• Compliance into the Weeds-Episode 44

    In this episode, Matt Kelly and I take a deep dive, literally into the weeds of the convergence of the compliance profession and the nascent cannabis industry. While several states have made pot for medical use legal and one state, Colorado has made it legal for personal consumption, it is still illegal under federal law. We consider such questions as:

    Lawyers and accountants are required to report large cash transactions to the federal government—but large cash transactions are common in the cannabis industry, since commercial operators don’t have easy access to the banking system. So if you report one of these transactions, are you turning over evidence of illegal activities of your client to authorities? Or do you not report, and risk sanctions against yourself?If the Justice Department does act against a commercial weed business, will prosecutors really seek to impanel a federal grand jury, with jurors drawn from a state where they voted to legalize? Could prosecutors ask a candidate juror whether he or she smokes weed? Could that juror invoke the Fifth Amendment?Should lawyers be allowed to own equity in a legally operating marijuana business? What about judges? Do the two groups need different standards? Professional conduct rules for lawyers require competency in rendering legal advice. What does competency even look like in this branch of business conduct, when the laws are so new and in conflict with federal law?Will the nascence of the cannabis industry allow for innovations such as incorporation of blockchain to create fully auditable trails for all aspects of the business?Will any state which taxes cannabis sales be required to remit this money under a theory of profit disgorgement from funds generated by illegal activity.For more from Matt Kelly:

    See his blog post  Compliance, Careers and Cannabis Industry;

    Hear Matt Kelly’s interview with Amy McDougal (yes Matt has his own podcast as well-the Radical Compliance podcast) by clicking  here.

    DateTime Object ( [date] => 2019-12-07 22:43:40.399279 [timezone_type] => 3 [timezone] => UTC )
    Array ( [id] => f688e602-155a-11ea-a4f6-0f23679ecfa8 [createdAt] => 2019-12-02T18:25:01.550-05:00 [updatedAt] => 2019-12-03T17:22:06.571-05:00 [title] => Episode 149- Operational Resiliency [pubdate] => 2019-12-04T00:20:00.000-05:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/f688e602-155a-11ea-a4f6-0f23679ecfa8/image/uploads_2F1575329024727-eclm14th6uh-500d054b8c574282299b768972cee6e2_2FInto%2Bthe%2BWeeds2.png?ixlib=rails-2.1.2 [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => [subtitle] => In this episode Matt Kelly and I consider the intersection of operational resiliency and compliance. [summary] =>

    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 Kelly and I go into the weeds about operational resiliency. 

    Some of the highlights include:

    • What is operational resiliency?
    • Why is technology so critical in this area?
    • What is the intersection of operational resiliency and compliance?
    • Should compliance and risk management be merged?
    • From the headlines (1)-What did the Fed say?
    • From the headlines (2) moving past financial services-Virtual Care Provider.
    • What does all this mean for compliance professionals going forward?


    Resources

    Matt’s blog posts, both on Radical Compliance.

    Compliance Role in Operational Resiliency,

    Operational Resiliency Part II

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  • Compliance into the Weeds is the only weekly podcast which...
  • Array ( [id] => ed1fbc34-059d-11ea-a2bb-df89d88d7650 [createdAt] => 2019-11-12T17:44:03.436-05:00 [updatedAt] => 2019-11-12T19:06:51.514-05:00 [title] => Procurement Collusion Strike Force [pubdate] => 2019-11-13T00:00:00.000-05:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/ed1fbc34-059d-11ea-a2bb-df89d88d7650/image/uploads_2F1573598591820-p91r3x6you-e81183d063ca00fdcc402297f4a5c4c7_2FInto%2Bthe%2BWeeds2.png?ixlib=rails-2.1.2 [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 148 [subtitle] => In this episode, Matt Kelly and I go into the weeds to explore the recent announcement of the creation of the Procurement Collusion Strike Force by the Department of Justice. [summary] =>

    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 Kelly and I go into the weeds about the recent DOJ announcement of the Procurement Collusion Strike Force (PCSF).  Some of the highlights include. 

    Some of the highlights include:

    Ø  Why was the PCSF created?

    Ø  What will it focus on?

    Ø  Why does the funding (or lack thereof) matter?

    Ø  What do the twin DOJ announcements of the PCFS portend?

    Ø  Why are analytics more critical for compliance going forward?

    Ø  What are procurement red flags?

    Ø  What does all this mean for compliance professionals going forward?

    Resources

    Matt’s blog post, Brace for Procurement Compliance, on Radical Compliance.

    DOJ Press Release on PCSF

    PCSF website

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  • Compliance into the Weeds is the only weekly podcast which...
  • Array ( [id] => 0c507f6e-ff39-11e9-8be9-03d1d64cc88a [createdAt] => 2019-11-04T14:26:49.618-05:00 [updatedAt] => 2019-11-05T09:11:19.564-05:00 [title] => Episode 147-Secondhand Whistleblower Reporting [pubdate] => 2019-11-06T00:00:00.000-05:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/0c507f6e-ff39-11e9-8be9-03d1d64cc88a/image/uploads_2F1572895292945-9kz4mhimmxh-b8a4f19d80f4624f8582f36d22e41df2_2FInto%2Bthe%2BWeeds2.png?ixlib=rails-2.1.2 [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 147 [subtitle] => In this episode of Compliance into the Weeds, Matt Kelly and I take a deep dive into the differences in first-hand and secondhand whistleblowers. [summary] =>

    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 Kelly and I go into the weeds on a recent academic paper by Stubben and Welch entitled, Are Secondhand Whistleblowing Reports More Credible. The authors reviewed data from the Navex Global data base of 2 million whistleblower reports from more than 1,000 companies from 2004 through 2017. Their findings have significant implications for CCO, GCs and Boards of Directors.

    Some of the highlights include:

    • Why is this the first international podcast of Compliance Into the Weeds?
    • What are the key differences between a first-hand whistleblower report and a secondhand report?
    • Why are over 47% more second-hand reports substantiated than first-hand reports?
    • Why do first-hand reports tend to be about actions against a person and secondhand reports be about things which happened to the organization?
    • What are the implications for triage/investigations of first and secondhand reports?
    • Is confirmation bias at work here?

    For additional reading see the following:

    Matt’s blog post, Study-Second Hand Reports More Reliable, on Radical Compliance.

    Stubben and Welch, Are Secondhand Internal Whistleblowing Reports Credible?

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  • Compliance into the Weeds is the only weekly podcast which...
  • Array ( [id] => 4bfb1fd4-fa84-11e9-a584-df39f9d454b0 [createdAt] => 2019-10-29T15:42:52.765-04:00 [updatedAt] => 2019-10-29T15:43:11.948-04:00 [title] => SOX Compliance-Slow Poking Along [pubdate] => 2019-10-30T00:00:00.000-04:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/4bfb1fd4-fa84-11e9-a584-df39f9d454b0/image/uploads_2F1572378121393-rcaby6ksgvk-1422ff6fe2453d7fce3a2f81fe9e8407_2FInto%2Bthe%2BWeeds2.png?ixlib=rails-2.1.2 [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 146 [subtitle] => In this episode of Compliance into the Weeds, Matt Kelly and I go into the weeds to explore the ongoing slog of SOX compliance reporting.   [summary] =>

    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 Kelly and I go into the weeds on issues raised around SOX compliance by internal audit functions in corporations and the use of tech solutions to improve things by a recent report of the SOX Professional Group.

     Some of the highlights include:

    • Why is SOX compliance still ‘a big hassle’?
    • A recent report by the SOX Professional Group found that internal audit is taking over more SOX reporting.
    • Why has internal audit been asked to take over more of this role?
    • Why would the SEC want to reduce award levels at the high end? What is the constituency for this position?
    • The SOX Professional Group report noted that SOX compliance costs are increasing; why did an earlier Protiviti report show costs were ‘drifting downward’?
    • Where are companies on the use of new tech solutions to facilitate SOX Compliance?
    • Why are 73% of all companies still using Excel spreadsheet to report on SOX compliance?
    • What role, if any, does internal audit have in cyber security?
    • Why is cybersecurity not seen as a high risk from SOX reporting perspective?

    For additional reading see the following:

    Matt’s blog post, Report: SOX Compliance Still a Pain, on Radical Compliance.

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  • Compliance into the Weeds is the only weekly podcast which...
  • Array ( [id] => 6620aee4-f500-11e9-8369-c7cccca24944 [createdAt] => 2019-10-22T15:16:07.362-04:00 [updatedAt] => 2019-10-22T15:16:21.154-04:00 [title] => Proposed SEC Whistleblower Reform [pubdate] => 2019-10-23T00:00:00.000-04:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/6620aee4-f500-11e9-8369-c7cccca24944/image/uploads_2F1571771701394-10par4s5ys7n-f9339281ed719d6f861025d492e39a80_2FInto%2Bthe%2BWeeds2.png?ixlib=rails-2.1.2 [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 145 [subtitle] => In this episode of Compliance into the Weeds, Matt Kelly and I go into the weeds to explore the SEC’s proposed changes to its whistleblower program.   [summary] =>

    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 Kelly and I go into the weeds to explore the SEC’s proposed changes to its whistleblower program. 

    Some of the highlights include:

    • The reforms were originally announced 18 moths ago. Why is the SEC just now getting to public discussion?
    • What if anything will be the cap on high end awards?
    • Conversely, will the expansion of low-end awards beget better whistleblower tips?
    • Why would the SEC want to reduce award levels at the high end? What is the constituency for this position?
    • Why (or why not) should a whistleblower tip be in writing?
    • Why was the SEC Open Meeting to discuss these reforms postponed until November?
    • Will the meeting be postponed again? Who benefits from a postponement?

    For additional reading see the following:

    Matt’s blog post, SEC Tees Up Whistleblower Reform, on Radical Compliance.

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  • Compliance into the Weeds is the only weekly podcast which...
  • Array ( [id] => 8d395770-ef82-11e9-8b93-077402a85dc7 [createdAt] => 2019-10-15T15:32:40.538-04:00 [updatedAt] => 2019-10-15T15:33:27.456-04:00 [title] => Changes at the PCAOB [pubdate] => 2019-10-16T00:00:00.000-04:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/8d395770-ef82-11e9-8b93-077402a85dc7/image/uploads_2F1571167877948-ew469g7uypj-114002259158091fb4e7222d10f174e9_2FInto%2Bthe%2BWeeds2.png?ixlib=rails-2.1.2 [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 144 [subtitle] => In this episode, Matt Kelly and I go into the weeds to explore the recent changes at the PCAOB made by SEC Chairman Jay Clayton. [summary] =>

    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 Kelly and I go into the weeds to explore the recent changes at the PCAOB made by SEC Chairman Jay Clayton.  

    Some of the highlights include:

    Ø  Why were the changes announced in a manner to hide them?

    Ø  Why were they such unusual personnel moves?

    Ø  Why would the SEC put someone on the PCAOB with no discernible qualifications for the role?

    Ø  Is the goal of Jay Clayton to do away with SOX 404 protection for investors?

    Ø  Does going public under SOX mandate investor protection?

    Ø  What else will Clayton pull to ram through his changes at the PCAOB and SEC?

    Ø  Why is WeWork such a power example right now?

    For additional reading see the following:

    Matt’s blog post, PCAOB Shakeup-What it Means for You, on Radical Compliance.

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  • Compliance into the Weeds is the only weekly podcast which...
  • Array ( [id] => 70b21b74-ec34-11e9-99a0-db17d048c834 [createdAt] => 2019-10-11T10:35:58.458-04:00 [updatedAt] => 2019-10-11T10:36:57.655-04:00 [title] => Mylan and Silos [pubdate] => 2019-10-11T10:32:00.000-04:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/70b21b74-ec34-11e9-99a0-db17d048c834/image/uploads_2F1570804474771-kckk6th3c1-3cf8020a88575f3842a4663c3dd40403_2FInto%2Bthe%2BWeeds2.png?ixlib=rails-2.1.2 [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => [subtitle] => In this episode, Matt Kelly and I go into the weeds to explore the recent SEC enforcement action against Mylan and its mischaracterization of the drug EpiPen as a generic drug. [summary] =>

    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 Kelly and I go into the weeds to explore the recent SEC enforcement action against Mylan and its mischaracterization of the drug EpiPen as a generic drug. This mischaracterization cost the federal government millions of dollars and led the SEC to fine Mylan $30MM.   Some of the highlights include: Ø  How can one event have multiple risk scenarios?Ø  How risks can ripple across an organization?Ø  Who oversees risk for a company in a holistic manner?Ø  How can internal controls help to break down silos?Ø  Where was compliance?Ø  Why do internal controls need to cut across silos to provide (at least) internal transparency? For additional reading see the following: Matt’s blog post, Mylan’s Lessons on Silos & Risks, on Radical Compliance.

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  • Compliance into the Weeds is the only weekly podcast which...
  • Array ( [id] => 0681bb80-e4ad-11e9-886b-4bd7340163da [createdAt] => 2019-10-01T20:39:00.097-04:00 [updatedAt] => 2019-10-01T20:39:41.226-04:00 [title] => Quad/Graphics FCPA Enforcement Action [pubdate] => 2019-10-02T00:00:00.000-04:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/0681bb80-e4ad-11e9-886b-4bd7340163da/image/uploads_2F1569976678780-1qo9rx4jrw4-a10a56bb3ad928f3d948697c12e8dc99_2FInto%2Bthe%2BWeeds2.png?ixlib=rails-2.1.2 [explicit] => 1 [episodeType] => full [seasonNumber] => [episodeNumber] => 142 [subtitle] => In this episode of Compliance into the Weeds, Matt comes in hot on the Quad/Graphics FCPA settlement. [summary] =>

    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 we have a special live and in person podcast recording from Converge19. In this episode, Matt Kelly and I go into the weeds to explore the recent SEC enforcement action against Quad/Graphics and its Peruvian subsidiary. Matt comes in smoking on the egregious conduct of the company and the lack of criminal sanctions against the company.  

