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
What is risk?
In this episode, Tom Fox and Matt Kelly take a deep dive into the questions of what is risk and what is risk management.
19 min
152
Cybersecurity, ERP and Compliance
This week Matt and Tom take a deep dive into the type of cybersecurity risk where ERP software is compromised due to a bug or other vulnerability.
25 min
153
SPACs and Compliance
In this episode, Matt and Tom take a deep dive into the recent spate of SPACs which have formed.
22 min
154
Boaty McBoat, Risk and Compliance
What does the Ever Given grounding mean from the risk management and compliance perspective?
22 min
155
CEOs Perception of Risk, Impact on Compliance
In this episode, take a deep dive into the 2021 PwC Global CEO Survey, including its findings about digital transformation of business processes and risk management to discuss.
22 min
156
A Punch in the Face to SEC Enforcement?
SEC Commissioner Caroline Crenshaw recently challenged SEC enforcement theory with a 'punch in the face'
22 min
157
The ECI 2021 Global Business Ethics Survey
Matt and Tom take a deep dive into findings, conclusions and recommendations in the ECI 2021 GBES.
26 min
158
The SEC and Climate Disclosures
In this episode, we take a deep dive into the recent announcement by the SEC that it would start paying more attention to companies’ climate change disclosures.
18 min
159
Compliance Lessons from Citibank’s $900MM Erron...
What are the compliance lessons from Citibank's erroneous $900 wire transfer? Plenty it turns out.
34 min
160
Employee Trust and Compliance
In this episode, Matt & Tom This continue their dialogue about the current state of employee trust and its role in corporate culture and a best practices compliance and ethics program.
28 min
161
Human Capital Disclosures and Compliance
In this episode, we consider the SEC regulations requiring companies to detail human capital issues in their annual reports.
25 min
162
GameStop and Compliance
In this episode, we consider the GameStop matter through the lens of the compliance profession.
28 min
163
WFH, RTW or Something Else
In this episode we consider will we be permanently working from home, returning to the office, a mix of both or something else?
24 min
164
FinCEN Enforcement Action involving Capital One
In this episode, we consider the Capital One resolution of the FinCEN enforcement action.
26 min
165
The Deutsche Bank FCPA Settlement
In this episode, Matt Kelly and Tom Fox take a deep dive into the Deutsche Bank FCPA resolution.
26 min
166
5 Issues for Compliance Professionals in 2021
In this episode, Jay Rosen and Tom Fox consider what can influence an organization’s ethical culture, starting at the top with senior leadership.
32 min
167
Who Should Oversee and Manage the Hotline
In this episode, we take a deep dive into who should oversee and manage a hotline.
21 min
168
Algorithm Failures in Ethics and Equity at Stan...
In this episode, we consider how badly Stanford University Health Systems botched it decision on whom in the organization would receive its allotted Covid-19 vaccinations
21 min
169
Leadership Failures at Ft. Hood, with Special G...
In this episode, Matt,Tom and special guest Diane St. Ives consider the recent US Special Commission Report on leadership and culture failures in the areas of sexual harassment and assault which have occurred at Ft. Hood.
24 min
170
NDAA Creates New Whistleblower Law
In this, our 200th episode of Compliance into the Weeds, Matt and Tom go into the weeds to look at the new anti-money launder whistleblower law.
21 min
171
A Mayor, Covid-19 and Leadership
What is a leader's responsibility to follow his own prescriptions around ethical conduct?
21 min
172
Insider Trading Compliance and Former Apple CCO...
In this episode Matt and Tom go into the weeds to look at recent SEC remarks on issues around insider trading compliance programs.
22 min
173
The SEC Tenure of Jay Clayton
In this episode Matt and Tom go into the weeds to look at the SEC Chairmanship of Jay Clayton who announced he was stepping down at the end of the year.
21 min
174
Compliance Under the Biden Administration
In this episode Matt and Tom go into the weeds to look at compliance issues relevant to the next administration
32 min
175
Turbulence in the Compliance Profession
In this episode Matt and Tom go into the weeds to look at the turbulence brought to the compliance profession and compliance job market.
21 min