222 episodes

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. 

Compliance into the Weeds Tom Fox

    • Business
    • 4.3 • 6 Ratings

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. 

    Aspirational Compliance Training and Messaging

    Aspirational Compliance Training and Messaging

    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. This week, Matt and Tom take up compliance training and messages insights Matt had from the book, Get It Done, a newly released book by business professor Ayelet Fishbach. Some of the issues we consider 
    ·      How has compliance training evolved?
    ·      The differences in values-based training and rules-based training.
    ·       How can you build aspirational goal setting into your compliance training and compliance messaging? 
    ·      Incorporation of aspirational goal setting into your internal controls.
    ·      What is the bottom line on your compliance goal setting?
    Resources
    Matt in Radical Compliance
     Get It Done by Ayelet Fishbach
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    • 22 min
    Issue and Trends for 2022, Part 2

    Issue and Trends for 2022, Part 2

    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. This week, Matt and Tom conclude a special two-part podcast series of several topics they will be following in 2022. Today in our concluding Part 2, we consider:
    ·      The time of reckoning is coming for SPACs funded in 2021 as their 18 month-deadline is fast approaching. Is the SEC looking at SPACs as an alternative form of IPO? What will the regulatory landscape look like going forward?
    ·       CCO pay. Will it go up after several years of remaining flat? How did the Great Resignation impact compliance, if at all? What skills sets might a CCO need into 2025 and beyond? 
    ·      The SEC investigation into Facebook. Are a company’s public statements about having an ethical culture mere puffery or are they actionable for failing to live up to their public statements. Also, what does the Francis Haugen testimony mean for whistleblowers going forward.  
    ·      The SEC investigation into Activision’s toxic workplace and culture of misogyny. Are these new areas the SEC will be looking at in addition to its traditional role of financial reporting watchdog.
    Resources
    Matt in Radical Compliance
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    • 33 min
    Issue and Trends for 2022, Part 1

    Issue and Trends for 2022, Part 1

    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. This week, Matt and Tom begin a special two-part podcast series of several topics they will be following in 2022. Today in Part 1, we consider

    The Biden Administration’s Strategy on Countering Corruption, specifically around FinCEN and AML enforcement and how it may impact FCPA enforcement.

    The PCAOB was long dysfunctional before the Trump Administration eviscerated it. How will it change under the Biden Administration?

    The SEC plans for the regulation of and reporting on ESG.

    FCPA enforcement for recidivist corporations after DAG Lisa Monaco’s speech in October 2021.

    Resources
    Matt in Radical Compliance
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    • 38 min
    Year End Review, Part 2

    Year End Review, Part 2

    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. On Tuesday, Matt and Tom began a special two-part year-end review of six topics which they saw as significant in 2021 and believe will be so into 2022 as well. They looked at SPACs, the Robinhood/GameStop phenomena and the new hybrid working environment and what is means for the compliance professional. Today in Part 2 we consider the Biden Administration’s Strategy on Countering Corruption, in conjunction with DAG Lisa Monaco's speech on the refocus of the Department of Justice on FCPA enforcement and other white collar prosecutions, the continuing evolution of ransomware attacks and ESG in 2021 and beyond.
    Resources
    Matt in Radical Compliance
    Tom in the FCPA Compliance and Ethics Blog
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    • 40 min
    Year End Review, Part 1

    Year End Review, Part 1

    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. Today, Matt and Tom begin a special two-part year-end review of six topics which they saw as significant in 2021 and believe will be so into 2022 as well. In this episode we discuss SPACs, the Robinhood/GameStop phenomena and the new hybrid working environment and what is means for the compliance professional. Join us on Thursday of this week as we post Part 2 and look at the Biden Administration’s Strategy on Countering Corruption, the continuing evolution of ransomware attacks and ESG in 2021 and beyond. 
    Resources
    Matt in Radical Compliance
    Tom in the FCPA Compliance and Ethics Blog
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    • 36 min
    Compliance into the Weeds: On the Naughty List-JPMorgan $200 Settlement

    Compliance into the Weeds: On the Naughty List-JPMorgan $200 Settlement

    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. Today, Matt and Tom take a deep dive into the JPMorgan settlement with the SEC and CFTC for faulty electronic record-keeping. Some of the issues we consider are:
    ·      Why does Matt ‘almost feel bad' for JPMorgan?
    ·      There was a paucity of facts. So why is the fine so high?
    ·      Is it a ‘Compliance Consultant’ or a Monitor? 
    ·      The remediation agreed to by JPMorgan.
    ·      Lessons learned for the compliance professional and ephemeral communications.
    ·      Focus on consistent and even-handed discipline for JPMorgan employees going forward.
    Resources
    Matt in Radical Compliance
    Tom in the FCPA Compliance and Ethics Blog
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    • 35 min

Customer Reviews

4.3 out of 5
6 Ratings

6 Ratings

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