    Some of the highlights include:

    How did the company garner credit for prompt disclosure when it knew about the conduct for 3 years?Why have there been no criminal indictments against individuals?How many sham vendors, invoices and payments does a company need to take notice?Where was compliance?Why is it the sham-ness of it all?For additional reading see the following:

    Matt’s blog post, Graphics Firm Draws $10 FCPA Settlement, on Radical Compliance.

    Tom’s blog post, Quad/Graphics-the Sham-ness of it all, on the FCPA Compliance Report.

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  • Compliance into the Weeds is the only weekly podcast which...
  • Array ( [id] => 13ba5e86-df28-11e9-af63-ebc75991310f [createdAt] => 2019-09-24T20:04:43.388-04:00 [updatedAt] => 2019-09-24T20:04:59.540-04:00 [title] => PwC Spanked Edition [pubdate] => 2019-09-25T00:00:00.000-04:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/13ba5e86-df28-11e9-af63-ebc75991310f/image/uploads_2F1569369629155-h9rjdb4xg17-ae9fa54eda8146adbd1014586af05d4a_2FInto%2Bthe%2BWeeds2.png?ixlib=rails-2.1.2 [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => [subtitle] => In this episode, Matt Kelly and I go into the weeds to explore the recent SEC enforcement action against PwC and its partner Brandon Sprankle for violating audit firm independence rules. [summary] =>

     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 Kelly and I go into the weeds to explore the recent SEC enforcement action against PwC and its partner Brandon Sprankle for  violating audit firm independence rules,  including PwC implementing a GRC software system for one of its audit clients.

    Some of the highlights include:What was the conduct which led to the $8.9MM fine against PwC?Why do audit firm independence rules exist?Why ethical norms did PwC partner Brandon Sprankle violate?Should an audit partner who engages in material misrepresentations be trusted to perform an audit?What internal controls at PwC were violated by Sprankle’s actions?What does a CCO need to pay attention to audit firm independence rules?For additional reading see the following:

    Matt’s blog post, SEC Dings PwC on GRC Deal, on Radical Compliance.

    For more information on Converge19, click here.

     

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  •  Compliance into the Weeds is the only weekly podcast which...
  • Array ( [id] => f4af2954-d8e7-11e9-9f70-5ba6517d2c4a [createdAt] => 2019-09-16T21:10:36.550-04:00 [updatedAt] => 2019-09-16T21:10:53.713-04:00 [title] => Some of My Best Friends Are Lawyers [pubdate] => 2019-09-18T00:00:00.000-04:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/f4af2954-d8e7-11e9-9f70-5ba6517d2c4a/image/uploads_2F1568682508754-kc8zk38j03-1c32dc3bcb52fcc67ea8cc460117300b_2FInto%2Bthe%2BWeeds2.png?ixlib=rails-2.1.2 [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 140 [subtitle] => In this podcast, Matt Kelly and I take a deep dive into the weeds to consider what additional education degrees a mid-career compliance professional would benefit from going forward. [summary] =>

    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 Kelly and I go into the weeds to explore what additional educational degrees or certifications  a mid-career compliance professional should consider obtaining to further their career.   Some of the highlights include: Ø How did Matt become interested in this question?Ø What types of additional university degrees will assist the compliance professional?Ø Why a law degree will not help the mid-career compliance professional?Ø Does legal training apply to compliance any longer?Ø Why you should assess your skill set and then move to fill any gaps to become a more well-rounded compliance professional.Ø Why other university disciplines such as behavioral phycology, Human Resources and Risk Management are more valuable than law degrees for the compliance professional. For additional reading see the following: Matt’s blog post, Study Law to Advance Compliance Career?,on Radical Compliance.For more information on Converge19, click here

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  • Compliance into the Weeds is the only weekly podcast which...
  • Array ( [id] => d77759f0-d410-11e9-89da-dbcfeb320943 [createdAt] => 2019-09-10T17:20:41.074-04:00 [updatedAt] => 2019-09-10T17:20:58.999-04:00 [title] => Sharpies, Leadership and Compliance [pubdate] => 2019-09-11T00:00:00.000-04:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/d77759f0-d410-11e9-89da-dbcfeb320943/image/uploads_2F1568150251388-kbcak3fsak-79d2e681d36a4f6e3c664240434196d8_2FInto%2Bthe%2BWeeds2.png?ixlib=rails-2.1.2 [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 139 [subtitle] => How does the President’s recent imbroglio regarding Hurricane Dorian, Alabama and sharpies inform compliance? Find out on this episode of Compliance into the Weeds. [summary] =>

    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 Kelly and I go into the weeds to explore the President’s recent imbroglio regarding Hurricane Dorian, Alabama and sharpies.  

    Some of the highlights include:Why was this episode so creepy?What is a Level 5 business leader and why are those traits so valued in business?What would happen if a business leader intentionally misrepresented his company’s products?If you threaten to fire all who disagree with the Leader’s comments, what will it do for the future of the organization?What was the failure of compensating controls?What should a Board of Directors do if a CEO engages in material misrepresentations?For additional reading see Matt’s blog post, Sharp(ie) Insights in Speak Up Culture, on Radical Compliance.

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  • Compliance into the Weeds is the only weekly podcast which...
  • Array ( [id] => aed3b4be-ce91-11e9-8b60-9f4ffecd76cb [createdAt] => 2019-09-03T17:27:51.004-04:00 [updatedAt] => 2019-09-03T17:31:49.784-04:00 [title] => Juniper Networks FCPA Enforcement Action [pubdate] => 2019-09-04T00:04:00.000-04:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/aed3b4be-ce91-11e9-8b60-9f4ffecd76cb/image/uploads_2F1567545807031-88xf0mv5nrs-3ce4e937da922486836486f3af518cb2_2FInto%2Bthe%2BWeeds2.png?ixlib=rails-2.1.2 [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 138 [subtitle] => In this episode, Matt Kelly and I go into the weeds to explore the recently released FCPA enforcement action by the SEC involving Juniper Networks. [summary] =>

    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 Kelly and I go into the weeds to explore the recently released FCPA enforcement action by the SEC involving Juniper Networks.  Some of the highlights include: Ø Who is responsible for the continued violations after initial discovery, the subsidiaries or the parent?Ø What happens when a grandparent ‘speaks sternly’ to a grandchild?Ø Why does a decentralized compliance structure allow for internal abuse? Ø Do your policies and procedures actually support your compliance efforts? Ø As CCO do you have visibility into where customer discounts are going?Ø Should lawyers ever review expense reports from foreign business units? For additional reading see the following: Tom’s blog post, Juniper Network FCPA Enforcement Action, on the FCPA Compliance & Ethics Blog. Matt’s blog post, Juniper Networks Hit on FCPA Charge, on Radical Compliance. Jonathan Marks considers these points as well as the Board of Directors role in his blog post, Slush Funds and the Juniper Networks FCPA Settlement, on his always great Board and Fraud blog. 

    [audioFile] => https://megaphone-prod.s3.amazonaws.com/podcasts/7a954b1a-d30e-11e8-87cc-2f03e1d4419c/episodes/aed3b4be-ce91-11e9-8b60-9f4ffecd76cb/stripped_7f5e7091c04408f040c2b24d23f60878.mp3 [downloadUrl] => http://traffic.megaphone.fm/CSN4643054940.mp3 [size] => 67407411 [duration] => 1685.19 [uid] => CSN4643054940 [originalUrl] => [bitrate] => 320 [samplerate] => 44100 [channelMode] => stereo [vbr] => [audioFileProcessing] => [podcastId] => 7a954b1a-d30e-11e8-87cc-2f03e1d4419c [preCount] => 1 [postCount] => 1 [insertionPoints] => Array ( ) [id3File] => https://megaphone-prod.s3.amazonaws.com/podcasts/7a954b1a-d30e-11e8-87cc-2f03e1d4419c/episodes/aed3b4be-ce91-11e9-8b60-9f4ffecd76cb/id3/59676f4bd6b9c5e65777a8a8dd22a5d8.mp3 [id3FileProcessing] => [id3FileSize] => 341114 [parentId] => [guid] => [pubdateTimezone] => Eastern Time (US & Canada) [originalFilename] => Episode 138.Juniper Networks - 9_3_19, 3.52 PM.mp3 [preOffset] => 0.0 [postOffset] => 0.0 [spotifyIdentifier] => [expectedAdhash] => [audioFileUpdatedAt] => [draft] => [externalId] => [customFields] => )
  • Compliance into the Weeds is the only weekly podcast which...
  • Array ( [id] => c255588a-c900-11e9-9e9a-375503546dbf [createdAt] => 2019-08-27T15:27:50.862-04:00 [updatedAt] => 2019-08-27T15:28:11.714-04:00 [title] => Episode 137- Debating the Statement on the Purpose of a Corporation [pubdate] => 2019-08-28T00:00:00.000-04:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/c255588a-c900-11e9-9e9a-375503546dbf/image/uploads_2F1566933861033-wj1sy2x8exr-87c0ade8bcf059ed58d28b9a97fe39b3_2FInto%2Bthe%2BWeeds2.png?ixlib=rails-2.1.2 [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 137 [subtitle] => In this episode of Compliance into the Weeds, Matt Kelly and I take a deep dive into Business Roundtable's recently released Statement on the Purpose of a Corporation. . [summary] =>

    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 Kelly  and I go into the weeds to discuss our views on the Business Roundtable’s recently released Statement on the Purpose of a Corporation.   Some of the highlights include: Ø Tom believes it is an important first step to consider the various stakeholders in a business enterprise.Ø Matt has a bit more cynical view of the document. Ø Matt is concerned that the Statement does not have the force of law and indeed may be antithetical to corporate law. Ø Matt is suspicious of the timing of the Statement. Ø Tom believes it provides a playbook for both corporations and lawmakers in the debate going forward. For additional reading see Tom’s blog post Statement on the Purpose of a Corporation and What it Means for the Compliance Professionalon the FCPA Compliance Report.

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  • Compliance into the Weeds is the only weekly podcast which...
  • Array ( [id] => 0a9486f0-c395-11e9-b454-3fc4a0893fa0 [createdAt] => 2019-08-20T17:54:10.645-04:00 [updatedAt] => 2019-08-20T17:57:39.322-04:00 [title] => Compliance into the Weeds: Episode 136- Scoping the Size of Compliance Workforce [pubdate] => 2019-08-21T00:00:00.000-04:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/0a9486f0-c395-11e9-b454-3fc4a0893fa0/image/uploads_2F1566338080060-uivummftwxc-56e4a4c3a72451553bca4dd0b9823310_2FInto%2Bthe%2BWeeds2.png?ixlib=rails-2.1.2 [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 136 [subtitle] => Matt Kelly and I are back to dive into the weeds on another compliance topic. This week we consider the size of the compliance workforce in secondary markets. [summary] =>

    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 Kelly  and I go into the weeds to explore size of the compliance workforce in secondary markets in the US and how that will impact compliance program enhancements going forward.

    Some of the highlights include:Do FASB accounting standard changes mandate new skill/talents?Why are the new FASB lease accounting standards being delayed?Is the role of compliance is to build better systems to govern ourselves around risk management?Is the BLS definition of compliance professional still relevant or is it stuck in 1998?Why is there such a divergence in secondary markets in the hiring of compliance professionals?How would all this play out for compliance professionals in a recession?For additional reading see Matt’s blog post Scoping the Size of Compliance Workforce on Radical Compliance.

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  • Compliance into the Weeds is the only weekly podcast which...
  • Array ( [id] => b9573240-bd4c-11e9-86cc-93071e062c08 [createdAt] => 2019-08-12T18:01:23.504-04:00 [updatedAt] => 2019-08-12T18:01:48.138-04:00 [title] => Compliance into the Weeds: Episode 135-CEOs Modeling Corporate Values [pubdate] => 2019-08-14T00:00:00.000-04:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/b9573240-bd4c-11e9-86cc-93071e062c08/image/uploads_2F1565646910214-rd2s9c8gim9-5aa7ca0621d62db24b5553a868d088fb_2FInto%2Bthe%2BWeeds2.png?ixlib=rails-2.1.2 [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 135 [subtitle] => In this episode, Matt Kelly and I explore the actions by Delta CEO in not going to a meeting at the White House because of previously scheduled vacation plans. Is this modeling of corporate values useful to improve employee morale? [summary] =>

    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 Kelly  and I go into the weeds to explore the actions by Delta CEO in not going to a meeting at the White House because of previously scheduled vacation plans. Is this modeling of corporate values useful to improve employee morale?  

    Some of the highlights include:Why did Delta CEO Ed Bastain ditch a White House meeting?Does a CEO cancelling a meeting to go on previously scheduled vacation model your corporate values?If a CEO will not attend a meeting what does that say about a company?Does the CEO’s help or hurt employee morale?How was Delta accountable in its ferrying of stranded 5thgraders to DC?How has Lowe’s damaged employee trust?For additional reading see Matt’s blog post Great Example of CEO Setting the Tone on Radical Compliance.

