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
Beneath the Bailout: The Collapse of Silicon Va...
Tom and Matt take a deep dive into the failure of Silicon Valley Bank.
26 min
152
Updated DOJ Mandate on Clawbacks
Matt and Tom take a deep dive into the Monaco and Polite speeches (and ECCP) on clawbacks.
22 min
153
Creating a Data Analytics Program
Tom and Matt take a deep dive into creating a data analytics program.
21 min
154
Having a Values Conversation
Matt and Tom look at how to have a conversation on values, compliance and ethics.
16 min
155
ChatGPT for the Compliance Professional
Tom and Matt go into the weeds on ChatGPT for compliance professionals.
23 min
156
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
157
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
158
Update to the Corporate Enforcement Policy
Tom and Matt take a deep dive into the changes in the DOJ Corporate Enforcement Policy.
23 min
159
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
160
DFS Fines Coinbase
Tom and Matt take a deep dive into the DFS fine involving crypto trading platform Coinbase.
23 min
161
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
162
The Danske Bank AML Enforcement Action
Tom and Matt take a deep dive into the Danske Bank AML enforcement action.
20 min
163
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
164
ABB FCPA Resolution
Tom and Matt take a deep dive into the ABB FCPA resolution.
25 min
165
Mental Health and Compliance Officers
In this episode, we consider the very prescient topic of mental health and compliance officers.
18 min
166
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
167
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
168
Thinking about Clawbacks
In this episode we consider the recently announced clawback requirements from both the DOJ and SEC.
26 min
169
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
170
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
171
A Hockey Scandal in Canada
Inspired by Matt's holiday in Canada, in this episode we consider a hockey scandal in Canada.
18 min
172
The Oracle FCPA Enforcement Action
Tom and Matt take a deep dive into the Oracle FCPA Enforcement Action.
19 min
173
Monaco Doctrine and Memo
In this episode, we look at the recently announced Monaco Doctrine as encapsulated in the Monaco Memo
34 min
174
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
175
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