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
Mental Health and Compliance Officers
In this episode, we consider the very prescient topic of mental health and compliance officers.
18 min
152
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
153
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
154
Thinking about Clawbacks
In this episode we consider the recently announced clawback requirements from both the DOJ and SEC.
26 min
155
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
156
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
157
A Hockey Scandal in Canada
Inspired by Matt's holiday in Canada, in this episode we consider a hockey scandal in Canada.
18 min
158
The Oracle FCPA Enforcement Action
Tom and Matt take a deep dive into the Oracle FCPA Enforcement Action.
19 min
159
Monaco Doctrine and Memo
In this episode, we look at the recently announced Monaco Doctrine as encapsulated in the Monaco Memo
34 min
160
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
161
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
162
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
163
Mudge and Whistleblower Allegations Against Twi...
In this episode, we explore whistleblower allegations by Peiter Zatko, made against his former employer Twitter.
25 min
164
HanesBrands Cyber Security Breach Disclosure
In this episode, we explore the recent disclosure by HanesBrands of a cyber security breach in Q2.
21 min
165
CFPB on Data Protection Minimums
Matt and Tom take a deep dive into the recent CFPB circular on data protection standards.
18 min
166
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
167
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
168
Lessons from the Biotronik Anti-Kickback Enforc...
Tom and Matt go into the weeds to review the Biotronik FCA claim.
21 min
169
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
170
DFS Fines Carnival Cruise Lines for Cyber Failures
In this episode, we take a deep dive into the recent DFS enforcement action against Carnival Cruise Lines for failures in its cybersecurity reporting obligations.
19 min
171
Dobbs and Compliance
In this episode, we take a deep dive into some of the issues for compliance professionals in the wake of the Dobbs decision.
24 min
172
Unintended Consequences of CCO Certifications
In this episode, Tom and Matt look at some of the unintended consequences of CCO certifications required by the DOJ.
23 min
173
Compliance Craziness
Tom and Matt look at some unusual recent compliance stories.
22 min
174
Compliance Lessons from the Army
In this episode, we take a deep dive into the recently released GAO report on failures in the US Army SHARP program, largely around policies and procedures, with a dash of culture thrown in.
19 min
175
Compliance Lessons from Uvalde
In perhaps their most somber podcast ever, Matt and Tom take a deep dive into the some of the failures which led to the tragedy in Uvalde TX and lessons for the compliance professional.
30 min