    [audioFile] => https://megaphone-prod.s3.amazonaws.com/podcasts/7a954b1a-d30e-11e8-87cc-2f03e1d4419c/episodes/b9573240-bd4c-11e9-86cc-93071e062c08/stripped_1c9338f12d9137826aa13751c60d717f.mp3 [downloadUrl] => http://traffic.megaphone.fm/CSN3682663316.mp3 [size] => 69784554 [duration] => 1744.61 [uid] => CSN3682663316 [originalUrl] => [bitrate] => 320 [samplerate] => 44100 [channelMode] => stereo [vbr] => [audioFileProcessing] => [podcastId] => 7a954b1a-d30e-11e8-87cc-2f03e1d4419c [preCount] => 1 [postCount] => 1 [insertionPoints] => Array ( ) [id3File] => https://megaphone-prod.s3.amazonaws.com/podcasts/7a954b1a-d30e-11e8-87cc-2f03e1d4419c/episodes/b9573240-bd4c-11e9-86cc-93071e062c08/id3/b44893acdedbdb73409f77fa78bb6322.mp3 [id3FileProcessing] => [id3FileSize] => 340456 [parentId] => [guid] => [pubdateTimezone] => Eastern Time (US & Canada) [originalFilename] => Episode 135.CEOs and Modeling Values - 8_12_19, 4.17 PM.mp3 [preOffset] => 0.0 [postOffset] => 0.0 [spotifyIdentifier] => [expectedAdhash] => [audioFileUpdatedAt] => [draft] => [externalId] => [customFields] => )
  • Compliance into the Weeds is the only weekly podcast which...
  • Array ( [id] => dd158abe-b889-11e9-b69b-73dc578178f0 [createdAt] => 2019-08-06T16:36:27.048-04:00 [updatedAt] => 2019-08-06T16:36:49.487-04:00 [title] => Episode 134-Compliance Responses to El Paso and Dayton [pubdate] => 2019-08-07T00:00:00.000-04:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/dd158abe-b889-11e9-b69b-73dc578178f0/image/uploads_2F1565123134634-qo85o16gtm-02c27b8161c8b0f8a25ec00ed430f04e_2FInto%2Bthe%2BWeeds2.png?ixlib=rails-2.1.2 [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 134 [subtitle] => In this most somber episode, Matt Kelly and I go into the weeds to explore what are some of the compliance responses to the twin tragedies of El Paso and Dayton. [summary] =>

    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 most somber episode, Matt Kelly  and I go into the weeds to explore what are some of the compliance responses to the twin tragedies of El Paso and Dayton.   Some of the highlights include: Ø How the lack of safety at the workplace impacts employee trust.Ø How should a company monitor hate and racist speech by employees online? Ø What is your company policy around firearms at the workplace? What if your state allows it? Ø What actions should Walmart take for the safety of its employees and customers?Ø What red flags on employee hate speech are actionable? Ø What employee hate speech puts a company on actual knowledge of an impending or even possible attack?Ø What is a company’s liability in such a situation?

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  • Compliance into the Weeds is the only weekly podcast which...
  • Array ( [id] => b4cdde00-b319-11e9-a87f-8f7c84dd105c [createdAt] => 2019-07-30T18:31:00.035-04:00 [updatedAt] => 2019-07-30T18:31:20.637-04:00 [title] => Compliance into the Weeds: Episode 133-Facebook Settlement [pubdate] => 2019-07-31T00:05:00.000-04:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/b4cdde00-b319-11e9-a87f-8f7c84dd105c/image/uploads_2F1564525741876-9ingiodjptl-2220b70ad3af4d603ee36e1e41713d71_2FInto%2Bthe%2BWeeds2.png?ixlib=rails-2.1.2 [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 133 [subtitle] => In this episode of Compliance into the Weeds, Matt Kelly and I take a deep dive into Facebook's settlements with the SEC and FTC plus a preview of the DOJ antitrust investigation. [summary] =>

    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 Kelly (the coolest guy in compliance) and I go into the weeds to explore recent Facebook settlement with the SEC and the FTC. We also explore what the new DOJ antitrust investigation may portend going forward.  

    Some of the highlights include:

    This is now the second SEC settlement under this fact pattern.The SEC settlement was three times the amount of the Yahoo settlement.Did the FTC settle too low (or too high)?Is Facebook prevented from doing anything going forward?What is the impact if any on the stock price? Does the market even care?Is the DOJ antitrust investigation simply a politically motivated attack?Has the administration thought through the implications of its antitrust investigations?For further reading on Conn’s see Matt’s blog posts: Facebook, Power and Antitrust Issues 

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  • Compliance into the Weeds is the only weekly podcast which...
  • Array ( [id] => 1e8e6410-ada0-11e9-9af5-47293f28baa3 [createdAt] => 2019-07-23T19:18:03.039-04:00 [updatedAt] => 2019-07-23T19:18:27.820-04:00 [title] => Compliance into the Weeds: Episode 132-Internal Control Palooza [pubdate] => 2019-07-24T00:05:00.000-04:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/1e8e6410-ada0-11e9-9af5-47293f28baa3/image/uploads_2F1563923667222-c3rzz6rszuq-7a0edcaf00b99a610710dab222bb4af0_2FInto%2Bthe%2BWeeds2.png?ixlib=rails-2.1.2 [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 132 [subtitle] => What is an Internal Control Palooza and what can you learn from it as a compliance professional? [summary] =>

    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 Kelly (the coolest guy in compliance) and I go into the weeds to explore recent SEC enforcement actions which Matt characterized as an “internal control Palooza”. We explore what went askance, how to learn from it and how to prevent it going forward.   Some of the highlights include: Ø The SEC recently had an “Internal Controls Palooza” of enforcement actions. Ø Microsoft demonstrated poor controls over third parties.Ø Why do does units need a ‘second set of eyes’ for non-standard discounts?Ø What is earnings management and why is it so risky? Ø Why do you need robust internal controls when engaging in earnings management? Ø Why must internal controls have an auditable trail? For further reading on Conn’s see Matt’s blog posts:Conn’s Lessons on Management EstimatesandMore on Embedding, Automating ControlsFor further reading on Microsoft see Matt’s blog post:FCPA Issues Nick Microsoft $25 MillionFinally see Tom’s blog postsPart 1-Microsoft FCPA Enforcement Actionand Part 2-the Bribery Schemes

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  • Compliance into the Weeds is the only weekly podcast which...
  • Array ( [id] => 95200bd0-a817-11e9-b44c-57ba432d0e51 [createdAt] => 2019-07-16T18:18:05.095-04:00 [updatedAt] => 2019-07-16T18:18:24.992-04:00 [title] => Compliance into the Weeds: Episode 131-Compliance Training [pubdate] => 2019-07-17T00:00:00.000-04:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/95200bd0-a817-11e9-b44c-57ba432d0e51/image/uploads_2F1563315157745-saxhggle18-7550b9f84ccec4653ae8590c16b389b9_2FInto%2Bthe%2BWeeds2.png?ixlib=rails-2.1.2 [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 131 [subtitle] => How can your compliance training take wings of effectiveness? Matt Kelly and Tom Fox explore on this episode of Compliance into the Weeds. [summary] =>

    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 Kelly (the coolest guy in compliance) and I go into the weeds to explore Matt’s observations on compliance training. While traveling cross-country with the family for a well-earned vacation he paid close attention to the safety training video. We used that as a starting point for a deep dive into compliance training and communications.    

    Some of the highlights include:

    What are some fresh takes on compliance training?How do you implement both effective and tailored training?Is your training procedural? Ethical? Systemic?Do you want your employees to follow procedures or standards of behavior?Employees need to feel like there is someone listening.What is the role of ongoing communications in training?For further reading see Matt’s blog post-How Good Training Finds its Wings

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  • Compliance into the Weeds is the only weekly podcast which...
  • Array ( [id] => 3af22ce6-a29b-11e9-91cc-23c66cf8baef [createdAt] => 2019-07-09T18:45:20.393-04:00 [updatedAt] => 2019-07-09T18:48:47.799-04:00 [title] => Compliance into the Weeds: Episode 130- Corrosive Subcultures [pubdate] => 2019-07-10T00:00:00.000-04:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/3af22ce6-a29b-11e9-91cc-23c66cf8baef/image/uploads_2F1562712131056-gk0v6atrtwh-13df7f69a8c81675bee73f97ff09ef2a_2FInto%2Bthe%2BWeeds.jpg?ixlib=rails-2.1.2 [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 130 [subtitle] => In this episode of Compliance into the Weeds, Matt Kelly and I take a deep dive into the corrosive nature of subcultures. [summary] =>

    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 Kelly (the coolest guy in compliance) and I take a deep dive into employees of the U.S. Customs and Border Protection who operated a closed Facebook group, replete with racist, sexist posts about migrants and Democratic politicians. For corporate compliance and governance professionals who think about the challenges of building a strong corporate culture, the mess at CBP offers a cautionary tale about the corrosive nature of subcultures.    Some of the highlights include: Ø Why are subcultures so corrosive?Ø What is Metcalfe’s Law and how does it apply here?Ø What is corporate culture v. subcultures?Ø How does an organization fight the growth of subcultures?Ø What is the role of the CCO?Ø Is all this simply protected speech? For additional reading see Matt’s blog post What CBP Tells Us About Subcultures

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  • Compliance into the Weeds is the only weekly podcast which...
  • Array ( [id] => 59426616-9cbf-11e9-9bd2-7f78b04266ab [createdAt] => 2019-07-02T07:48:46.155-04:00 [updatedAt] => 2019-07-02T07:49:05.174-04:00 [title] => Compliance into the Weeds: Episode 129-Open Secrets [pubdate] => 2019-07-03T00:00:00.000-04:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/59426616-9cbf-11e9-9bd2-7f78b04266ab/image/uploads_2F1562067973758-4k6q2vv0wlb-69e759332f25ccfcab3155cacff433db_2FInto%2Bthe%2BWeeds2.png?ixlib=rails-2.1.2 [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 129 [subtitle] => IN this episode Matt Kelly and I use the experience of Tyler Schultz as a whistleblower at Theranos to explore the concept of open secrets in an organization. [summary] =>

    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 Kelly (the coolest guy in compliance) and I go into the weeds to explore Matt’s recent interview of Theranos whistleblower Tyler Schultz. We use this as a starting point to discuss what a company can do when everyone knows that fraud is going on but no one says anything about it.  

     Some of the highlights include:

    Tyler Schultz tells his story.What was the conversation inside Theranos?Was it an open secret the company was engaged in fraud?Why do employees take baby steps to whistleblowing?Employees need to feel like there is someone listening.Are there any alternative areas of power in a company, such as the Board of Directors?For further reading see Matt’s blog post-What Drives Open Secrets

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  • Compliance into the Weeds is the only weekly podcast which...
  • Array ( [id] => 2ca80e88-9514-11e9-bf49-bb2064be2b8c [createdAt] => 2019-06-22T13:35:49.246-04:00 [updatedAt] => 2019-06-22T13:39:39.067-04:00 [title] => Compliance into the Weeds: Bonus Episode-Reflections on KPMG with Francine McKenna [pubdate] => 2019-06-26T00:02:00.000-04:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/2ca80e88-9514-11e9-bf49-bb2064be2b8c/image/uploads_2F1561224789684-zdo0d0ssc9-7a8f34976cdb53045330c9dac4228f52_2FInto%2Bthe%2BWeeds.jpg?ixlib=rails-2.1.2 [explicit] => [episodeType] => bonus [seasonNumber] => [episodeNumber] => [subtitle] => In tis episode, Matt Kelly and I are joined by MarketWatch's Francine McKenna to reflect upon the first week's news and fallout from the SEC enforcement Order involving KPMG. [summary] =>

    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 Kelly (the coolest guy in compliance) and I take things in a different direction as we welcome Francine McKenna, reporter at MarketWatch. And blogger extraordinaire at Re: The Auditors. After one full week of writing, thinking and talking about the SEC enforcement action against KPMG, we provide our initial reflections.   

    For additional reading,  check out the following resources:

    You should start with McKenna’s great piece on the scandal in MarketWatch, “The KPMG cheating scandal was much more widespread than originally thought

    Matt’s blog post-Questions on the KPMG Ethics Fiasco

    Tom’s blog post-Day of Reckoning for KPMG-Failures in Ethics

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  • Compliance into the Weeds is the only weekly podcast which...
  • Array ( [id] => 20cba606-91fe-11e9-9bc6-a38ba73f7159 [createdAt] => 2019-06-18T15:20:26.928-04:00 [updatedAt] => 2019-06-22T13:36:19.457-04:00 [title] => Compliance into the Weeds: Episode 128- KPMG Scandal [pubdate] => 2019-06-19T00:00:00.000-04:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/20cba606-91fe-11e9-9bc6-a38ba73f7159/image/uploads_2F1560882393482-af3a32qgssj-84bbc2cfb5bb0385c3042d8da58feccc_2FInto%2Bthe%2BWeeds.jpg?ixlib=rails-2.1.2 [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 128 [subtitle] => In this episode, Matt Kelly and I take a deep dive into he SEC enforcement action against KPMG and the surrounding ethics scandal the firms finds itself embroiled in. [summary] =>

    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 Kelly (the coolest guy in compliance) and I take a deep dive into SEC enforcement action announced against KPMG this week.   

