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
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
152
DFS Fines Coinbase
Tom and Matt take a deep dive into the DFS fine involving crypto trading platform Coinbase.
23 min
153
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
154
The Danske Bank AML Enforcement Action
Tom and Matt take a deep dive into the Danske Bank AML enforcement action.
20 min
155
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
156
ABB FCPA Resolution
Tom and Matt take a deep dive into the ABB FCPA resolution.
25 min
157
Mental Health and Compliance Officers
In this episode, we consider the very prescient topic of mental health and compliance officers.
18 min
158
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
159
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
160
Thinking about Clawbacks
In this episode we consider the recently announced clawback requirements from both the DOJ and SEC.
26 min
161
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
162
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
163
A Hockey Scandal in Canada
Inspired by Matt's holiday in Canada, in this episode we consider a hockey scandal in Canada.
18 min
164
The Oracle FCPA Enforcement Action
Tom and Matt take a deep dive into the Oracle FCPA Enforcement Action.
19 min
165
Monaco Doctrine and Memo
In this episode, we look at the recently announced Monaco Doctrine as encapsulated in the Monaco Memo
34 min
166
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
167
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
168
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
169
Mudge and Whistleblower Allegations Against Twi...
In this episode, we explore whistleblower allegations by Peiter Zatko, made against his former employer Twitter.
25 min
170
HanesBrands Cyber Security Breach Disclosure
In this episode, we explore the recent disclosure by HanesBrands of a cyber security breach in Q2.
21 min
171
CFPB on Data Protection Minimums
Matt and Tom take a deep dive into the recent CFPB circular on data protection standards.
18 min
172
What is a ‘Reasonably Designed’ Compliance Program
In this episode, we continue our exploration of the new requirements for CCO certification by considering the term ‘reasonably designed’ compliance program.
24 min
173
Internal Controls Lessons from Cyber Failures i...
Matt and Tom take a deep dive into recent failures detected in the state of Wisconsin cyber security risks around election integrity
21 min
174
Lessons from the Biotronik Anti-Kickback Enforc...
Tom and Matt go into the weeds to review the Biotronik FCA claim.
21 min
175
The Wild and Wacky World of Control Failures
In this episode, we take a deep dive into the recent story of an in-house attorney who was disbarred for creating fraudulent claims and fraudulent settlements.
22 min