The award winning, Compliance into the Weeds is the only weekly podcast which takes a deep dive into a compliance related topic, literally going into the weeds to more fully explore a subject. Looking for some hard-hitting insights on sanctions compliance? Look no further than Compliance into the Weeds! In this episode, Tom and Matt consider the PCAOB proposal for fraud and compliance audits. In this episode, we dive into the heated debate surrounding the proposed rule on auditors and fraud risk...
Aug 09, 2023•24 min•Ep. 335
The award winning, Compliance into the Weeds is the only weekly podcast which takes a deep dive into a compliance related topic, literally going into the weeds to more fully explore a subject. Looking for some hard-hitting insights on sanctions compliance? Look no further than Compliance into the Weeds! In this episode, Tom and Matt take a deep dive into the recently released SEC rules on cyber breach disclosures. This new era of cyber security calls for increased accountability and transparency...
Aug 02, 2023•25 min•Ep. 334
The award winning, Compliance into the Weeds is the only weekly podcast which takes a deep dive into a compliance related topic, literally going into the weeds to more fully explore a subject. Looking for some hard-hitting insights on sanctions compliance? Look no further than Compliance into the Weeds! In this episode, Tom and Matt consider the current difficulties for auditors to perform an audit on AI. The use of AI in the tech world has brought with it a new concern: implicit bias. Auditing ...
Jul 25, 2023•24 min•Ep. 333
The award-winning, Compliance into the Weeds is the only weekly podcast that takes a deep dive into a compliance-related topic, literally going into the weeds to explore a subject and looking for some hard-hitting insights on sanctions compliance. Look no further than Compliance into the Weeds! In this episode, Tom and Matt take up the recent CFTC enforcement action involving Bank of America. In yet another reminder of the importance of ethical practices within the banking industry, Bank of Amer...
Jul 19, 2023•22 min•Ep. 332
The award winning, Compliance into the Weeds is the only weekly podcast which takes a deep dive into a compliance related topic, literally going into the weeds to more fully explore a subject. Looking for some hard-hitting insights on sanctions compliance? Look no further than Compliance into the Weeds! In this episode, co-hosts Tom Fox and Matt Kelly are joined by Compliance Man himself Tim Khasanov-Batirov. We consider how the Airbus scandal has highlighted the importance of compliance and eth...
Jul 12, 2023•38 min•Ep. 331
The award winning, Compliance into the Weeds is the only weekly podcast which takes a deep dive into a compliance related topic, literally going into the weeds to more fully explore a subject. Looking for some hard-hitting insights on sanctions compliance? Look no further than Compliance into the Weeds! In this episode, co-hosts Tom Fox and Matt Kelly dissect the Navex 2023 State of Risk and Compliance Report. Tom and Matt delve into Navex's annual benchmarking report, which surveyed 1,300 compl...
Jun 28, 2023•26 min•Ep. 330
The award-winning, Compliance into the Weeds is the only weekly podcast that takes a deep dive into a compliance-related topic, literally going into the weeds to more fully explore a subject. Looking for some hard-hitting insights on sanctions compliance? Look no further than Compliance into the Weeds! In this episode, co-hosts Tom Fox and Matt Kelly dissect a disastrous 10k report filed by Ammo Incorporated, exposing the company’s shocking governance and compliance breakdown. The lack of person...
Jun 21, 2023•22 min•Ep. 329
The award winning, Compliance into the Weeds is the only weekly podcast which takes a deep dive into a compliance related topic, literally going into the weeds to more fully explore a subject. Looking for some hard-hitting insights on sanctions compliance? Look no further than Compliance into the Weeds! Tom Fox and Matt Kelly are back with another thought-provoking episode discussing the proposed new Audit Standard 2405 by the PCAOB. This new proposal requires auditors to evaluate legal violatio...
Jun 14, 2023•22 min•Ep. 328
The award-winning, Compliance into the Weeds is the only weekly podcast that takes a deep dive into a compliance-related topic, going into the weeds to explore a subject more fully and looking for some hard-hitting insights on sanctions compliance. Look no further than Compliance into the Weeds! Join Tom and Matt as they delve into middle managers' crucial role in fostering a culture of ethics and compliance within organizations. In this episode, the hosts discuss compliance officers' challenges...
Jun 07, 2023•22 min•Ep. 327
The award-winning, Compliance into the Weeds is the only weekly podcast that takes a deep dive into a compliance-related topic, going into the weeds to explore a subject more fully and looking for some hard-hitting insights on sanctions compliance. Look no further than Compliance into the Weeds! Join Tom Fox and Matt Kelly on “Compliance into the Weeds” as they delve into the recent SEC crackdown on messaging apps and improper employee use. The hosts explore the challenges of regulating messagin...
