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