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.
176
Year End Review, Part 1
Tom and Matt begin a special 2-part year end review. Today they look at SPACs, Robinhood/GameStop and hybrid work environments.
32 min
177
Compliance into the Weeds: On the Naughty List-...
Tom and Matt take a deep dive into the JPMorgan $200MM settlement with the SEC and CFTC.
33 min
178
US Strategy on Countering Corruption
Is the recently released US Strategy on Countering Corruption a big deal? Tom and Matt debate on this episode.
21 min
179
Ransomware Attacks and Internal Controls
Tom and Matt take a deep dive into ransomware attacks and internal controls.
23 min
180
Red Flags and SPACs
Tom and Matt go into the weeds on red flags surrounding SPACs.
24 min
181
A Single Source of Truth
Matt and Tom take a the recently filed lawsuit by Shaquala Williams against JPMorgan for alleged retaliation for her internal whistleblowing.
23 min
182
Retreat on DoD Cybersecurity for Contractors
Matt and Tom take a look at the DoD retreat on its cybersecurity initiative for contractors, from the original CMMC to the new standard of CMMC 2.0.
19 min
183
More on DAG Monaco Speech-DPAs and NPAs
Tom and Matt return to the Monaco speech to consider DPAs and NPAs going forward.
21 min
184
DAG Announces Changes in Enforcement Priorities
Matt and Tom have a rare emergency podcast on DAG Lisa Monaco’s speech announcing some very significant change to white collar, including FCPA enforcement.
25 min
185
Credit Suisse and Holistic Risk Management
Tom and Matt take a deeer dive into the Credit Suisse matter to consider a more holistic approach to risk.
22 min
186
Compliance and AI
Tom and Matt take a deep dive into Compliance and AI.
29 min
187
Expansive SEC Enforcement in the Wind
Tom and Matt look at potential increase in SEC enforcement penalties.
26 min
188
Ozy Media and Culture Failure Bingo
What is an Ozy and why does its collapse matter to compliance? Matt and Tom explore.
28 min
189
The WPP Foreign Corrupt Practices Act Enforceme...
Tom and Matt deep into the WPP FCPA enforcement action.
29 min
190
Lax Anti-Vax Policies
What will be the impact of employer vaccination policies?
23 min
191
Listening is a Conversation
Today we look at a speak up v. listen up culture.
23 min
192
High Calorie Compliance Lessons from Kraft Foods
What are the compliance lessons from Kraft Foods SEC enforcement action?
25 min
193
Delta Airlines Responds to the Delta Variant
Matt and Tom look at the Delta Airline response to unvaccinated employees?
19 min
194
Matt Miner Makes 3-Point Pivot into the Walmart...
Matt and Tom consider ex-DOJer Matt Miner moving to the Walmart CCO chair.
24 min
195
Pearson SEC Enforcement Action
Matt and Tom take a deep dive into the Pearson SEC Enforcement Action.
22 min
196
Who Controls Corporate Values?
What happens when management values conflict with employee values?
22 min
197
What Happens When a CCO Goes off the Deep End?
Matt and Tom explore why a CCO should not also be the GC.
21 min
198
First Energy Corruption Settlement
Matt and Tom take a deep dive into the First Energy domestic corruption enforcement action.
21 min
199
SEC-SPAC Enforcement Action
Tom and Matt look at the SEC enforcement action involving the SPAC Stable Road Acquisition Corp. and its acquisition of Momentus.
17 min
200
FINRA Enforcement Actions involving Robinhood
Matt and Tom review 2 recent FINRA enforcement actions involving Robinhood.
19 min