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.
201
Expansive SEC Enforcement in the Wind
Tom and Matt look at potential increase in SEC enforcement penalties.
26 min
202
Ozy Media and Culture Failure Bingo
What is an Ozy and why does its collapse matter to compliance? Matt and Tom explore.
28 min
203
The WPP Foreign Corrupt Practices Act Enforceme...
Tom and Matt deep into the WPP FCPA enforcement action.
29 min
204
Lax Anti-Vax Policies
What will be the impact of employer vaccination policies?
23 min
205
Listening is a Conversation
Today we look at a speak up v. listen up culture.
23 min
206
High Calorie Compliance Lessons from Kraft Foods
What are the compliance lessons from Kraft Foods SEC enforcement action?
25 min
207
Delta Airlines Responds to the Delta Variant
Matt and Tom look at the Delta Airline response to unvaccinated employees?
19 min
208
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
209
Pearson SEC Enforcement Action
Matt and Tom take a deep dive into the Pearson SEC Enforcement Action.
22 min
210
Who Controls Corporate Values?
What happens when management values conflict with employee values?
22 min
211
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
212
First Energy Corruption Settlement
Matt and Tom take a deep dive into the First Energy domestic corruption enforcement action.
21 min
213
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
214
FINRA Enforcement Actions involving Robinhood
Matt and Tom review 2 recent FINRA enforcement actions involving Robinhood.
19 min
215
The Amec Foster Wheeler FCPA Enforcement Action
Compliance lessons from the Amec Foster Wheeler FCPA enforcement action.
25 min
216
Disclosures of Cyber Security Disclosure Failures
Why can the failure to disclose a cyber breach be just as bad as the breach itself? Tom and Matt explore.
14 min
217
Financial Crimes Compliance Costs
In this episode Matt and Tom look at a recent report on the increasing costs of financial crimes compliance.
17 min
218
PCAOB Clean Sweep
What does the clean sweep of the PCAOB mean for compliance? Tom and Matt explore in this episode.
22 min
219
Compliance and ESG
In this episode, we look at the role of compliance in ESG.
25 min
220
Compliance Lessons from the Super League Fiasco
This week Matt and Tom take a deep dive into the fiasco around the formation of the Super League .
16 min
221
Biden Administration Executive Order on Cyberse...
Matt and Tom take a deep dive into the Biden Administration Executive Order on Cybersecurity
26 min
222
Elon Musk, Cryptocurrency and the SEC
Tom & Matt take a deep dive into the intersection of Elon Musk, cryptocurrencies and the SEC.
20 min
223
SAP Trade Sanctions Enforcement Action
Matt and Tom take a deep dive into SAP trade sanction enforcement action.
22 min
224
Compliance Lessons from the Cuban Missile Crisis
What was the role of culture in the events leading to and resolution of the Cuban Missile Crisis? Tom and Matt take a dip into history to explore.
23 min
225
What is risk?
In this episode, Tom Fox and Matt Kelly take a deep dive into the questions of what is risk and what is risk management.
19 min