEd Compliance Report.
24 min
121
BAT Sanctions Enforcement Action
Matt and Tom take a deep dive into the BAT sanctions enforcement action.
18 min
122
Seagate Sanctions Enforcement Action
Tom and Matt take a deep dive into the Seagate sanctions enforcement action.
18 min
123
SOX Compliance, PCAOB Inspections and Audits
Matt and Tom take a deep dive into current SOX compliance issues.
24 min
124
Microsoft OFAC Enforcement Action
Tom and Matt take a deep dive into the recent OFAC enforcement action involving Microsoft.
19 min
125
COSO Framework for Sustainability Controls and ...
Tom and Matt looks at the new COSO Framework for Sustainability.
17 min