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
Creating a Data Analytics Program
Tom and Matt take a deep dive into creating a data analytics program.
21 min
127
Having a Values Conversation
Matt and Tom look at how to have a conversation on values, compliance and ethics.
16 min
128
ChatGPT for the Compliance Professional
Tom and Matt go into the weeds on ChatGPT for compliance professionals.
23 min
129
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
130
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
131
Update to the Corporate Enforcement Policy
Tom and Matt take a deep dive into the changes in the DOJ Corporate Enforcement Policy.
23 min
132
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
133
DFS Fines Coinbase
Tom and Matt take a deep dive into the DFS fine involving crypto trading platform Coinbase.
23 min
134
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
135
The Danske Bank AML Enforcement Action
Tom and Matt take a deep dive into the Danske Bank AML enforcement action.
20 min
136
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
137
ABB FCPA Resolution
Tom and Matt take a deep dive into the ABB FCPA resolution.
25 min
138
Mental Health and Compliance Officers
In this episode, we consider the very prescient topic of mental health and compliance officers.
18 min
139
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
140
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
141
Thinking about Clawbacks
In this episode we consider the recently announced clawback requirements from both the DOJ and SEC.
26 min
142
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
143
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
144
A Hockey Scandal in Canada
Inspired by Matt's holiday in Canada, in this episode we consider a hockey scandal in Canada.
18 min
145
The Oracle FCPA Enforcement Action
Tom and Matt take a deep dive into the Oracle FCPA Enforcement Action.
19 min
146
Monaco Doctrine and Memo
In this episode, we look at the recently announced Monaco Doctrine as encapsulated in the Monaco Memo
34 min
147
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
148
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
149
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
150
Mudge and Whistleblower Allegations Against Twi...
In this episode, we explore whistleblower allegations by Peiter Zatko, made against his former employer Twitter.
25 min