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
First We Kill All the Lawyers
Tom and Matt are back to review a speech by SEC Commissioner Lee on lawyers and their gatekeeper obligations under SOX, Sec. 307.
25 min
202
Compliance Issues from the Russia Invasion of U...
Matt and Tom look at compliance issues from the Russia invasion of Ukraine.
26 min
203
Corrupt Culture and Bags of Cash-the KT Corp. F...
Tom and Matt are back to look at the recent FCPA enforcement action brought by the SEC involving the Korean company KT Corp.
23 min
204
Elon Musk and Tesla Redux
Matt and Tom return to Elon Musk and Tesla for questions about corporate governance.
18 min
205
Two Obscure Academic Papers and Compliance
Matt and and Tom take up two recent academic papers which provide insight about how communications can impact both fraud prevention and compliance.
21 min
206
Mike Volkov on Antitrust Issues in Microsoft Ac...
Matt and Tom welcome Mike Volkov to discuss anti-trust enforcement evolution and how it might impact the Microsoft acquisition of Activision Blizzard.
40 min
207
Log4j-the Merger of Cyber, 3rd Party and Operat...
Matt and Tom take a look at a cyber breach which has merged the areas of cyber, 3rd party and operational risk.
25 min
208
Aspirational Compliance Training and Messaging
Matt and Tom take up compliance training and messages insights the book, Get It Done.
21 min
209
Issue and Trends for 2022, Part 2
Matt and Tom conclude a special two-part podcast series of several topics they will be following in 2022.
31 min
210
Issue and Trends for 2022, Part 1
Tom and Matt begin a special two-part podcast series of several topics they will be following in 2022. Topics include FCPA recidivists, SEC & ESG, the PCAOB, FinCEN & AML impacting FCPA enforcement.
36 min
211
Year End Review, Part 2
Tom and Matt return for Part 2 of a special year-end review. In this episode they review the Strategy on Countering Corruption, DAG Lisa Monaco's speech on the refocus of the DOJ on FCPA enforcement, the continuing evolution of ransomware attacks and ESG.
36 min
212
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
213
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
214
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
215
Ransomware Attacks and Internal Controls
Tom and Matt take a deep dive into ransomware attacks and internal controls.
23 min
216
Red Flags and SPACs
Tom and Matt go into the weeds on red flags surrounding SPACs.
24 min
217
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
218
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
219
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
220
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
221
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
222
Compliance and AI
Tom and Matt take a deep dive into Compliance and AI.
29 min
223
Expansive SEC Enforcement in the Wind
Tom and Matt look at potential increase in SEC enforcement penalties.
26 min
224
Ozy Media and Culture Failure Bingo
What is an Ozy and why does its collapse matter to compliance? Matt and Tom explore.
28 min
225
The WPP Foreign Corrupt Practices Act Enforceme...
Tom and Matt deep into the WPP FCPA enforcement action.
29 min