    Some of the highlights include:

    Which part of the scandal is worse-bribery/corruption or falsifying standards?Can KPMG be trusted going forward?What led to the Board investigation of the educational scandal?Is this the end of KPMG? The Big Four?How could the firm create a culture so antithetical to integrity?Where does KPMG go from here?Who is qualified to be the Monitor?Will there be an additional SEC enforcement action?For additional reading see Tom’s blog post Day of Reckoning for KPMG-Failures in Ethics

    [audioFile] => https://megaphone-prod.s3.amazonaws.com/podcasts/7a954b1a-d30e-11e8-87cc-2f03e1d4419c/episodes/20cba606-91fe-11e9-9bc6-a38ba73f7159/stripped_0fcd3c61f8ac27170db2b9816f778326.mp3 [downloadUrl] => http://traffic.megaphone.fm/CSN5880835421.mp3 [size] => 18295954 [duration] => 1524.66 [uid] => CSN5880835421 [originalUrl] => [bitrate] => 96 [samplerate] => 44100 [channelMode] => mono [vbr] => [audioFileProcessing] => [podcastId] => 7a954b1a-d30e-11e8-87cc-2f03e1d4419c [preCount] => 1 [postCount] => 1 [insertionPoints] => Array ( ) [id3File] => https://megaphone-prod.s3.amazonaws.com/podcasts/7a954b1a-d30e-11e8-87cc-2f03e1d4419c/episodes/20cba606-91fe-11e9-9bc6-a38ba73f7159/id3/c0195309797fd15817031d6c387fb34b.mp3 [id3FileProcessing] => [id3FileSize] => 340128 [parentId] => [guid] => [pubdateTimezone] => Eastern Time (US & Canada) [originalFilename] => Episode 128 - 6_18_19, 8.55 AM.mp3 [preOffset] => 0.0 [postOffset] => 0.0 [spotifyIdentifier] => [expectedAdhash] => [audioFileUpdatedAt] => [draft] => [externalId] => [customFields] => )
  • Compliance into the Weeds is the only weekly podcast which...
  • Array ( [id] => 727e1a1c-8c39-11e9-ad0b-4735573a7598 [createdAt] => 2019-06-11T07:09:57.322-04:00 [updatedAt] => 2019-06-11T07:10:24.759-04:00 [title] => Compliance into the Weeds: Episode 127- Robotic Process Automation [pubdate] => 2019-06-12T00:00:00.000-04:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/727e1a1c-8c39-11e9-ad0b-4735573a7598/image/uploads_2F1560251205828-yquck7rx3ak-0037795c3d514655aa2aa8b6d0f267bf_2FInto%2Bthe%2BWeeds.jpg?ixlib=rails-2.1.2 [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 127 [subtitle] => In this episode Matt Kelly and I take a deep dive into the weeds on robotic process automation in a special on location recording. [summary] =>

    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 Kelly (the coolest guy in compliance) and I take a deep dive into Robotic Process Automation.   

    Some of the highlights include:What is robotic process automation (RPA)?How does it differ from AI?How could a compliance professional use RPA?Why is does it pose unique risks to a corporate compliance function?For additional reading see Matt’s blog post Thoughts on RPA, Compliance and You

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  • Compliance into the Weeds is the only weekly podcast which...
  • Array ( [id] => 5278db9c-8718-11e9-ac53-4b37c85fc3c4 [createdAt] => 2019-06-04T18:30:14.395-04:00 [updatedAt] => 2019-06-11T07:10:52.047-04:00 [title] => Compliance into the Weeds: Episode 126-Compliance and Complexity [pubdate] => 2019-06-05T00:02:00.000-04:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/5278db9c-8718-11e9-ac53-4b37c85fc3c4/image/uploads_2F1559687322778-dyuwnlmeck-ffc307c60c9b2891305e9bb34a95b058_2FInto%2Bthe%2BWeeds2.png?ixlib=rails-2.1.2 [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 126 [subtitle] => In this episode, Matt Kelly and I take a deep dive into corporate complexity which caused or contributed to the Boeing 737 Max disaster. [summary] =>

    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 Kelly (the coolest guy in compliance) and I go into the weeds to explore how the complexity of modern-day corporations can lead to catastrophic failures such as the two crashes of the Boeing 737 Max.  Some of the highlights include: Ø Our podcast today was based upon two blog posts we both wrote this week based upon the NYT article The Late Change, and Fatal Flaws in Boeing’s Plane. Ø Why and how can complexity lead to catastrophic failre?Ø The modern corporation is very siloed. How does this contribute to risk?Ø Why every compliance professional should read the NYT article.Ø How should you think about systemic risk in your organization’s ecosystem?Ø How does the COSO 2013 Internal Controls Framework consider the issue of communication across an organization? In addition to the great NYT piece check out the following resources: Matt’s blog post-Another Lesson from Boeing-SilosTom’s blog post-Boeing and More Compliance Lessons

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  • Compliance into the Weeds is the only weekly podcast which...
  • Array ( [id] => 1e0ca62c-819b-11e9-96a3-db33a328da3c [createdAt] => 2019-05-28T18:51:23.543-04:00 [updatedAt] => 2019-05-28T19:28:46.393-04:00 [title] => Compliance into the Weeds: Episode 125-It’s Just Paper [pubdate] => 2019-05-29T00:00:00.000-04:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/1e0ca62c-819b-11e9-96a3-db33a328da3c/image/uploads_2F1559083817816-ij3ysnzwwe-1d765f73af43e2aefed0a0ec036d5318_2FInto%2Bthe%2BWeeds.jpg?ixlib=rails-2.1.2 [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 125 [subtitle] => In this episode, Matt Kelly and I take a deep dive into remarks made by Claire Murray at a Compliance Week 2019 Keynote and ask, is the recently released DOJ Evaluation of Corporate Compliance Programs, 2019 Guidance just paper or is it real? [summary] =>

    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 Kelly (the coolest guy in compliance) and I go into the weeds to explore what exactly is sub-regulatory guidance and why the debate around it by the current administration is seemingly against not only the government’s interest but also business’ interest. Be sure and listen all the way through as Matt goes on a rant at the end of the podcast.  Some of the highlights include: Ø What were the remarks of Claire Murray that got Matt so riled up?Ø Is the Evaluation of Corporate Compliance Programs, 2019 Guidance just paper?Ø What would happen to a company which does not use the 2019 Guidance as a roadmap?Ø Why business’ support sub-regulatory guidance?Ø Why documentation is critical for multiple parts of a compliance program?Ø What do Murray’s remarks mean for the compliance practitioner? For the full text of the remarks of Principal Deputy Associate Attorney General Claire Murray at the Compliance Week 2019 Annual Conference, click here.

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  • Compliance into the Weeds is the only weekly podcast which...
  • Array ( [id] => b7c3b944-7d91-11e9-a1b0-77b8dac76a24 [createdAt] => 2019-05-23T15:34:01.812-04:00 [updatedAt] => 2019-05-23T19:42:25.574-04:00 [title] => Compliance into the Weeds: Episode 124-Food Fight [pubdate] => 2019-05-24T00:00:00.000-04:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/b7c3b944-7d91-11e9-a1b0-77b8dac76a24/image/uploads_2F1558639932470-47uqab290sc-7145b5dc07a67ca45f5f6263956bca85_2FInto%2Bthe%2BWeeds.jpg?ixlib=rails-2.1.2 [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 124 [subtitle] => In this episode, Matt Kelly and I channel our inner Bluto and Flounder to consider a recent imbroglio around food fight in a cafeteria led to some powerful compliance lessons. [summary] =>

    This is a special Friday edition of Compliance into the Weeds, 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 Kelly (the coolest guy in compliance) and I channel our inner Bluto and Flounder to consider a recent imbroglio around food in a cafeteria led to some powerful compliance lessons.

    Some of the highlights include:

    What are the ethical values of your organization?Why a company must give employees on the ground the flexibility to over-ride rules when ethics demands it?If you fire someone publicly, you need to list the true reasons?How does a company empower its employees?Why documentation is critical for multiple parts of a compliance program?Why an efficient and accurate investigations must be done before termination?How an ethical misstep can significantly harm any sized organization.For more reading check out Matt’s two blog post  on this topic “When Ethics and Policy Collide” and “More Lessons from the Lunch Lady

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  • This is a special Friday edition of Compliance into the...
  • Array ( [id] => 5289bc58-768a-11e9-bbfc-e30c4ea8e2d5 [createdAt] => 2019-05-14T16:53:27.373-04:00 [updatedAt] => 2019-06-22T13:39:55.034-04:00 [title] => Compliance into the Weeds: Episode 123-Whistleblower Protection [pubdate] => 2019-05-15T00:05:00.000-04:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/5289bc58-768a-11e9-bbfc-e30c4ea8e2d5/image/uploads_2F1557866954048-furmqyt25oa-a6e238424ad51ba739124cab074c98a0_2FInto%2Bthe%2BWeeds.jpg?ixlib=rails-2.1.2 [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 123 [subtitle] => In this episode, Matt and I take a deep dive into the House Financial Services bill, HR 2515, which amends the Dodd-Frank Act to clarify that whistleblowers who report misconduct to their employers and not to the SEC also have protections against retaliation under the law. [summary] =>

    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 Kelly (the coolest guy in compliance) and I take a deep dive into the House Financial Services bill, HR 2515, which amends the Dodd-Frank Act to clarify that whistleblowers who report misconduct to their employers and not to the SEC also have protections against retaliation under the law. This bill fixes the US Supreme Court decision in Digital Realty Trust which mandated that whistleblowers had to go to the SEC to obtain Dodd-Frank anti-retaliation protection. Some of the highlights include: Some of the highlights include: Ø What was the ruling in Digital Realty Trust?Ø Why did it negatively impact whistleblowers, companies and the SEC?Ø What has made whistleblowers and internal reporting so significant?Ø How does the proposed fix benefit whistleblowers, companies and the SEC?Ø Why should businesses get behind this proposed fix?Ø What are the chances it actually is signed into law? For more reading check out Matt’s blog post “Progress on Whistleblower Fix” 

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  • Compliance into the Weeds is the only weekly podcast which...
  • Array ( [id] => cc291af4-6aaf-11e9-b127-3b5d36de40a0 [createdAt] => 2019-04-29T14:51:28.842-04:00 [updatedAt] => 2019-04-30T19:26:58.783-04:00 [title] => Compliance into the Weeds: Episode 121-The Role of the CRO in ERM [pubdate] => 2019-04-30T19:26:46.000-04:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/cc291af4-6aaf-11e9-b127-3b5d36de40a0/image/uploads_2F1556563786130-kzbtwhhvd7l-cd46c68a85a1fc1430c4f030f9d9709f_2FInto%2Bthe%2BWeeds.jpg?ixlib=rails-2.1.2 [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 121 [subtitle] => Compliance into the Weeds: Episode 121-The Role of the CRO in ERM [summary] =>

    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 Kelly (the coolest guy in compliance) and I take a deep dive intothe role of the Chief Risk Officer in overall Enterprise Risk Management. Some of the highlights include: Some of the highlights include: Ø Why  is effective ERM is more than simply operationalization of ethics and compliance?Ø Why the Board and senior management must take a holistic approach to ERM? Ø Why is it even more important for Boards and senior management to have better risk governance?Ø How do you define the role of Chief Risk Officer?Ø What is the role of internal audit in today’s analytical world of risk management?Ø Could or even should the role of the Chief Audit Officer evolve into the role of a Chief Risk Officer? For more reading check out Matt’s blog post “The Chief Risk Officer Role”. Also listen to the Radical Compliance podcast here.

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  • Compliance into the Weeds is the only weekly podcast which...
  • Array ( [id] => 6dc7dd0c-654a-11e9-88aa-7fa4cdd074f4 [createdAt] => 2019-04-22T18:03:15.515-04:00 [updatedAt] => 2019-04-23T20:15:15.228-04:00 [title] => Compliance into the Weeds: Episode 120-On the Ethical Tarmac [pubdate] => 2019-04-24T01:03:00.000-04:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/6dc7dd0c-654a-11e9-88aa-7fa4cdd074f4/image/uploads_2F1555970489901-no7jvena1b-3ebd0d5d2c2b9982b3f80e97e061e94c_2FInto%2Bthe%2BWeeds.jpg?ixlib=rails-2.1.2 [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 120 [subtitle] => Compliance into the Weeds: Episode 120-On the Ethical Tarmac [summary] =>

    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 Kelly (the coolest guy in compliance) and I take a deep dive into continued ethical, reputational and business imbroglio which Boeing finds itself in around the 737 MAX airliner, as the company finds itself on the ethical tarmac. 

