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.
151
A Compliance Response on Messaging Apps
Tom and Matt look at some compliance solutions for the messaging apps problem.
21 min
152
COSO Fraud Risk Management Framework
Matt and Tom take a deep dive into the COSO Fraud Risk Management Framework.
24 min
153
ComEd 2023 Compliance Report
Tom and Matt take a deep dive into the 2023 ComEd Compliance Report.
24 min
154
BAT Sanctions Enforcement Action
Matt and Tom take a deep dive into the BAT sanctions enforcement action.
18 min
155
Seagate Sanctions Enforcement Action
Tom and Matt take a deep dive into the Seagate sanctions enforcement action.
18 min
156
SOX Compliance, PCAOB Inspections and Audits
Matt and Tom take a deep dive into current SOX compliance issues.
24 min
157
Microsoft OFAC Enforcement Action
Tom and Matt take a deep dive into the recent OFAC enforcement action involving Microsoft.
19 min
158
COSO Framework for Sustainability Controls and ...
Tom and Matt looks at the new COSO Framework for Sustainability.
17 min
159
Blackbaud-Failures in Cyber Breach Disclosures
Tom and Matt take a deep dive into cyber breach disclosure failures.
19 min
160
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
161
Beneath the Bailout: The Collapse of Silicon Va...
Tom and Matt take a deep dive into the failure of Silicon Valley Bank.
26 min
162
Updated DOJ Mandate on Clawbacks
Matt and Tom take a deep dive into the Monaco and Polite speeches (and ECCP) on clawbacks.
22 min
163
Creating a Data Analytics Program
Tom and Matt take a deep dive into creating a data analytics program.
21 min
164
Having a Values Conversation
Matt and Tom look at how to have a conversation on values, compliance and ethics.
16 min
165
ChatGPT for the Compliance Professional
Tom and Matt go into the weeds on ChatGPT for compliance professionals.
23 min
166
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
167
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
168
Update to the Corporate Enforcement Policy
Tom and Matt take a deep dive into the changes in the DOJ Corporate Enforcement Policy.
23 min
169
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
170
DFS Fines Coinbase
Tom and Matt take a deep dive into the DFS fine involving crypto trading platform Coinbase.
23 min
171
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
172
The Danske Bank AML Enforcement Action
Tom and Matt take a deep dive into the Danske Bank AML enforcement action.
20 min
173
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
174
ABB FCPA Resolution
Tom and Matt take a deep dive into the ABB FCPA resolution.
25 min
175
Mental Health and Compliance Officers
In this episode, we consider the very prescient topic of mental health and compliance officers.
18 min