Everything Compliance

Welcome to the only roundtable podcast in compliance as we celebrate our second century of shows. Everything Compliance has been honored by W3 as the top podcast talk show. In this episode, the quartet of Jay Rosen, Jonathan Marks, Matt Kelly, and Karen Woody, with Tom Fox hosting, consider various topics that caught their collective interest and conclude with the fan favorite Shout Outs and Rants section.

1. Matt Kelly looks at the PCAOB proposal requiring auditors to look into fraud, compliance, and legal issues during an audit. Matt balances the charges against former Harvard professor Francesca Gino, who is charged with falsifying research.

2. Karen Woody looks at whether, when a corporation says litigation is ‘without merit’, this creates a securities law violation if it later loses at trial. Karen shouts out to the Women’s World Cup.

3. Tom Fox shouts out to Montana District Court Judge Kathy Seely for her opinion in Held v. Montana and Mary Shirley for her book Level Up.

4. Jay Rosen unpacks the recent push for an International Anti-Corruption Court. Rosen shouts out penalty kicks as the ultimate approach for ending a tie game, particularly as practiced in the Women’s World Cup.

5. Jonathan Marks considers key issues facing auditors in 2023. Marks shout out to both fruit and baseball in extolling the Savannah Bananas.

The members of the Everything Compliance are:

•       Jay Rosen– Jay is Vice President, Business Development Corporate Monitoring at Affiliated Monitors. Rosen can be reached at JRosen@affiliatedmonitors.com

•       Karen Woody – One of the top academic experts on the SEC. Woody can be reached at kwoody@wlu.edu

•       Matt Kelly – Founder and CEO of Radical Compliance. Kelly can be reached at mkelly@radicalcompliance.com

•       Jonathan Armstrong –is our UK colleague, who is an experienced data privacy/data protection lawyer with Cordery in London. Armstrong can be reached at jonathan.armstrong@corderycompliance.com

•       Jonathan Marks can be reached at jtmarks@gmail.com.

The host and producer, ranter (and sometimes panelist) of Everything Compliance is Tom Fox, the Voice of Compliance. He can be reached at tfox@tfoxlaw.com. Everything Compliance is a part of the Compliance Podcast Network. 

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Welcome to the only roundtable podcast in compliance as we celebrate our second century of shows. Everything Compliance has been honored by W3 as the top podcast talk show. In this episode, we have the quartet of Jay Rosen, Matt Kelly, and, as special guest Kristy Grant-Hart, with Tom Fox sitting in on this episode and considering various topics which caught our collective interest and concluded with our fan-fav Shout Outs and Rants section.

1. Matt Kelly looks at the controversy at Harvard surrounding Francesca Gino. He rants about Sam Alito and his paid trip by a billionaire who later had a case at the Supreme Court.

2. Special guest Kristy Grant-Hart looks at the new UK law on preventing fraud. Kristy rants about the DOJ taking until 2023 to build a criminal conviction database for public use when her firm built one in 2007.

3. Tom Fox looks at the Impeach proceedings and upcoming Senate trial for disgraced Texas Attorney General Ken Paxton. He shouts out to John Aceti, a 93-year-old Kerrville resident who just published his 8th book, his autobiography.

4. Jay Rosen unpacks the Ja Morant scandal and hopes Morant can get help to get his life in order. Rosen rants about NE Patriots player Jack Jones who chastised Ja Morant for his gun waving and then was caught going through airport security with packed guns.

The members of Everything Compliance are:

•       Jay Rosen– Jay is Vice President, Business Development Corporate Monitoring at Affiliated Monitors. Rosen can be reached at JRosen@affiliatedmonitors.com

•       Karen Woody – One of the top academic experts on the SEC. Woody can be reached at kwoody@wlu.edu

•       Matt Kelly – Founder and CEO of Radical Compliance. Kelly can be reached at mkelly@radicalcompliance.com

•       Jonathan Armstrong –is our UK colleague, who is an experienced data privacy/data protection lawyer with Cordery in London. Armstrong can be reached at jonathan.armstrong@corderycompliance.com

•       Jonathan Marks can be reached at jtmarks@gmail.com.