    Some of the highlights include:Where does compliance come into a sales strategy?Who is responsible for entailing safety - the buyer or seller?What does it mean from the compliance perspective is a safety upgrade is optional?How does regulatory capture affect overseas sales?What is the legal analysis around safety and options for safety upgrade on products?Who should regulate the supply side-the government or the market?For more reading check out Matt’s blog post “More on Boeing and Business Ethics

    [audioFile] => https://megaphone-prod.s3.amazonaws.com/podcasts/7a954b1a-d30e-11e8-87cc-2f03e1d4419c/episodes/6dc7dd0c-654a-11e9-88aa-7fa4cdd074f4/stripped_e166ac3245953ae6841394569094bdf0.mp3 [downloadUrl] => http://traffic.megaphone.fm/ACS6137392642.mp3 [size] => 61819297 [duration] => 1545.48 [uid] => ACS6137392642 [originalUrl] => [bitrate] => 320 [samplerate] => 44100 [channelMode] => stereo [vbr] => [audioFileProcessing] => [podcastId] => 7a954b1a-d30e-11e8-87cc-2f03e1d4419c [preCount] => 1 [postCount] => 1 [insertionPoints] => Array ( ) [id3File] => https://megaphone-prod.s3.amazonaws.com/podcasts/7a954b1a-d30e-11e8-87cc-2f03e1d4419c/episodes/6dc7dd0c-654a-11e9-88aa-7fa4cdd074f4/id3/673820a79d6b8624c6e8cb051a800b53.mp3 [id3FileProcessing] => [id3FileSize] => 52597 [parentId] => [guid] => [pubdateTimezone] => Central Time (US & Canada) [originalFilename] => Episode 120.On the Ethical Tarmac - 4_22_19, 4.17 PM.mp3 [preOffset] => 0.0 [postOffset] => 0.0 [spotifyIdentifier] => [expectedAdhash] => [audioFileUpdatedAt] => [draft] => [externalId] => [customFields] => )
  • Compliance into the Weeds is the only weekly podcast which...
  • Array ( [id] => 84678a74-6056-11e9-8f66-bbe3cbac4547 [createdAt] => 2019-04-16T10:47:11.621-04:00 [updatedAt] => 2019-04-16T10:47:32.592-04:00 [title] => Compliance into the Weeds: Episode 119-Rule Making Power Grab [pubdate] => 2019-04-17T01:00:00.000-04:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/84678a74-6056-11e9-8f66-bbe3cbac4547/image/uploads_2F1555425919456-734fpyfeca-11f5ff153b44a2988cf8987b64d5635b_2FInto%2Bthe%2BWeeds.jpg?ixlib=rails-2.1.2 [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 119 [subtitle] => Compliance into the Weeds: Episode 119-Rule Making Power Grab [summary] =>

    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 Kelly (the coolest guy in compliance) and I take a deep dive into recently announced policy by the Trump White House that all regulatory rules and guidance must be submitted to the White House for review before it goes through Congressional review. Some of the highlights include: Some of the highlights include: Ø This is a significant power grab by the White House.Ø What is OIRA and can the White House force all new regs and guidance go through it before Congress considers them? Ø Will regulatory guidance be treated as regulations? What about SEC No-Action Letters? DOJ declinations?. Ø Will regulatory reduction continue under this new policy?Ø This is an example of how political instability negatively impacts businesses.Ø What does this mean for the Democratic nominee to the SEC? For more reading check out Matt’s blog post “Trump Grabs at Rulemaking"

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  • Compliance into the Weeds is the only weekly podcast which...
  • Array ( [id] => c6e8de50-5b2b-11e9-8607-bf89832b70ff [createdAt] => 2019-04-09T20:58:39.029-04:00 [updatedAt] => 2019-04-10T14:19:22.470-04:00 [title] => Compliance into the Weeds: Episode 118-Hotline Metrics [pubdate] => 2019-04-11T01:00:00.000-04:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/c6e8de50-5b2b-11e9-8607-bf89832b70ff/image/uploads_2F1554857697000-jqgrbdxszpa-37f0022f6170e1949f52006f2727c340_2FInto%2Bthe%2BWeeds.jpg?ixlib=rails-2.1.2 [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 118 [subtitle] => Compliance into the Weeds: Episode 118-Hotline Metrics [summary] =>

    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 Kelly (the coolest guy in compliance) and I take a deep dive into recently released NAVEX Global 2019 Ethics & Compliance Hotline Benchmark Report. We consider the details from the report and ask the following question “are you using all the right intake channels to capture a true sense of misconduct and corporate culture at your organization?” Some of the highlights include: Some of the highlights include: Ø What are the intake channels available to your organization?Ø If you are only tracking complaints through a formal system, you may well be missing a wider variety and rich source of information. Ø Moving your intake past simply what the law requires will give you a much better accounting of your organization’s culture.Ø How can you improve your intake?Ø Has closure time for reported increase or decrease?Ø What has been the continued impact of #MeToo? For more reading check out Matt’s blog post “Hotline Metrics-are you missing any?”To read the full NAVEX Global 2019 Ethics & Compliance Hotline Benchmark Report, click here.

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  • Compliance into the Weeds is the only weekly podcast which...
  • Array ( [id] => 5d6ba1c4-5603-11e9-9c5f-b7f886d43f03 [createdAt] => 2019-04-03T07:26:46.358-04:00 [updatedAt] => 2019-04-03T07:27:05.053-04:00 [title] => Compliance into the Weeds: Episode 117-Wells Fargo Update [pubdate] => 2019-04-03T07:03:05.000-04:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/5d6ba1c4-5603-11e9-9c5f-b7f886d43f03/image/uploads_2F1554289396936-1g36239qg8-87b83ec26985c0ef0b83889ae9bf8351_2FInto%2Bthe%2BWeeds.jpg?ixlib=rails-2.1.2 [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 117 [subtitle] => Episode 117-Wells Fargo Update [summary] =>

    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 Kelly (the coolest guy in compliance) and I take a deep dive into resignation of now former Wells Fargo CEO Tim Sloan. We use his departure as a starting point to discuss some of the issues which continue to bedevil the organization some three years after the original fraudulent accounts scandal broke. Some of the highlights include: Ø Another tough Congressional hearing, another Wells Fargo CEO resigns. Ø Why can’t Wells Fargo turn around its culture?Ø Should an outsider (IE., non-long term Wells Fargo employee be brought in to right the ship?Ø What is the difference in high-performing and high-pressure organizations?Ø Why does Wells Fargo continue to resist whistleblower retaliation claims?Ø Does Wells Fargo treat its customers as it treats its employees?Ø What draconian sanctions are the OCC and Fed considering?Ø What can Wells Fargo do to actually change its culture? If you are in Houston on Friday, please plan to attend the South Texas College of Law 2019 Symposium on Compliance in international Corporate Legal Practices – Legal Development and the Talent Needs of the Future. Information and registration details available here.

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  • Compliance into the Weeds is the only weekly podcast which...
  • Array ( [id] => 471065cc-5013-11e9-b35c-ab09685e7a2b [createdAt] => 2019-03-26T18:05:33.822-04:00 [updatedAt] => 2019-03-26T18:05:51.341-04:00 [title] => Compliance into the Weeds: Episode 116-Brexit Risks [pubdate] => 2019-03-27T01:00:00.000-04:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/471065cc-5013-11e9-b35c-ab09685e7a2b/image/uploads_2F1553636717508-yh6a9vie3ee-53469a6163dc2705ffc0965e2d4b6c3e_2FInto%2Bthe%2BWeeds.jpg?ixlib=rails-2.1.2 [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 116 [subtitle] => Compliance into the Weeds: Episode 116-Brexit Risks [summary] =>

    [audioFile] => https://megaphone-prod.s3.amazonaws.com/podcasts/7a954b1a-d30e-11e8-87cc-2f03e1d4419c/episodes/471065cc-5013-11e9-b35c-ab09685e7a2b/stripped_0e370d7b1297c030e80d2a67fd42d0f5.mp3 [downloadUrl] => http://traffic.megaphone.fm/ACS5720851058.mp3 [size] => 47137435 [duration] => 1178.44 [uid] => ACS5720851058 [originalUrl] => [bitrate] => 320 [samplerate] => 44100 [channelMode] => stereo [vbr] => [audioFileProcessing] => [podcastId] => 7a954b1a-d30e-11e8-87cc-2f03e1d4419c [preCount] => 1 [postCount] => 1 [insertionPoints] => Array ( ) [id3File] => https://megaphone-prod.s3.amazonaws.com/podcasts/7a954b1a-d30e-11e8-87cc-2f03e1d4419c/episodes/471065cc-5013-11e9-b35c-ab09685e7a2b/id3/ddbffdc2760bc9485839871b5a97bad4.mp3 [id3FileProcessing] => [id3FileSize] => 50297 [parentId] => [guid] => [pubdateTimezone] => Central Time (US & Canada) [originalFilename] => Episode 116.Brexit - 3_26_19, 4.55 PM.mp3 [preOffset] => 0.0 [postOffset] => 0.0 [spotifyIdentifier] => [expectedAdhash] => [audioFileUpdatedAt] => [draft] => [externalId] => [customFields] => )
  • Array ( [id] => 56329aa2-49bf-11e9-9536-cfb6883f8fce [createdAt] => 2019-03-18T16:49:34.510-04:00 [updatedAt] => 2019-03-20T06:43:38.424-04:00 [title] => Compliance into the Weeds: Episode 115-Regulatory Capture and Regulatory Approval at the FAA [pubdate] => 2019-03-20T06:38:46.000-04:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/56329aa2-49bf-11e9-9536-cfb6883f8fce/image/uploads_2F1552942139095-hnht21526oe-fc11790d6e1e100f99436b9bbb111d56_2FInto%2Bthe%2BWeeds.jpg?ixlib=rails-2.1.2 [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 115 [subtitle] => Compliance into the Weeds: Episode 115-Regulatory Capture and Regulatory Approval at the FAA [summary] =>

    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 Kelly (the coolest guy in compliance) and I take a deep dive into the circumstances around the FAA approval process regarding the Boeing 737 MAX in the context of the crash in Ethiopia. Some of the highlights include: Ø What was the process by which the plane was approved by the FAA?Ø How did the Boeing CEO persuade President Trump to prevent the FAA from grounding the Boeing fleet during the investigation process?Ø Why did the Ethiopian government send the plane’s black box to France, rather than the US, for analysis?Ø How did the US lose the world’s leadership in aviation safety?Ø Where was Boeing’s compliance function during all of this?Ø What are the lessons for the compliance practitioner? For additional reading, see articles discussed in this podcast: 1.    In the Seattle Times, Flawed analysis, failed oversight: How Boeing, FAA certified the suspect 737 MAX flight control system, by Dominick Gates2.    In the Wall Street Journal, Prosecutors, Transportation Department Scrutinize Development of Boeing’s 737 MAXby Andrew Tangel, Andy Pasztor and Robert Wall3.     In Slate.com, Where Did Boeing Go Wrongby Jeff Wise.

    [audioFile] => https://megaphone-prod.s3.amazonaws.com/podcasts/7a954b1a-d30e-11e8-87cc-2f03e1d4419c/episodes/56329aa2-49bf-11e9-9536-cfb6883f8fce/stripped_bf8e522490e25cca02573e1220c352ee.mp3 [downloadUrl] => http://traffic.megaphone.fm/ACS9758092714.mp3 [size] => 62711640 [duration] => 1567.79 [uid] => ACS9758092714 [originalUrl] => [bitrate] => 320 [samplerate] => 44100 [channelMode] => stereo [vbr] => [audioFileProcessing] => [podcastId] => 7a954b1a-d30e-11e8-87cc-2f03e1d4419c [preCount] => 1 [postCount] => 1 [insertionPoints] => Array ( ) [id3File] => https://megaphone-prod.s3.amazonaws.com/podcasts/7a954b1a-d30e-11e8-87cc-2f03e1d4419c/episodes/56329aa2-49bf-11e9-9536-cfb6883f8fce/id3/52a1b4fad1e4d04ebfe7872f8bdd791b.mp3 [id3FileProcessing] => [id3FileSize] => 54097 [parentId] => [guid] => [pubdateTimezone] => Central Time (US & Canada) [originalFilename] => Episode 115.Regulatory Capture - 3_20_19, 5.38 AM.mp3 [preOffset] => 0.0 [postOffset] => 0.0 [spotifyIdentifier] => [expectedAdhash] => [audioFileUpdatedAt] => [draft] => [externalId] => [customFields] => )
  • Compliance into the Weeds is the only weekly podcast which...
  • Array ( [id] => d5fe3f4a-44e0-11e9-8daa-7745d4065341 [createdAt] => 2019-03-12T12:06:46.490-04:00 [updatedAt] => 2019-03-12T12:07:03.572-04:00 [title] => Compliance into the Weeds: Episode 114-Lessons on Internal Control Overrides [pubdate] => 2019-03-13T01:00:00.000-04:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/d5fe3f4a-44e0-11e9-8daa-7745d4065341/image/uploads_2F1552406668788-eql0spm7lon-43ebf4846350884c3941b6eaa35ba734_2FInto%2Bthe%2BWeeds.jpg?ixlib=rails-2.1.2 [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 114 [subtitle] => Compliance into the Weeds: Episode 114-Lessons on Internal Control Overrides [summary] =>

    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 Kelly (the coolest guy in compliance) and I take a deep dive into the recent Bankrate DOJ enforcement action in which the company garnered a NPA and for which it paid a total penalty of $28.5 million. We feature a discussion of internal control overrides. Some of the highlights include: Ø What are the background facts of the matter?Ø Why should you never name a slush fund “Ed’s Cushion?Ø What is the difference between management over-ride of internal controls and abuse of management control override?Ø Why is robust accounting required when there is a single source of data?Ø What is the straight line from internal controls and accounting to the Board and the audit committee?Ø Where was the Audit Committee? For additional reading see Matt’s blog post Bankrate pays $28.5 million in fraud caseon Radical Compliance.