May 24, 2023•25 min•Ep. 326
The award-winning, Compliance into the Weeds is the only weekly podcast that takes a deep dive into a compliance-related topic, going into the weeds to explore a subject more fully and looking for some hard-hitting insights on sanctions compliance. Look no further than Compliance into the Weeds! Get ready to dive into the fraud risk management and prevention world with Compliance into the Weeds, hosted by Tom Fox and Matt Kelly. In this episode, they break down the recently released fraud risk f...
May 17, 2023•27 min•Ep. 325
The award winning, Compliance into the Weeds is the only weekly podcast which takes a deep dive into a compliance related topic, literally going into the weeds to more fully explore a subject. Looking to stay updated on compliance and ethics? Look no further than Compliance into the Weeds, with co-hosts Tom Fox and Matt Kelly! Looking to stay updated on compliance and ethics? Tune in to the Compliance into the Weeds podcast with hosts. In this episode, they tackle the corruption scandal involvin...
May 10, 2023•27 min•Ep. 324
The award-winning, Compliance into the Weeds is the only weekly podcast that takes a deep dive into a compliance-related topic, literally going into the weeds to explore a subject and looking for some hard-hitting insights on sanctions compliance. Look no further than Compliance into the Weeds! Tom Fox and Matt Kelly dive into the recent enforcement action against British American Tobacco (BAT) for violating North Korean sanctions. After years of evading sanctions and funneling over $630 million...
May 03, 2023•21 min•Ep. 323
The award-winning, Compliance into the Weeds is the only weekly podcast that takes a deep dive into a compliance-related topic, literally going into the weeds to explore a subject more, looking for some hard-hitting insights on sanctions compliance. Look no further than Compliance into the Weeds! In this episode, Tom and Matt discuss the recent $300 million fine against Seagate Technology Corporation for violating US sanctions against Huawei. They analyze Seagate's approach to sanctions complian...
Apr 26, 2023•20 min
The award winning, Compliance into the Weeds is the only weekly podcast which takes a deep dive into a compliance related topic, literally going into the weeds to more fully explore a subject. Join Tom Fox and Matt Kelly in the latest episode of "Compliance into the Weeds" as they delve into the world of SOX compliance. In this discussion, Matt shares insights from recent webinars and Cornerstone Research studies on class action lawsuits related to accounting issues, while Tom emphasizes the imp...
Apr 19, 2023•25 min•Ep. 321
The award winning, Compliance into the Weeds is the only weekly podcast which takes a deep dive into a compliance related topic, literally going into the weeds to more fully explore a subject. In this episode, join Tom and Matt as they delve into Microsoft's recent sanctions enforcement action with OFAC. They explore what went wrong and how you can avoid costly compliance failures, from potential red flags to reseller relationships. But it's not all doom and gloom as they discuss how Microsoft i...
Apr 12, 2023•20 min•Ep. 320
The award winning, Compliance into the Weeds is the only weekly podcast which takes a deep dive into a compliance related topic, literally going into the weeds to more fully explore a subject. In this episode, join Tom and Matt as they discuss a new sustainability framework that companies can use to improve their sustainability efforts. The document emphasizes the importance of data governance and using a recognized control framework for effective financial reporting, similar to COSO. The hosts ...
Apr 05, 2023•20 min•Ep. 319
The award winning, Compliance into the Weeds is the only weekly podcast which takes a deep dive into a compliance related topic, literally going into the weeds to more fully explore a subject. In this episode, we discuss the consequences of insufficient disclosure regarding cybersecurity risks as demonstrated in the recent Blackbaud SEC enforcement action. The SEC requires companies to proactively disclose material events and the Delaware Court of Chancery is making it clear that senior executiv...
Mar 29, 2023•20 min•Ep. 318
The award winning, Compliance into the Weeds is the only weekly podcast which takes a deep dive into a compliance related topic, literally going into the weeds to more fully explore a subject. In this episode, Matt and I continue our exploration of the collapse of Silicon Valley Bank (SVB) and take a deeper dive into the compliance angles. Silicon Valley Bank had taken some big risks which led to depositors having a near-death experience, shareholders losing all their money, and taxpayers ultima...
Mar 22, 2023•28 min
The award winning, Compliance into the Weeds is the only weekly podcast which takes a deep dive into a compliance related topic, literally going into the weeds to more fully explore a subject. In this episode, Matt and I explore the collapse of Silicon Valley Bank (SBV) and its outcomes. We discuss the consequences if the Federal government fails to bail out Signature Bank in New York and Silicon Valley Bank. The Dodd Frank Act is examined and note that the SBV Chief Risk Officer left 8 months a...