•       Special Guest Kristy Grant-Hart is the founder of Spark Consulting. 

The host and producer, ranter (and sometime panelist) of Everything Compliance is Tom Fox, the Voice of Compliance. He can be reached at tfox@tfoxlaw.com. Everything Compliance is a part of the Compliance Podcast Network. 

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Welcome to the only roundtable podcast in compliance as we celebrate our second century of shows. Everything Compliance has been honored by W3 as the top podcast talk show. In this episode, we have the quartet of Jay Rosen, Jonathan Marks, Matt Kelly, and from across the pond, Jonathan Armstrong, with Tom Fox sitting in on this episode. We consider the world of pop culture as it relates to compliance by looking at Succession, Ted Lasso, and The Office, and conclude with fan-fav Shout Outs and Rants section.

1. Matt Kelly at the eternal optimism of Ted Lasso and discusses The Richmond Way. He cites a 2018 blog post, The Best Compliance on Television. He shouts out the new Spiderman movie, Spiderman Across the Spider-verse.

2. Jonathan Marks looks at Succession, focusing on the conduct of Shiv Roy. Marks shouts out to Kody Clemens for getting a walk-off hit while his father is in the stands.

3. Tom Fox also looks at Succession and divines three lessons for the compliance professional. He shouts out to the 9th Circuit Court of Appeals to allow a lawsuit to move forward, which alleges rock lyrics can cause emotional distress.

4. Jay Rosen explains why America needs Ted Lasso. Rosen shouts out to the month of June for having the best sports month each year.

5. Jonathan Armstrong reviews the UK version of The Office. He shouts out to all those helicopter pilots hovering outside the London courtroom where Prince Harry is giving testimony in his libel suit.

The members of Everything Compliance are:

•       Jay Rosen– Jay is Vice President, Business Development Corporate Monitoring at Affiliated Monitors. Rosen can be reached at JRosen@affiliatedmonitors.com

•       Karen Woody – One of the top academic experts on the SEC. Woody can be reached at kwoody@wlu.edu

•       Matt Kelly – Founder and CEO of Radical Compliance. Kelly can be reached at mkelly@radicalcompliance.com

•       Jonathan Armstrong –is our UK colleague, who is an experienced data privacy/data protection lawyer with Cordery in London. Armstrong can be reached at jonathan.armstrong@corderycompliance.com

•       Jonathan Marks is Partner, Firm Practice Leader – Global Forensic, Compliance & Integrity Services at Baker Tilly. Marks can be reached at jonathan.marks@bakertilly.com

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Welcome to the only roundtable podcast in compliance as we celebrate our second century of shows. Everything Compliance has been honored by W3 as the top podcast talk show. In this episode, we have the quartet of Karen Woody, Jonathan Marks, Matt Kelly, and from across the pond, Jonathan Armstrong. We consider a veritable potpourri of issues, including the sentence given to Joe Sullivan, insider trading, the COSO Fraud Risk Management Framework, and a new report on whistleblower best practices. We conclude with our fan-fav Shout Outs and Rants section.

1. Matt Kelly looks at the joint IIA/ACFE report on Building a Best-in-Class Whistleblower Hotline. He shouts out to Newton Minow, the first government official to say television was a ‘vast wasteland.’

2. Jonathan Marks discusses his work on the COSO Framework for Fraud Risk Management. He shouts out to BlueBell Ice Cream for creating the new flavor, Dr. Pepper Float.

3. Tom Fox shouts out to Mike Shannon, who played with the St. Louis Cardinals for over 10 years, went to 3 World Series, and then had a 60-year career as an announcer with the team. He is also the only MLB player whom Tom got an autograph from.

4. Karen Woody looks at recent insider trading cases involving the crypto world and asks if crypto is not a security, who can it be insider trading. Karen shouts out to the Netflix show ‘Jury Duty.’

