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
A Punch in the Face to SEC Enforcement?
SEC Commissioner Caroline Crenshaw recently challenged SEC enforcement theory with a 'punch in the face'
22 min
202
The ECI 2021 Global Business Ethics Survey
Matt and Tom take a deep dive into findings, conclusions and recommendations in the ECI 2021 GBES.
26 min
203
The SEC and Climate Disclosures
In this episode, we take a deep dive into the recent announcement by the SEC that it would start paying more attention to companies’ climate change disclosures.
18 min
204
Compliance Lessons from Citibank’s $900MM Erron...
What are the compliance lessons from Citibank's erroneous $900 wire transfer? Plenty it turns out.
34 min
205
Employee Trust and Compliance
In this episode, Matt & Tom This continue their dialogue about the current state of employee trust and its role in corporate culture and a best practices compliance and ethics program.
28 min
206
Human Capital Disclosures and Compliance
In this episode, we consider the SEC regulations requiring companies to detail human capital issues in their annual reports.
25 min
207
GameStop and Compliance
In this episode, we consider the GameStop matter through the lens of the compliance profession.
28 min
208
WFH, RTW or Something Else
In this episode we consider will we be permanently working from home, returning to the office, a mix of both or something else?
24 min
209
FinCEN Enforcement Action involving Capital One
In this episode, we consider the Capital One resolution of the FinCEN enforcement action.
26 min
210
The Deutsche Bank FCPA Settlement
In this episode, Matt Kelly and Tom Fox take a deep dive into the Deutsche Bank FCPA resolution.
26 min
211
5 Issues for Compliance Professionals in 2021
In this episode, Jay Rosen and Tom Fox consider what can influence an organization’s ethical culture, starting at the top with senior leadership.
32 min
212
Who Should Oversee and Manage the Hotline
In this episode, we take a deep dive into who should oversee and manage a hotline.
21 min
213
Algorithm Failures in Ethics and Equity at Stan...
In this episode, we consider how badly Stanford University Health Systems botched it decision on whom in the organization would receive its allotted Covid-19 vaccinations
21 min
214
Leadership Failures at Ft. Hood, with Special G...
In this episode, Matt,Tom and special guest Diane St. Ives consider the recent US Special Commission Report on leadership and culture failures in the areas of sexual harassment and assault which have occurred at Ft. Hood.
24 min
215
NDAA Creates New Whistleblower Law
In this, our 200th episode of Compliance into the Weeds, Matt and Tom go into the weeds to look at the new anti-money launder whistleblower law.
21 min
216
A Mayor, Covid-19 and Leadership
What is a leader's responsibility to follow his own prescriptions around ethical conduct?
21 min
217
Insider Trading Compliance and Former Apple CCO...
In this episode Matt and Tom go into the weeds to look at recent SEC remarks on issues around insider trading compliance programs.
22 min
218
The SEC Tenure of Jay Clayton
In this episode Matt and Tom go into the weeds to look at the SEC Chairmanship of Jay Clayton who announced he was stepping down at the end of the year.
21 min
219
Compliance Under the Biden Administration
In this episode Matt and Tom go into the weeds to look at compliance issues relevant to the next administration
32 min
220
Turbulence in the Compliance Profession
In this episode Matt and Tom go into the weeds to look at the turbulence brought to the compliance profession and compliance job market.
21 min
221
The Goldman Sachs FCPA Enforcement Action
In this episode Matt and Tom go into the weeds to look at the recent FCPA enforcement action involving the US banking and finance entity Goldman Sachs.
22 min
222
The J&F FCPA Enforcement Action
In this episode Matt and Tom go into the weeds to look at the recent FCPA enforcement action involving the Brazilian megalith, J&F Investments.
22 min
223
Citibank Failures in Risk Management
In this episode Matt and Tom go into the weeds to look at the recent fine of $400 million against Citibank for its poor risk management processes.
21 min
224
The JPMorgan Fine and Penalty
In this episode Matt and Tom go into the weeds to look at the recent fine of $920 million against JPMorgan for spoofing.
20 min
225
What are the compliance issues from WFH collabo...
In this episode, Matt Kelly and Tom Fox consider some of the compliance issues that collaboration tools raise in the WFH era.
17 min