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  • Compliance into the Weeds is the only weekly podcast which...
  • Array ( [id] => 4e60ace0-3f67-11e9-9e65-4f914230d137 [createdAt] => 2019-03-05T11:54:14.055-05:00 [updatedAt] => 2019-03-05T11:54:30.180-05:00 [title] => Compliance into the Weeds: Episode 113-Corporate Governance Nightmare [pubdate] => 2019-03-06T01:00:00.000-05:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/4e60ace0-3f67-11e9-9e65-4f914230d137/image/uploads_2F1551804597789-di1fp3gh3i-ec2873f34f88b022716df07ef980e464_2FInto%2Bthe%2BWeeds.jpg?ixlib=rails-2.1.2 [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 113 [subtitle] => Compliance into the Weeds: Episode 113-Corporate Governance Nightmare [summary] =>

    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 Kelly (the coolest guy in compliance) and I take a deep dive into horrific corporate conduct engaged in by Hacienda Healthcare in Arizona over the past few months. Our discussion provides insights into failures at the Board oversight level, corporate governance, CEO, senior management and CCO position.  Some of the highlights include: Ø What are the background facts of the matter?Ø How could the facility allow the rape of an incapacitated patient who is in a permanent vegetative state?Ø Why did the professional investigator brought into to investigate the crime resign so noisily?Ø Why was there such a complete total and utter failure by the Board on oversight?Ø What, if any, are the potential criminal charges which might be filed?Ø Where was compliance? For additional reading see Matt’s blog post Governance Nightmare in Arizonaon Radical Compliance.

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  • Compliance into the Weeds is the only weekly podcast which...
  • Array ( [id] => 9923b83e-3a13-11e9-8216-1feab042a129 [createdAt] => 2019-02-26T17:12:25.939-05:00 [updatedAt] => 2019-02-26T17:13:22.978-05:00 [title] => Compliance into the Weeds: Episode 112-Robert Kraft and Compliance [pubdate] => 2019-02-27T01:00:00.000-05:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/9923b83e-3a13-11e9-8216-1feab042a129/image/uploads_2F1551219011891-jp7654dvqj-96fdb6425a5fd3693bbe8f3bf79e5ddf_2FInto%2Bthe%2BWeeds.jpg?ixlib=rails-2.1.2 [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 82 [subtitle] => Episode 112-Robert Kraft and Compliance [summary] =>

    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 Kelly (the coolest guy in compliance) and I take a deep dive into recent imbroglio involving surrounding New England Patriots owner Robert Kraft who has been charged with solicitation of prostitution, what it means for both Kraft and the NFL and the compliance response.   Some of the highlights include: Ø What are the background facts of the matter?Ø What has been the response of the NFL? Will it investigate or leave it to the public authorities?Ø What are other criminal charges involving NFL owners and what was the NFL response?Ø What are the key employee/CEO risks for an organization?Ø How much private conduct is really public in this age of social media?Ø Why is compliance the only response? For additional reading see Tom’s blog post Robert Kraft, the NFL and Complianceon the FCPA Compliance and Ethics Blog.

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  • Compliance into the Weeds is the only weekly podcast which...
  • Array ( [id] => b52d9f8e-2f3e-11e9-a3ae-438de60e3f93 [createdAt] => 2019-02-12T22:23:18.555-05:00 [updatedAt] => 2019-02-12T22:24:35.685-05:00 [title] => Compliance into the Weeds: Episode 111- What is supply chain risk? [pubdate] => 2019-02-13T01:00:00.000-05:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/b52d9f8e-2f3e-11e9-a3ae-438de60e3f93/image/uploads_2F1550028002530-hkb3j63w90v-d88cfee80d5fda4fb3a14ec8ebd0d01c_2FInto%2Bthe%2BWeeds.jpg?ixlib=rails-2.1.2 [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => [subtitle] => Episode 111- What is supply chain risk? [summary] =>

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  • Array ( [id] => 4e794230-2975-11e9-9939-47f0d852facc [createdAt] => 2019-02-05T13:39:01.591-05:00 [updatedAt] => 2019-02-05T13:39:53.042-05:00 [title] => Compliance into the Weeds: Episode 110- the Ralph Northam edition [pubdate] => 2019-02-06T01:00:00.000-05:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/4e794230-2975-11e9-9939-47f0d852facc/image/uploads_2F1549391745633-gruti80g2m7-8f9b9bc6ceb68d606b61b6d5906c1165_2FInto%2Bthe%2BWeeds.jpg?ixlib=rails-2.1.2 [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 110 [subtitle] => Compliance into the Weeds: Episode 110- the Ralph Northam edition [summary] =>

    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 Kelly (the coolest guy in compliance) and I take a deep dive into recent imbroglio involving (at least as of now) current Governor of Virginia, Ralph Northam and the pictures involving Northam in blackface and KKK robes.    Some of the highlights include: Ø What is ethical leadership?Ø Why is Northam following the Trump playbook?Ø How and why employees take their cues around ethics from their leaders?Ø Why are employees looking to work for companies with a culture of accountability?Ø Why should the CCO have an ethical role in an organization? For additional reading see Matt’s blog post Northam and Ethical Accountabilityin Radical Compliance.  Share Your Compliance Expertise and Help Those in Need!We need your expertise on ethics & compliance programs! If you’re involved in managing employee policies & procedures, a hotline/incident management program, training initiatives or third party risk management, please share your thoughts on your program effectiveness, success measurements, and key activities and goals for this year by taking part in NAVEX Global’s 2019 Future of Compliance Report survey.Click here to complete the survey.For every complete, $10 (USD) will be donated on your behalf to the charity of your choosing from the following charities: UNICEF, Operation Smile, St. Jude Children’s Hospital, Humane Society, Wounded Warrior Project,Médecins Sans Frontières, or Rainbow Trust Children’s Charity. Also, as a thank you for your participation in this annual study, you’ll get access to this valuable benchmark data to create a more effective compliance program.You can also copy and paste the URL below into your internet browser:

    https://na1se.voxco.com/SE/?st=4P4BV59nKuYZVVwz2mHGZPBTRrG4NjahAP%2FlgrTzTYE%3D&urlimport=1&questlist=source&source=4 COMMITMENT TO ANONYMITY

    All responses are confidential and will be reported only in aggregate form. Individual data will NEVER be shared with any other party (privacy policy).

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  • Compliance into the Weeds is the only weekly podcast which...
  • Array ( [id] => fd7950a8-23d1-11e9-a5d0-538d8cea162c [createdAt] => 2019-01-29T09:27:21.909-05:00 [updatedAt] => 2019-01-29T09:28:15.970-05:00 [title] => Compliance into the Weeds: Episode 109- Does the NFL Even Care? [pubdate] => 2019-01-30T01:00:00.000-05:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/fd7950a8-23d1-11e9-a5d0-538d8cea162c/image/uploads_2F1548772004763-tp1cv1w7b3n-84ffe023209cd84d5b899b9bf0e254c5_2FInto%2Bthe%2BWeeds.jpg?ixlib=rails-2.1.2 [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 109 [subtitle] => Episode 109- Does the NFL Even Care? [summary] =>

    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 Kelly (the coolest guy in compliance) and I take a deep dive into recent blown call in the Saints-Rams NFC. We consider the (non) response from the NFL under the rubric of internal controls.   Some of the highlights include: Ø What is risk and how should it be considered?Ø Who are the stakeholders for professional football? Who are the stakeholders for your organization?Ø Does your risk increase the closer you get to the final goal? (IE., playing for the Super Bowl)Ø If a control failure can lead to a material adverse event, shouldn’t you have a compensating control?Ø Should an organization like the NFL even care about getting it right? For additional reading see Matt’s blog post Of Blown Calls and Internal Controlin Radical Compliance.  Share Your Compliance Expertise and Help Those in Need!We need your expertise on ethics & compliance programs! If you’re involved in managing employee policies & procedures, a hotline/incident management program, training initiatives or third party risk management, please share your thoughts on your program effectiveness, success measurements, and key activities and goals for this year by taking part in NAVEX Global’s 2019 Future of Compliance Report survey.Click here to complete the survey.For every complete, $10 (USD) will be donated on your behalf to the charity of your choosing from the following charities: UNICEF, Operation Smile, St. Jude Children’s Hospital, Humane Society, Wounded Warrior Project,Médecins Sans Frontières, or Rainbow Trust Children’s Charity. Also, as a thank you for your participation in this annual study, you’ll get access to this valuable benchmark data to create a more effective compliance program.

    You can also copy and paste the URL below into your internet browser:

    https://na1se.voxco.com/SE/?st=4P4BV59nKuYZVVwz2mHGZPBTRrG4NjahAP%2FlgrTzTYE%3D&urlimport=1&questlist=source&source=4 COMMITMENT TO ANONYMITY

    All responses are confidential and will be reported only in aggregate form. Individual data will NEVER be shared with any other party (privacy policy).

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  • Compliance into the Weeds is the only weekly podcast which...
  • Array ( [id] => 2bcc6bd2-1e7a-11e9-8f5a-437e6b468dbb [createdAt] => 2019-01-22T14:16:08.105-05:00 [updatedAt] => 2019-01-22T14:17:03.280-05:00 [title] => Compliance into the Weeds: Episode 108- Distributors and Compliance [pubdate] => 2019-01-23T01:00:00.000-05:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/2bcc6bd2-1e7a-11e9-8f5a-437e6b468dbb/image/uploads_2F1548184393002-hdi849nu3rs-9e304b3bf2552c052e7357d232d44714_2FInto%2Bthe%2BWeeds.jpg?ixlib=rails-2.1.2 [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 108 [subtitle] => Episode 108- Distributors and Compliance [summary] =>

    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 Kelly (the coolest guy in compliance) and I take a deep dive into some of the difficulties around distributors in anti-corruption compliance.   Some of the highlights include: Ø The recent Polycom FCPA enforcement action highlighted several FCPA enforcement actions from 2018 involving distributors.Ø How do discounts, coupons, rebates, and sales devices circulate among your company, distributors, and end customers? Distributors present these and other issues separate from sales agents and employees.Ø What do the Sanofi and Stryker enforcement actions tell us around compliance?Ø Why does Document Document Document continue to be a mantra for anti-corruption compliance?   For additional reading see Matt’s blog posts Distributors, FCPA, and Internal Controls — Lessons for Anti-Bribery & Corruption Programsin Navex Global’s Ethics and Compliance Matters For more on the Polycom FCPA enforcement action, see Tom’s blog post, “Follow the Money Through Distributors” 

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  • Compliance into the Weeds is the only weekly podcast which...
  • Array ( [id] => 4d0d0430-1986-11e9-bec7-e3e372cad989 [createdAt] => 2019-01-16T07:00:22.043-05:00 [updatedAt] => 2019-01-16T07:01:41.563-05:00 [title] => Compliance into the Weeds: Episode 107- Management Review Controls [pubdate] => 2019-01-16T06:55:55.000-05:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/4d0d0430-1986-11e9-bec7-e3e372cad989/image/uploads_2F1547639788240-byf48es01o-bba109f1a2c340f9d253db72574f5955_2FInto%2Bthe%2BWeeds.jpg?ixlib=rails-2.1.2 [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 107 [subtitle] => Episode 107- Management Review Controls [summary] =>

    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 Kelly (the coolest guy in compliance) and I take a deep dive into management review controls.   Some of the highlights include: Ø Will the PCAOB up its game in this area?Ø When will the SEC provide updated guidance on the issue? Ø Will it be up to COSO to formulate an appropriate new standard? Ø How does all of this apply to the compliance professional?  For additional reading see Matt’s blog posts Deloitte Inspection Report ReleasedandTalking Compliance Analytics at AB-InBevin Radical Compliance

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  • Compliance into the Weeds is the only weekly podcast which...
  • Array ( [id] => 2c3376cc-13aa-11e9-a62e-779291321bad [createdAt] => 2019-01-08T20:02:01.834-05:00 [updatedAt] => 2019-01-08T20:04:23.589-05:00 [title] => Compliance into the Weeds: Episode 106- the Nine for 2019 Edition [pubdate] => 2019-01-09T01:00:00.000-05:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/2c3376cc-13aa-11e9-a62e-779291321bad/image/uploads_2F1546995266483-479jr9fj448-f4955d7e63a6ffc5c5f2c9582d77e9be_2FInto%2Bthe%2BWeeds.jpg?ixlib=rails-2.1.2 [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 106 [subtitle] => Episode 106- the Nine for 2019 Edition [summary] =>

    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 Kelly (the coolest guy in compliance) and I take a deep dive into a recent blog post by Matt on his top nine story lines for 2019. We slice and dice them and try to consider how they will impact the compliance profession going forward.   Some of the highlights include: Ø A US data privacy law and GDPR enforcement.Ø What do restive employees have to do with Adam Smith? Ø Private equity sees money to be made in the GRC vendor space. What will it mean for compliance? Ø Forgiveness seems to be the byword for the DOJ in 2018 FCPA enforcement. Will it encourage more self-disclosure?   For additional reading see Matt’s blog post “Nine Compliance Issues for 2019” in Radical Compliance

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  • Compliance into the Weeds is the only weekly podcast which...
  • Array ( [id] => cda1e122-0e93-11e9-ac51-7fedb9e9d48c [createdAt] => 2019-01-02T08:39:18.433-05:00 [updatedAt] => 2019-01-02T08:40:16.136-05:00 [title] => Compliance into the Weeds: Episode 105- the Polycom FCPA Enforcement Action [pubdate] => 2019-01-02T08:34:57.000-05:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/cda1e122-0e93-11e9-ac51-7fedb9e9d48c/image/uploads_2F1546436131393-0g0k6hb69ww-aaf93f886b3662b31fb9b9bca76517b3_2FInto%2Bthe%2BWeeds.jpg?ixlib=rails-2.1.2 [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 105 [subtitle] => The Polycom FCPA Enforcement Action [summary] =>