5. Jonathan Armstrong considers the sentence handed down to former Uber executive Joe Sullivan, wonders about the Judge’s admonition of no more leniency and asks what it means for GDPR enforcement. He shouts out to all those workers who got London ready for the coronation.

The members of Everything Compliance are:

•       Jay Rosen– Jay is Vice President, Business Development Corporate Monitoring at Affiliated Monitors. Rosen can be reached at JRosen@affiliatedmonitors.com

•       Karen Woody – One of the top academic experts on the SEC. Woody can be reached at kwoody@wlu.edu

•       Matt Kelly – Founder and CEO of Radical Compliance. Kelly can be reached at mkelly@radicalcompliance.com

•       Jonathan Armstrong –is our UK colleague, who is an experienced data privacy/data protection lawyer with Cordery in London. Armstrong can be reached at jonathan.armstrong@corderycompliance.com

•       Jonathan Marks is Partner, Firm Practice Leader – Global Forensic, Compliance & Integrity Services at Baker Tilly. Marks can be reached at jonathan.marks@bakertilly.com

The host and producer, ranter (and sometime panelist) of Everything Compliance is Tom Fox the Voice of Compliance. He can be reached at tfox@tfoxlaw.com. Everything Compliance is a part of the Compliance Podcast Network. 

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Welcome to the only roundtable podcast in compliance as we celebrate our second century of shows. Everything Compliance has been honored by W3 as the top talk show in podcasting. In this episode, we have the quartet of Tom Fox, Jonathan Marks, Matt Kelly and special guest Scott Garland from Affiliated Monitors, who discuss at the recent speeches by DAG Lisa Monaco and Kenneth Polite, announcing changes in the DOJ’s Evaluation of Corporate Compliance Programs. We conclude with our fan fav Shout Outs and Rants section.

1. Matt Kelly looks at the changes around clawbacks. He shouts out to the PCAOB for reminding folks that cryptocurrency ‘reserve reports’ are not worth the paper they are printed on.
2. Jonathan Marks considers what the two speeches and changes in the ECCP mean for corporate governance. He shouts out to US House of Representatives for overwhelmingly voting to investigate the origins of Covid-19.
3. Tom Fox looks at the changes to incentives, both financial and non-financial in the 2023 ECCP. He rants about the Tennessee legislature attempt to ban Shakespeare, movies such as Tootie and Some Like It Hot, politicians such as George Santos; all in the guise of banning drag shows.
4. Special Guest Scott Garland looks at the changes in the monitor selection process and what that means for the line attorney prosecuting a FCPA violation. He shouts out to the Department of Justice for their continued evolution in their thinking about compliance and compliance programs.

The members of the Everything Compliance are:

• Jay Rosen– Jay is Vice President, Business Development Corporate Monitoring at Affiliated Monitors. Rosen can be reached at JRosen@affiliatedmonitors.com
• Karen Woody – One of the top academic experts on the SEC. Woody can be reached at kwoody@wlu.edu
• Matt Kelly – Founder and CEO of Radical Compliance. Kelly can be reached at mkelly@radicalcompliance.com
• Jonathan Armstrong –is our UK colleague, who is an experienced data privacy/data protection lawyer with Cordery in London. Armstrong can be reached at armstrong@corderycompliance.com
• Jonathan Marks is Partner, Firm Practice Leader – Global Forensic, Compliance & Integrity Services at Baker Tilly. Marks can be reached at marks@bakertilly.com

The host and producer, ranter (and sometime panelist) of Everything Compliance is Tom Fox the Voice of Compliance. He can be reached at tfox@tfoxlaw.com. Everything Compliance is a part of the Compliance Podcast Network.

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Welcome to the only roundtable podcast in compliance as we celebrate our second century of shows. Everything Compliance has been honored by W3 as the top talk show in podcasting. In this episode, we have the quartet of Jay Rosen, Jonathan Armstrong, Karen Woody, and Matt Kelly who discuss a potpourri of issues. We conclude with our fan fav Shout Outs and Rants section.