Mar 15, 2023•28 min•Ep. 316
The award winning, Compliance into the Weeds is the only weekly podcast which takes a deep dive into a compliance related topic, literally going into the weeds to more fully explore a subject. In this episode, Matt and I dive into the hot topic of clawbacks, with a focus on Deputy Attorney General, Lisa Monaco's new pilot program and Kenneth Polite's take on the use of prosecutorial discretion for organizations. Our hosts explore the opportunities for corporate compliance and HR personnel for cl...
Mar 08, 2023•24 min•Ep. 315
The award winning, Compliance into the Weeds is the only weekly podcast which takes a deep dive into a compliance related topic, literally going into the weeds to more fully explore a subject. In this episode, Matt and I take a deep dive into data analytics. Tom and Matt provide information on how to capture the data within the enterprise and create a road map within the framework of DOJ's guidance. Additionally, they cover how Excel can be used and suggest giving the data "spit and polish" in o...
Mar 01, 2023•23 min•Ep. 314
The award winning, Compliance into the Weeds is the only weekly podcast which takes a deep dive into a compliance related topic, literally going into the weeds to more fully explore a subject. In this episode, Matt and I take a deep dive into having a values conversation to help companies start a conversation about values. If companies do not focus on values, a vacuum is created where employees are left to make their own decisions, and those decisions may not always be in the company's best inte...
Feb 22, 2023•19 min•Ep. 313
The award winning, Compliance into the Weeds is the only weekly podcast which takes a deep dive into a compliance related topic, literally going into the weeds to more fully explore a subject. In this episode, Matt and I take a deep dive into ChatGPT, a natural language processing tool that works by indexing every piece of written content on the Internet. We discuss the impact of the Biden administration's proposals for AI and discusses NIST's voluntary AI framework and the utility of chat GPT i...
Feb 15, 2023•28 min•Ep. 312
The award winning, Compliance into the Weeds is the only weekly podcast which takes a deep dive into a compliance related topic, literally going into the weeds to more fully explore a subject. In this episode, Matt and I take a deep dive into the recent Activision Blizzard settlement with the SEC for the company’s failings around internal controls regarding the detection and prevention of sexual harassment and its whistleblower protection laws. Some of the highlights include: · The background fa...
Feb 08, 2023•29 min•Ep. 311
The award winning, Compliance into the Weeds is the only weekly podcast which takes a deep dive into a compliance related topic, literally going into the weeds to more fully explore a subject. In this episode, Matt and I take a deep dive into recent decision by the Delaware Court of Chancery in the McDonald’s case creating a duty of oversight for corporate officers. Some of the highlights include: · Why bad facts can make bad law? · The sordid facts of David Fairhurst during his tenure at McDona...
Feb 01, 2023•36 min•Ep. 310
The award winning, Compliance into the Weeds is the only weekly podcast which takes a deep dive into a compliance related topic, literally going into the weeds to more fully explore a subject. In this episode, Matt and I take a deep dive into the recent Kenneth Polite speech announcing changes to the Corporate Enforcement Policy. Some of the highlights include: · What are the policy reasons for the change? · Real credit now being given for effective compliance programs. · What about self-disclos...
Jan 25, 2023•26 min•Ep. 309
The award winning, Compliance into the Weeds is the only weekly podcast which takes a deep dive into a compliance related topic, literally going into the weeds to more fully explore a subject. In this episode, Matt and I take a look the recent SEC enforcement action involving Steve Easterbrook and McDonald’s. Some of the highlights include: · Matt tells the tale. · Should Easterbrook have originally been fired for cause for violating the company Code of Conduct? · What were the factors for the B...
Jan 18, 2023•25 min•Ep. 308
The award winning, Compliance into the Weeds is the only weekly podcast which takes a deep dive into a compliance related topic, literally going into the weeds to more fully explore a subject. In this episode, Matt and I take a look at the recent NY state Department of Financial Services sanction involving the crypto trading platform Coinbase, which just agreed to pay $50 million to the DFS and to spend another $50 million over the next two years to improve its compliance program. Some of the hi...
Jan 11, 2023•25 min•Ep. 307
The award winning, Compliance into the Weeds is the only weekly podcast which takes a deep dive into a compliance related topic, literally going into the weeds to more fully explore a subject. In this episode, Matt and I consider a list of compliance issues and events worth watching in the next 12 months, likely to happen in the coming year that will be most consequential for corporate compliance and audit professionals. For 2023 (at least at this point) it is the following: · SEC rules on green...
Jan 04, 2023•30 min•Ep. 306