    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 Kelly (the coolest guy in compliance) and I take a deep dive into the recent announced Polycom Inc. FCPA enforcement action. We both blogged on it and we bring two difference perspectives to this matter. I take a deep dive into the nuts and bolts lessons learned for the compliance practitioner. Matt takes a step back and considers the larger picture of corporate culture, corrupt CEOs and how these can lead to the destruction of the company.   Some of the highlights include: Ø There were two forces at work which amplified the negative actions and effects.Ø How the CEO’s corrupt nature permeated the entire organization. Ø Oversight means more than simply asking questions and accepting the proffered answers. Ø Data analytics are critical for a best practices compliance program going forward.  For additional reading see Matt’s blog post “Many Lessons in Polycom FCPA Case” in Radical Compliance See also Tom’s blog “Following the Money Through Distributors” in the FCPA Compliance and Ethics Blog

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  • Compliance into the Weeds is the only weekly podcast which...
  • Array ( [id] => 20f836ae-031e-11e9-813e-ab2b91388b43 [createdAt] => 2018-12-18T18:39:14.844-05:00 [updatedAt] => 2018-12-18T18:39:26.506-05:00 [title] => Compliance into the Weeds: Episode 104- Culture and Compliance Structure Failures at CBS [pubdate] => 2018-12-19T01:00:00.000-05:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/20f836ae-031e-11e9-813e-ab2b91388b43/image/uploads_2F1545176146195-nptqk1ozsgj-f4fe26d1abe060449d6a13d205b1f228_2FInto%2Bthe%2BWeeds.jpg?ixlib=rails-2.1.2 [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 104 [subtitle] => Culture and Compliance Structure Failures at CBS [summary] =>

    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 Kelly (the coolest guy in compliance) and I take a deep dive into the recent report in the New York Timesabout the settlement of CBS with the actor Eliza Dushku over allegations of retaliation for reporting sexual harassment by CBS series star in the TV drama Bull, Michael Weatherly. The entire episode exposed the culture at CBS and the failure in the structure of the company’s compliance program.  After reporting unwanted and/or inappropriate behavior, Dushku’s character was literally written out of the series. She went to mediation over the retaliation for her internal reporting. In a formal mediation process, CBS’s attempted to assassinate her character but the evidence presented backfired on CBS as it proved the harassment. Worse yet the character assassination attempts were made by a CBS lawyer who is also the company’s Chief Compliance Officer.  Some of the highlights include: Ø There were two forces at work which amplified the negative actions and effects.Ø The interest of CBS legal was to attack the accuser and settle the lawsuit. Ø The interest of a CCO should have been was to prevent, detect and remediate the issue so that it would create a speak up culture. Ø When you subordinate an ethical culture to a legal position, it works to destroy employee trust and morale.  For additional reading see Matt’s blog post “CBS Compliance, Culture Under Fire” in Radical Compliance

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  • Compliance into the Weeds is the only weekly podcast which...
  • Array ( [id] => b92a0094-fd86-11e8-b990-d714884a140e [createdAt] => 2018-12-11T15:52:50.866-05:00 [updatedAt] => 2018-12-11T15:53:50.822-05:00 [title] => Compliance into the Weeds: Episode 103- Conspiracy or Coincidence? [pubdate] => 2018-12-12T01:00:00.000-05:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/b92a0094-fd86-11e8-b990-d714884a140e/image/uploads_2F1544561499599-b9jooxsi5fn-8e6b66b43faec0477d5faef685f96190_2FInto%2Bthe%2BWeeds.jpg?ixlib=rails-2.1.2 [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 103 [subtitle] => Conspiracy or Coincidence? [summary] =>

    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 Kelly (the coolest guy in compliance) and I take a deep dive into two recent announcements by SEC Chairman Jay Clayton and PCAOB Chairman Will Duhnke that their agencies will turn a more critical eye towards Chinese companies and their lack of transparency in the audit process and in financial reporting. We introduce two characters, Conspiracy Tom and Conspiracy Matt to evaluate whether these announcements, made the same week as the arrest of the Chinese CFO of Huawei in Canada,   are a part of the larger trade war the Trump Administration is waging against China (Conspiracy Tom) or just coincidence (Matt).  For additional reading see Matt’s blog post “US Regulators Warn on China” in Radical Compliance

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  • Compliance into the Weeds is the only weekly podcast which...
  • Array ( [id] => a94dd04c-f8e5-11e8-b776-cfe506a231ee [createdAt] => 2018-12-05T18:29:50.635-05:00 [updatedAt] => 2018-12-05T18:30:04.560-05:00 [title] => Compliance into the Weeds: Episode 102- a Rumination on Substantial Involvement [pubdate] => 2018-12-06T01:00:00.000-05:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/a94dd04c-f8e5-11e8-b776-cfe506a231ee/image/uploads_2F1544052558245-rxrk0r6oque-e297cc026cf3eed1b6a79460a5333827_2FInto%2Bthe%2BWeeds.jpg?ixlib=rails-2.1.2 [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 102 [subtitle] => [summary] =>

    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 Kelly and I take a deep dive Michael Cohen’s guilty plea and DAG Rod Rosenstein’s ‘substantially responsible” amending of the Yates Memo. Since Cohen said in the plea agreement that he only lied to Congress to support what he believed Trump wanted; not at Trump’s direction. It gives us the opportunity to explore a gray area about accountability for senior execs complicit in misconduct or to use Rosenstein's language have 'substantial involvement' but not substantially responsible for it. It provides several new lessons learned for the compliance professional (and some old ones as well). 

    Some of the highlights from this podcast are:

    What does ‘substantially involved in or responsible for the misconduct’ actually mean?What does ‘substantially involved in or responsible for the misconduct’ actually mean?If the voting public, and employees; don’t see justice served, for legal distinctions they may neither appreciate nor care about, that’s going to blunt their interest in talk about ethical conduct; will it will corrode the trust they have in organizations?What if the senior executives are complicit in the misconduct by fostering a poor control environment; and yet they personally were not substantially involved in the misconduct?Will this drive up the importance of strong governance? For example, where were the auditors, inspecting the control environment? Or would this lead to shareholder lawsuits against the board?How would the Justice Department apply the Rosenstein policy to those circumstances?What were the key lessons learned for the compliance practitioner?

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  • Compliance into the Weeds is the only weekly podcast which...
  • Array ( [id] => cc207170-f8e9-11e8-aa25-df7900792836 [createdAt] => 2018-12-05T18:59:27.045-05:00 [updatedAt] => 2018-12-05T18:59:36.992-05:00 [title] => Compliance into the Weeds: Episode 100- Michigan State University Reorganizes Compliance [pubdate] => 2018-12-05T18:57:31.000-05:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/cc207170-f8e9-11e8-aa25-df7900792836/image/uploads_2F1544054319315-uugsey0yqt-0b5d71ea3ae268478e03682898d9eb79_2FInto%2Bthe%2BWeeds.jpg?ixlib=rails-2.1.2 [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 100 [subtitle] => MSU Reorganizes Compliance [summary] =>

    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 Kelly and I 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 Kelly and I take a deep dive into the recently announced reorganization of the Michigan State University compliance function, rolling it into the newly created Office of Audit, Risk, and Compliance.

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  • Compliance into the Weeds is the only weekly podcast which...
  • Array ( [id] => c9b207c6-f8e6-11e8-ae74-6f2cc9da534a [createdAt] => 2018-12-05T18:37:54.474-05:00 [updatedAt] => 2018-12-05T18:38:04.654-05:00 [title] => Compliance into the Weeds: Episode 101- the Vantage Drilling FCPA Enforcement Action [pubdate] => 2018-12-05T18:36:22.000-05:00 [author] => [imageFile] => https://megaphone.imgix.net/podcasts/c9b207c6-f8e6-11e8-ae74-6f2cc9da534a/image/uploads_2F1544053016578-fcc24qx61bl-d3a448467b8f163dd088843dd24ad713_2FInto%2Bthe%2BWeeds.jpg?ixlib=rails-2.1.2 [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 101 [subtitle] => The Vantage Drilling FCPA Enforcement Action [summary] =>

    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 Kelly and I take a deep dive into the recent Vantage Drilling FCPA enforcement action. It is a highly unusual enforcement action with some very different facts from the standard FCPA case. It provides some new lessons learned for the compliance professional (and some old ones as well).

    Some of the highlights from this podcast are:

    What were the unusual facts of this matter?What is the role of a Board member who is also a supplier to a company?What were the key lessons learned for the compliance practitioner?

    For more see Matt’s blog post SEC Dings Vantage  $5M on FCPA Issues and see Tom’s blog post, The Vantage Drilling FCPA Enforcement Action.

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  • Compliance into the Weeds is the only weekly podcast which...
  • Array ( [id] => a797f1c2-d3a8-11e8-8aad-3f04d97e1ae3 [createdAt] => 2018-10-17T12:01:27.933-04:00 [updatedAt] => 2018-10-19T10:09:55.538-04:00 [title] => Compliance into the Weeds: Episode 98 [pubdate] => 2018-10-17T10:48:00.000-04:00 [author] => [imageFile] => [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 98 [subtitle] => The Benczkowski Memo [summary] =>

    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 Kelly and I take a deep dive into the Benczkowski  Memo and what it means for not only the monitor selection process but for compliance officers who may be in front of the Justice Department in a FCPA investigation.   

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  • Compliance into the Weeds is the only weekly podcast which...
  • Array ( [id] => f26551b8-d3a8-11e8-8d97-7f647679ab35 [createdAt] => 2018-10-10T13:01:21.906-04:00 [updatedAt] => 2018-10-19T10:12:01.026-04:00 [title] => Compliance into the Weeds: Episode 97 [pubdate] => 2018-10-10T12:00:00.000-04:00 [author] => [imageFile] => [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 97 [subtitle] => Elon Musk, Compliance and Controls [summary] =>

    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 Kelly and I take a deep dive into the continuing saga of Elon Musk, the SEC settlement, corporate governance at Tesla and his ongoing twitter feed.   

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  • Compliance into the Weeds is the only weekly podcast which...
  • Array ( [id] => 8bbffaee-d3a8-11e8-bb6e-e792b1e11cdb [createdAt] => 2018-10-03T13:01:30.270-04:00 [updatedAt] => 2018-10-19T10:09:09.047-04:00 [title] => Compliance into the Weeds: Episode 96 [pubdate] => 2018-10-03T12:00:00.000-04:00 [author] => [imageFile] => [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 96 [subtitle] => Non-GAAP Reporting [summary] =>

    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 Kelly and I take a very deep dive into the increased prevalence of non-GAAP financial reporting.    

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  • Compliance into the Weeds is the only weekly podcast which...
  • Array ( [id] => 8fc88478-d3ab-11e8-ae8d-6b6b7d21f445 [createdAt] => 2018-10-01T16:35:57.269-04:00 [updatedAt] => 2018-10-19T10:30:44.133-04:00 [title] => Compliance into the Weeds: Episode 95 [pubdate] => 2018-09-19T12:00:00.000-04:00 [author] => [imageFile] => [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 95 [subtitle] => Kavanaugh and Compliance [summary] =>

    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 Kelly and I take a very deep dive into the process surrounding the allegations made against Supreme Court nominee Brett Kavanaugh by Christina Ford. We consider these allegations from the compliance perspective 

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  • Compliance into the Weeds is the only weekly podcast which...
  • Array ( [id] => c20a446c-d3ab-11e8-8cac-c3f4276a4766 [createdAt] => 2018-10-01T16:36:04.494-04:00 [updatedAt] => 2018-10-19T10:32:08.395-04:00 [title] => Compliance into the Weeds: Episode 94 [pubdate] => 2018-09-12T06:54:00.000-04:00 [author] => [imageFile] => [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 94 [subtitle] => $54MM SEC Whistleblower Awards [summary] =>

    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 Kelly and I take a very deep dive into the recent SEC whistleblower award of $54MM to two separate individuals.   

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  • Compliance into the Weeds is the only weekly podcast which...
  • Array ( [id] => aec8c77a-d3ab-11e8-a831-0300ed4a1966 [createdAt] => 2018-10-01T16:36:28.926-04:00 [updatedAt] => 2018-10-19T10:31:36.102-04:00 [title] => Compliance into the Weeds: Quarterly Reporting Discussion [pubdate] => 2018-08-18T10:25:00.000-04:00 [author] => [imageFile] => [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => [subtitle] => Quarterly Reporting Discussion [summary] =>

    In this episode, Matt Kelly and I take a deep dive into a compliance related topic, literally going into the weeds to more fully explore a subject. In this episode, Matt Kelly and I take a very deep dive the implications from President Trump’s tweet on Friday, August 17th about quarterly financial reporting by public companies.

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  • In this episode, Matt Kelly and I take a deep...
  • Array ( [id] => db8eaff4-d3ab-11e8-aaf6-cf1e71081499 [createdAt] => 2018-10-01T16:36:35.909-04:00 [updatedAt] => 2018-10-19T10:32:51.197-04:00 [title] => Compliance into the Weeds: Episode 90 [pubdate] => 2018-07-25T12:00:00.000-04:00 [author] => [imageFile] => [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 90 [subtitle] => Salesforce, the Trump Risk & Compliance [summary] =>

    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 Kelly and I take a deep dive into the imbroglio Salesforce found itself in when it came out the company did work for ICE.