1. Matt Kelly looks at ChatGPT and raises several questions for the compliance professional. He rants about Facebook and its layoffs and performance reviews.

2. Jonathan Armstrong comes in smoking on the Replika AI imbroglio in Italy and discusses his collection of comments by users of the service. He shouts out to the British Navy for the Altmark Incident in 1940, the last recorded English naval battle fought with cutlasses.   

3. Tom Fox shouts out  Valentine’s Day and all those hopeless romantics out there. 

4. Karen Woody looks at the new rules promulgated by the SEC on insider trading. She shouts out to the Netflix show Cunk on Earth. 

5. Jay Rosen looks at the First Energy corruption scandal and the current trial of former Ohio House speaker Larry Householder. He shouts out to Stevie Van Zandt donating a do rag to California Representative Jamie Raskin to wear during his cancer treatment. 

The members of the Everything Compliance are:

•       Jay Rosen– Jay is Vice President, Business Development Corporate Monitoring at Affiliated Monitors. Rosen can be reached at JRosen@affiliatedmonitors.com

•       Karen Woody – One of the top academic experts on the SEC. Woody can be reached at kwoody@wlu.edu

•       Matt Kelly – Founder and CEO of Radical Compliance. Kelly can be reached at mkelly@radicalcompliance.com

•       Jonathan Armstrong –is our UK colleague, who is an experienced data privacy/data protection lawyer with Cordery in London. Armstrong can be reached at jonathan.armstrong@corderycompliance.com

•       Jonathan Marks is Partner, Firm Practice Leader – Global Forensic, Compliance & Integrity Services at Baker Tilly. Marks can be reached at jonathan.marks@bakertilly.com

The host and producer, ranter (and sometime panelist) of Everything Compliance is Tom Fox the Voice of Compliance. He can be reached at tfox@tfoxlaw.com. Everything Compliance is a part of the Compliance Podcast Network. 

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Welcome to the only roundtable podcast in compliance as we celebrate our second century of shows. Everything Compliance has been honored by W3 as the top talk show in podcasting. In this episode, we have the quintet of Jay Rosen, Karen Woody, Jonathan Marks, Tom Fox and Matt Kelly who review the recent Delaware Court of Chancery decision creating a duty of oversight for corporate officers. We conclude with our fan fav Shout Outs and Rants section.

1. Matt Kelly sets the stage for our discussion and poses question about what it all means for CCOs going forward. He shouts out to the State of Texas Legislature for creating a ‘Gold Card’ for physicians who have over 90% of all requested procedures covered by insurance. (1:30)

2. Jonathan Marks looks at the case from the internal audit and corporate governance perspectives. He rants about the Pentagon’s failure to shoot down a Chinese spy balloon.  (25:23)

3. Tom Fox shouts out to Hindenburg Research and all other short sellers who help uncover fraud, waste and abuse. 

4. Karen Woody looks at the case from the legal perspective and unpacks the court’s legal reasoning. Woody shouts out to Amtrak and asks us all to ‘ride the train more often.’ (11:08)

5. Jay Rosen reviews the changes wrought for CCOs over the past year; from CCO certification to the Delaware court decision. He shouts out his twin daughters on their 15th birthday. (41:13)

The members of the Everything Compliance are:

•       Jay Rosen– Jay is Vice President, Business Development Corporate Monitoring at Affiliated Monitors. Rosen can be reached at JRosen@affiliatedmonitors.com

•       Karen Woody – One of the top academic experts on the SEC. Woody can be reached at kwoody@wlu.edu

•       Matt Kelly – Founder and CEO of Radical Compliance. Kelly can be reached at mkelly@radicalcompliance.com

•       Jonathan Armstrong –is our UK colleague, who is an experienced data privacy/data protection lawyer with Cordery in London. Armstrong can be reached at jonathan.armstrong@corderycompliance.com

•       Jonathan Marks is Partner, Firm Practice Leader – Global Forensic, Compliance & Integrity Services at Baker Tilly. Marks can be reached at jonathan.marks@bakertilly.com

The host and producer, ranter (and sometime panelist) of Everything Compliance is Tom Fox the Voice of Compliance. He can be reached at tfox@tfoxlaw.com. Everything Compliance is a part of the Compliance Podcast Network. 

