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
Down The Rabbit Hole on SEC Enforcement Waivers
Why is the SEC granting enforcement waivers for messaging apps violations?
19 min
127
To Monitor or Not to Monitor: What is even the ...
Tom and Matt look at seemingly different enforcement results re: monitorships.
20 min
128
Oscar Season and Internal Controls
Tom and Matt take a dive into Oscar season and internal controls.
16 min
129
Pre-Taliation is Illegal as to All
Tom and Matt take up a game changing pre-taliation case.
17 min
130
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
131
FTC and Rite-Aid: Compliance Issues with AI Fac...
Tom and Matt look at AI facial recognition from the compliance perspective.
21 min
132
Key Compliance Issues for 2024
Tom and Matt consider some key compliance issues for 2024.
35 min
133
Congress Fills a Gap - FEPA
Tom and Matt look at FEPA.
21 min
134
The Importance of Empathy and Moral Clarity in ...
The Importance of Empathy and Moral Clarity in Campus Anti-Discrimination
22 min
135
Data Analytics, BoA and DOJ Pronouncements
Tom and Matt take a deep dive into data analytics and the BoA CFPB action.
23 min
136
Binance Pays $4+ Billion for Criminal Acts
Tom and Matt take a deep dive into the Binance $4bn+ enforcement action.
22 min
137
OIG Says CCO Should be Independent
Tom and Matt look at the new OIG compliance program guidance.
18 min
138
Remediation During an Enforcement Action
Tom and Matt tackle the question of how to remediate during an enforcement action.
19 min
139
SEC Sues Solar Winds and CISO
Tom and Matt take a deep dive into the SEC suit against Solar Winds and Tim Brown for false disclosures.
27 min
140
Szabolcs Fekete and the Consequences of Ethical...
Today, Tom and Matt look at Szabolcs Fekete and the Consequences of Ethical Breaches.
21 min
141
A Deep Dive into Policies and Procedures
Tom and Matt take a deep dive into policies and procedures.
20 min
142
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
143
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
144
3M OFAC Enforcement Action
Tom and Matt take on the 3M OFAC Enforcement Action.
20 min
145
MGM Grand Data Breach
Tom and Matt take a deep dive into the recent MGM Grand Data Breach.
26 min
146
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
147
Risk Assessments, Control Environments and Plug...
Tom and Matt take a deep dive into inadequate risk assessments.
21 min
148
3M FCPA Enforcement Action
Tom and Matt take a deep dive into the 3M FCPA Enforcement Action.
17 min
149
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
150
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