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
SEC Rules for Cyber Breach Disclosure
Tom and Matt take a deep dive into the recently released SEC rules on cyber breach disclosures.
22 min
152
Auditing AI For Compliance
Tom and Matt look at challenges for auditors around auditing AI.
21 min
153
BOA Enforcement Action for Bogus Accounts
Tom and Matt take up the recent CFTC enforcement action involving Bank of America.
20 min
154
Compliance into the Weeds Takes a Eurotrip with...
Matt and Tom are joined by Compliance Man for a Eurotrip.
36 min
155
What is Driving Compliance Engagement at the Bo...
Tom and Matt review the Navex 2023 State of Risk and Compliance Report to ask: what is driving Board engagement.
23 min
156
A Material Weaknesses Catastrophe
Tom and Matt look at a company which created material weaknesses catastrophe in its 10-K.
20 min
157
PCAOB: Expanding Audit Duties-the Impact and Co...
Tom and Matt look at the PCAOB proposed rule to expand audits to consider compliance failures.
19 min
158
Compliance and Middle Managers
Today, Tom and Matt consider the role of Compliance and Middle Managers.
20 min
159
A Compliance Response on Messaging Apps
Tom and Matt look at some compliance solutions for the messaging apps problem.
21 min
160
COSO Fraud Risk Management Framework
Matt and Tom take a deep dive into the COSO Fraud Risk Management Framework.
24 min
161
ComEd 2023 Compliance Report
Tom and Matt take a deep dive into the 2023 ComEd Compliance Report.
24 min
162
BAT Sanctions Enforcement Action
Matt and Tom take a deep dive into the BAT sanctions enforcement action.
18 min
163
Seagate Sanctions Enforcement Action
Tom and Matt take a deep dive into the Seagate sanctions enforcement action.
18 min
164
SOX Compliance, PCAOB Inspections and Audits
Matt and Tom take a deep dive into current SOX compliance issues.
24 min
165
Microsoft OFAC Enforcement Action
Tom and Matt take a deep dive into the recent OFAC enforcement action involving Microsoft.
19 min
166
COSO Framework for Sustainability Controls and ...
Tom and Matt looks at the new COSO Framework for Sustainability.
17 min
167
Blackbaud-Failures in Cyber Breach Disclosures
Tom and Matt take a deep dive into cyber breach disclosure failures.
19 min
168
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
169
Beneath the Bailout: The Collapse of Silicon Va...
Tom and Matt take a deep dive into the failure of Silicon Valley Bank.
26 min
170
Updated DOJ Mandate on Clawbacks
Matt and Tom take a deep dive into the Monaco and Polite speeches (and ECCP) on clawbacks.
22 min
171
Creating a Data Analytics Program
Tom and Matt take a deep dive into creating a data analytics program.
21 min
172
Having a Values Conversation
Matt and Tom look at how to have a conversation on values, compliance and ethics.
16 min
173
ChatGPT for the Compliance Professional
Tom and Matt go into the weeds on ChatGPT for compliance professionals.
23 min
174
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
175
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