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Welcome to the only roundtable podcast in compliance as we celebrate our second century of shows. Everything Compliance has been honored by W3 as the top talk show in podcasting. In this episode, we have the quintet of Jay Rosen, Jonathan Armstrong, Jonathan Marks, Tom Fox and Matt Kelly who discuss a potpourri of issues. We conclude with our fan fav Shout Outs and Rants section.

1. Matt Kelly at the SEC enforcement action against McDonald’s for giving disgraced former President Steve Easterbrook a severance package without explaining its reasons. He rants about Department of Justice CCO certification requirement for Danske Bank.
2. Jonathan Marks reviews the Fraud Pentagon and explains the additions of arrogance and convenience to the Fraud Pentagon. He Rants about the recent FAA failure which crippled the US airline industry.
3. Tom Fox has his first dual shout out. His first shout out is US District Judge Middleton for sanction Donald Trump and his lawyer, jointly and severally for $938,000 and the recently deceased musician David Crosby.
4. Jonathan Armstrong looks at the NIS II Directive. He rants about the Tory proposed law against publicizing small boats that would make showing or even talking about the Bayeux Tapestry illegal.
5. Jay Rosen looks at when and how is a compliance program ‘good enough’. He shouts out to the NFL the playoffs and for getting us the best four teams in the final four.

The members of the Everything Compliance are:

•       Jay Rosen– Jay is Vice President, Business Development Corporate Monitoring at Affiliated Monitors. Rosen can be reached at JRosen@affiliatedmonitors.com

•       Karen Woody – One of the top academic experts on the SEC. Woody can be reached at kwoody@wlu.edu

•       Matt Kelly – Founder and CEO of Radical Compliance. Kelly can be reached at mkelly@radicalcompliance.com

•       Jonathan Armstrong –is our UK colleague, who is an experienced data privacy/data protection lawyer with Cordery in London. Armstrong can be reached at jonathan.armstrong@corderycompliance.com

•       Jonathan Marks is Partner, Firm Practice Leader – Global Forensic, Compliance & Integrity Services at Baker Tilly. Marks can be reached at jonathan.marks@bakertilly.com

The host and producer, ranter (and sometime panelist) of Everything Compliance is Tom Fox the Voice of Compliance. He can be reached at tfox@tfoxlaw.com. Everything Compliance is a part of the Compliance Podcast Network. 

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Welcome to the only roundtable podcast in compliance as we celebrate our second century of shows. Everything Compliance has been honored by W3 as the top talk show in podcasting. In this episode, we have the quintet of Jay Rosen, Jonathan Armstrong, Jonathan Marks, Tom Fox and Matt Kelly who all discuss issues they are looking at as we begin 2023. We conclude with our fan fav Shout Outs and Rants section.

1. Matt Kelly looks at some of the ESG issues he will be following in 2023, including SEC rules around ESG, potential audit requirement, who will hold this function internally and the new role of the ESG Controller. He rants about Zulily and its SOX compliance failures which allowed an employee to embezzle over $300,000.

2. Jonathan Marks looks at corporate governance issues in 2023 including board structure and guidance, recent Board failures and Board oversight and monitoring. He shouts out to the NFL for cancelling the game between the Bengals and Bills.   

3. Tom Fox shouts out to the 50th anniversary of School House Rock and lists his top five. 

4. Jonathan Armstrong gives us preview of 5 key issues he is following for 2023: ESG, GDPR fines, ransomware, supply chain risk issues and cryptoscams. He rants about the mistreatment of Prince Harry’s dog and asks if the dog was traumatized when Prince William knocked his brother (Prince Harry) down and broke the dog’s food bowl. 

