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.
126
Auditing AI For Compliance
Tom and Matt look at challenges for auditors around auditing AI.
21 min
127
BOA Enforcement Action for Bogus Accounts
Tom and Matt take up the recent CFTC enforcement action involving Bank of America.
20 min
128
Compliance into the Weeds Takes a Eurotrip with...
Matt and Tom are joined by Compliance Man for a Eurotrip.
36 min
129
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
130
A Material Weaknesses Catastrophe
Tom and Matt look at a company which created material weaknesses catastrophe in its 10-K.
20 min
131
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
132
Compliance and Middle Managers
Today, Tom and Matt consider the role of Compliance and Middle Managers.
20 min
133
A Compliance Response on Messaging Apps
Tom and Matt look at some compliance solutions for the messaging apps problem.
21 min
134
COSO Fraud Risk Management Framework
Matt and Tom take a deep dive into the COSO Fraud Risk Management Framework.
24 min
135
ComEd 2023 Compliance Report
Tom and Matt take a deep dive into the 2023 ComEd Compliance Report.
24 min
136
BAT Sanctions Enforcement Action
Matt and Tom take a deep dive into the BAT sanctions enforcement action.
18 min
137
Seagate Sanctions Enforcement Action
Tom and Matt take a deep dive into the Seagate sanctions enforcement action.
18 min
138
SOX Compliance, PCAOB Inspections and Audits
Matt and Tom take a deep dive into current SOX compliance issues.
24 min
139
Microsoft OFAC Enforcement Action
Tom and Matt take a deep dive into the recent OFAC enforcement action involving Microsoft.
19 min
140
COSO Framework for Sustainability Controls and ...
Tom and Matt looks at the new COSO Framework for Sustainability.
17 min
141
Blackbaud-Failures in Cyber Breach Disclosures
Tom and Matt take a deep dive into cyber breach disclosure failures.
19 min
142
SVB Failure-Lessons for Compliance
Tom and Matt take a deep dive into the SVB failure to mine it for the compliance lessons.
26 min
143
Beneath the Bailout: The Collapse of Silicon Va...
Tom and Matt take a deep dive into the failure of Silicon Valley Bank.
26 min
144
Updated DOJ Mandate on Clawbacks
Matt and Tom take a deep dive into the Monaco and Polite speeches (and ECCP) on clawbacks.
22 min
145
Creating a Data Analytics Program
Tom and Matt take a deep dive into creating a data analytics program.
21 min
146
Having a Values Conversation
Matt and Tom look at how to have a conversation on values, compliance and ethics.
16 min
147
ChatGPT for the Compliance Professional
Tom and Matt go into the weeds on ChatGPT for compliance professionals.
23 min
148
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
149
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
150
Update to the Corporate Enforcement Policy
Tom and Matt take a deep dive into the changes in the DOJ Corporate Enforcement Policy.
23 min