5. Jay Rosen reviews acronyms which drive him crazy. He shouts out to EMS personnel in Cincinnati for training and being prepared when Damar Hamlin went into cardiac arrest during the Bills game and saved his life.  

The members of the Everything Compliance are:

•       Jay Rosen– Jay is Vice President, Business Development Corporate Monitoring at Affiliated Monitors. Rosen can be reached at JRosen@affiliatedmonitors.com

•       Karen Woody – One of the top academic experts on the SEC. Woody can be reached at kwoody@wlu.edu

•       Matt Kelly – Founder and CEO of Radical Compliance. Kelly can be reached at mkelly@radicalcompliance.com

•       Jonathan Armstrong –is our UK colleague, who is an experienced data privacy/data protection lawyer with Cordery in London. Armstrong can be reached at jonathan.armstrong@corderycompliance.com

•       Jonathan Marks is Partner, Firm Practice Leader – Global Forensic, Compliance & Integrity Services at Baker Tilly. Marks can be reached at jonathan.marks@bakertilly.com

The host and producer, ranter (and sometime panelist) of Everything Compliance is Tom Fox the Voice of Compliance. He can be reached at tfox@tfoxlaw.com. Everything Compliance is a part of the Compliance Podcast Network. 

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Welcome to the only roundtable podcast in compliance as we celebrate our second century of shows. Everything Compliance which has been honored by W3 as a top talk show in podcasting. In this episode, we have the quintet of Jay Rosen, Jonathan Armstrong, Karen Woody, Tom Fox and Matt Kelly on the ABB FCPA Enforcement action. We conclude with our fan fav Shout Outs and Rants section.

1. Matt Kelly looks at the enforcement action from the CCO certification perspective. He has his first recidivist rant by ending the year with a rant about the person he started the year ranting about, Elon Musk. This time it was for the Thursday Night Massacre.

2. Karen Woody looks at the case from the perspective on internal control failures and overrides. She shouts out to Stephen Twitchboss for his music and influence on popular culture.   

3. Tom Fox discusses how the DOJ thread a tight needle by rewarding ABB for its attempt to self-disclose, extraordinary cooperation and remediation by not requiring a monitor and giving a discount even through ABB is the first time three-peat offender under the FCPA. He shouts out to Christine McVie, singer and songwriter for Fleetwood Mac who recently passed away. 

4. Jonathan Armstrong considers the ABB enforcement action from the UK perspective and opines how a UK judge might consider the company’s recidivism differently than the DOJ did. He rants about ongoing tech scams. 

5. Jay Rosen reviews the enforcement action from the perspective of how the bribes were funded. He shouts out to Mike Gabler, winner of Season 43 of Survivor who donated his $1MM winnings to help veterans. 

The members of the Everything Compliance are:

•       Jay Rosen– Jay is Vice President, Business Development Corporate Monitoring at Affiliated Monitors. Rosen can be reached at JRosen@affiliatedmonitors.com

•       Karen Woody – One of the top academic experts on the SEC. Woody can be reached at kwoody@wlu.edu

•       Matt Kelly – Founder and CEO of Radical Compliance. Kelly can be reached at mkelly@radicalcompliance.com

•       Jonathan Armstrong –is our UK colleague, who is an experienced data privacy/data protection lawyer with Cordery in London. Armstrong can be reached at jonathan.armstrong@corderycompliance.com

•       Jonathan Marks is Partner, Firm Practice Leader – Global Forensic, Compliance & Integrity Services at Baker Tilly. Marks can be reached at jonathan.marks@bakertilly.com

The host and producer, ranter (and sometime panelist) of Everything Compliance is Tom Fox the Voice of Compliance. He can be reached at tfox@tfoxlaw.com. Everything Compliance is a part of the Compliance Podcast Network. 

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