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  • Compliance into the Weeds is the only weekly podcast which...
  • Array ( [id] => efd13e96-d3ab-11e8-aaf6-8b126512f302 [createdAt] => 2018-10-01T16:36:45.472-04:00 [updatedAt] => 2018-10-19T10:33:25.177-04:00 [title] => Compliance into the Weeds: Episode 88 [pubdate] => 2018-07-05T12:00:00.000-04:00 [author] => [imageFile] => [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 88 [subtitle] => Proposed SEC Changes to Whistleblower Program [summary] =>

    In this episode Matt Kelly and I unpack the proposed changes to the SEC Whistleblower program. 

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  • In this episode Matt Kelly and I unpack the proposed...
  • Array ( [id] => b96b0c46-d3de-11e8-a004-cfec3c3362c7 [createdAt] => 2018-10-01T16:36:46.783-04:00 [updatedAt] => 2018-10-19T16:36:58.511-04:00 [title] => Compliance into the Weeds: Episode 87 [pubdate] => 2018-06-28T12:00:00.000-04:00 [author] => [imageFile] => [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 87 [subtitle] => Trade, Trump and Compliance [summary] =>

    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 Kelly and I take a deep dive back into the impact of the Trump Administration’s attack on friend and foe alike with tariffs, trade wars, embargoes and sanctions.  This is also our first live podcast from Matt’s stomping grounds in Cambridge, MA.

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  • Compliance into the Weeds is the only weekly podcast which...
  • Array ( [id] => caa89398-d3de-11e8-924f-af0f4e7b030e [createdAt] => 2018-10-04T16:02:26.241-04:00 [updatedAt] => 2018-10-19T16:37:27.192-04:00 [title] => Compliance into the Weeds: Episode 86 [pubdate] => 2018-06-20T12:00:00.000-04:00 [author] => [imageFile] => [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 86 [subtitle] => The ZTE Monitorship [summary] =>

    In this episode, Matt Kelly and I take a deep dive back into the issue of the ZTE monitorship announced recently as a part of the settlement with the Department of Commerce on the death penalty sanctions levied on the company in April.  

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  • In this episode, Matt Kelly and I take a deep...
  • Array ( [id] => dbef0c22-d3de-11e8-924f-cb7032741514 [createdAt] => 2018-10-04T16:02:28.241-04:00 [updatedAt] => 2018-10-19T16:37:56.221-04:00 [title] => Compliance into the Weeds-Episode 85 [pubdate] => 2018-06-13T12:00:00.000-04:00 [author] => [imageFile] => [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 85 [subtitle] => Professor Coffee on the Dearth of IPOs [summary] =>

    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 Kelly and I take a deep dive back into the issue of the decline in Initial Public Offerings (IPOs).

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  • Compliance into the Weeds is the only weekly podcast which...
  • Array ( [id] => eae9ec06-d3de-11e8-9cff-63344c1b35a2 [createdAt] => 2018-10-04T16:02:29.718-04:00 [updatedAt] => 2018-10-19T16:38:21.311-04:00 [title] => Compliance into the Weeds-Episode 84 [pubdate] => 2018-06-06T12:00:00.000-04:00 [author] => [imageFile] => [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 84 [subtitle] => Two Factor Authentication & Compliance [summary] =>

    In this episode, Matt Kelly and I take a deep dive into the issue of two factor authentication of cloud-based solutions and the intersection with compliance.

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  • In this episode, Matt Kelly and I take a deep...
  • Array ( [id] => febc6ba0-d3de-11e8-982b-3f9541efe855 [createdAt] => 2018-10-04T16:02:33.673-04:00 [updatedAt] => 2018-10-19T16:38:54.576-04:00 [title] => Compliance into the Weeds-Episode 83 [pubdate] => 2018-05-31T12:00:00.000-04:00 [author] => [imageFile] => [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 83 [subtitle] => Roseanne and Compliance [summary] =>

    In this episode, Matt Kelly and I take a deep dive into the travails of Roseanne, her television network ABC and compliance over her vile and racist tweet comparing Obama advisor Valerie Jarrad to an ape. We consider the corporate response in light of corporate ethics, values and priorities.

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  • In this episode, Matt Kelly and I take a deep...
  • Array ( [id] => 0fd0e880-d3df-11e8-ab9a-9b1d1357b771 [createdAt] => 2018-10-04T16:02:42.672-04:00 [updatedAt] => 2018-10-19T16:39:23.282-04:00 [title] => Compliance into the Weeds-Episode 82 [pubdate] => 2018-05-16T12:00:00.000-04:00 [author] => [imageFile] => [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 82 [subtitle] => Cohen Redux [summary] =>

    In this episode, Matt Kelly and I take a continued deep dive into the travails of Michael Cohen, AT&T and Novartis for their hire of Cohen’s company Essential Consulting. After last week’s emergency podcast on the topic, we take a more measured discussion of the latest series of allegations. We discuss the PR disaster which has beset both AT&T and Novartis and where things may be headed. 

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  • In this episode, Matt Kelly and I take a continued...
  • Array ( [id] => 1a1724a0-d3e2-11e8-a4ce-43338830e1e8 [createdAt] => 2018-10-04T16:02:44.062-04:00 [updatedAt] => 2018-10-19T17:01:09.044-04:00 [title] => Compliance into the Weeds-Episode 81 [pubdate] => 2018-05-11T08:19:00.000-04:00 [author] => [imageFile] => [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 81 [subtitle] => Michael Cohen Risk is now a Thing [summary] =>

    In this first emergency Compliance into the Weeds podcast, Matt Kelly and myself review the information that Michael Cohen was paid by several US and international multi-national organizations for insight on and influence upon the Trump Administration. We consider it from the compliance angle and what steps a company is going to take if it hires the President’s personal lawyer as its paid lobbyist. 

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  • In this first emergency Compliance into the Weeds podcast, Matt...
  • Array ( [id] => 34e84f52-d3e2-11e8-81a0-af4f560dfe50 [createdAt] => 2018-10-04T16:02:53.894-04:00 [updatedAt] => 2018-10-19T17:01:53.945-04:00 [title] => Compliance into the Weeds-Episode 80 [pubdate] => 2018-05-02T12:00:00.000-04:00 [author] => [imageFile] => [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 80 [subtitle] => IPOs for Small and Mid-Cap Companies [summary] =>

    In this episode, Matt Kelly and I take a continued deep dive the underlying assumptions around the reasons for lack of IPOs by small and mid-cap sized firms. We focus on a speech by SEC Commissioner Robert Jackson recently gave exploring possible reasons why middle market companies aren’t going public.

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  • In this episode, Matt Kelly and I take a continued...
  • Array ( [id] => 477f62e0-d3e2-11e8-8478-7b9a20ec33e5 [createdAt] => 2018-10-04T16:02:56.101-04:00 [updatedAt] => 2018-10-19T17:02:25.128-04:00 [title] => Compliance into the Weeds-Episode 79 [pubdate] => 2018-04-25T12:00:00.000-04:00 [author] => [imageFile] => [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 79 [subtitle] => Starbucks and Compliance [summary] =>

    In this episode, Matt Kelly and I go into the weeds to consider the recent racial incident at Starbucks store in Philadelphia where two African-American males were arrested for criminal trespass while waiting for a third colleague to join them for a business meeting. They had not purchased any products but were not engaging any type of disruptive behavior. They were released with no charges filed.

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  • In this episode, Matt Kelly and I go into the...
  • Array ( [id] => 989023fe-d3e2-11e8-a0ea-0fce0b35afcf [createdAt] => 2018-10-04T16:02:58.344-04:00 [updatedAt] => 2018-10-19T17:04:41.143-04:00 [title] => Compliance into the Weeds-Episode 78 [pubdate] => 2018-04-18T12:00:00.000-04:00 [author] => [imageFile] => [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 78 [subtitle] => An episode about Weed [summary] =>

    In this episode, Matt Kelly and I go meta as we go into the weeds about Weed, in the context of the recent announcement by the administration that it would not prosecute persons or producers in states where marijuana sales are legal.

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  • In this episode, Matt Kelly and I go meta as...
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    Privilege and Arrogance at the EPA

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  • Privilege and Arrogance at the EPA
  • Array ( [id] => f3c9ccf2-d3e2-11e8-b655-6b8d98002c8f [createdAt] => 2018-10-04T16:03:06.235-04:00 [updatedAt] => 2018-10-19T17:07:14.247-04:00 [title] => Compliance into the Weeds-Episode 76 [pubdate] => 2018-03-28T07:02:00.000-04:00 [author] => [imageFile] => [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 76 [subtitle] => Facebook CISO and Ethical Behavior [summary] =>

    Today we consider the plight of soon-to-be former Facebook Chief Information Security Officer Alex Stamos who was seemingly retaliated against for his actions to try and bring the data hacking of Facebook to the attention of senior management.

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  • Today we consider the plight of soon-to-be former Facebook Chief...
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    In this episode, Matt Kelly and I take a deep dive into the recent SEC enforcement action against Elizabeth Holmes, the disgraced founder of Theranos, for her massive fraud around the former unicorn.

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  • In this episode, Matt Kelly and I take a deep...
  • Array ( [id] => 193d8d98-d3e3-11e8-a4e9-372bfab627f8 [createdAt] => 2018-10-04T16:03:10.694-04:00 [updatedAt] => 2018-10-19T17:08:17.009-04:00 [title] => Compliance into the Weeds-Episode 74 [pubdate] => 2018-03-13T12:00:00.000-04:00 [author] => [imageFile] => [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 74 [subtitle] => Continued Fallout from Somers [summary] =>

    In this episode, Matt Kelly and I continue our exploration of the fallout from the recent Supreme Court decision in Digital Realty Trust v. Somers in light of the filing by BioRad in its appeal of the whistleblower award to its former General Counsel, Sanford Wadler. 

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  • In this episode, Matt Kelly and I continue our exploration...
  • Array ( [id] => 9b3ac26a-d3e4-11e8-849d-43fa3bf3c6dc [createdAt] => 2018-10-04T16:03:12.973-04:00 [updatedAt] => 2018-10-19T17:19:04.593-04:00 [title] => Compliance into the Weeds-Episode 73 [pubdate] => 2018-03-06T12:00:00.000-05:00 [author] => [imageFile] => [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 73 [subtitle] => Compliance Trouble in Dallas [summary] =>

    In this episode, Matt Kelly and I explore the recent revelations of systemic sexual harassment and abuse present in the front office of the Dallas Mavericks. The allegations were not lodged against owner Mark Cuban but against his former team CEO, Terdema Ussery, who was CEO of the Mavericks from 1997 to 2015. 

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  • In this episode, Matt Kelly and I explore the recent...
  • Array ( [id] => ac0b2a62-d3e4-11e8-b355-63dbf81f3f0d [createdAt] => 2018-10-04T16:03:15.923-04:00 [updatedAt] => 2018-10-19T17:19:32.822-04:00 [title] => Compliance into the Weeds-Episode 72 [pubdate] => 2018-02-27T09:42:00.000-05:00 [author] => [imageFile] => [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 72 [subtitle] => Implications from Digital Realty Trust v. Somers [summary] =>

    In this episode, Matt Kelly and I take a deep dive into the implications flowing from the Supreme Court’s decision last week in the Digital Realty Trust v. Somers decision. Matt initiated a ‘tweetstorm’ in articulating his thoughts on the effects of the decision, including its effect on corporations, Chief Compliance Officers, corporate compliance functions and the Securities and Exchange Commission.

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  • In this episode, Matt Kelly and I take a deep...
  • Array ( [id] => dba15e86-d3e4-11e8-80ff-2bc50f1c0566 [createdAt] => 2018-10-04T16:03:18.113-04:00 [updatedAt] => 2018-10-19T17:20:52.648-04:00 [title] => Compliance into the Weeds-71 [pubdate] => 2018-02-21T12:00:00.000-05:00 [author] => [imageFile] => [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 71 [subtitle] => The Meta Episode [summary] =>

    In this episode Matt Kelly and I go meta as we podcast about another podcast that Matt posted this week on his site, Radical Compliance, where he interviewed Paul Sobel, the incoming Chairman of COSO. We discuss how Sobel sees his new role at COSO, some of the initiatives that he has in mind for the organization and how companies can use the various COSO frameworks, including the Internal Controls and ERM frameworks to better manage risk some the strategic perspective. 

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  • In this episode Matt Kelly and I go meta as...
  • Array ( [id] => 2aebc9ea-d3e5-11e8-80ff-27e946a79a59 [createdAt] => 2018-10-04T16:03:20.509-04:00 [updatedAt] => 2018-10-19T17:23:05.668-04:00 [title] => Compliance into the Weeds-Episode 70 [pubdate] => 2018-02-14T12:05:00.000-05:00 [author] => [imageFile] => [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 70 [subtitle] => AI in a Hotline App [summary] =>

    In this episode, Matt Kelly and I go into the weeds on the fascinating subject relating to the intersection of compliance and technology: AI and hotlines. We explore how this phone app can assist the compliance practitioner by using technology to overcome the inherent tension in an anonymous reporting system where the reporter may desire anonymity while the CCO wants and needs as much information as possible. 

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  • In this episode, Matt Kelly and I go into the...
  • Array ( [id] => 582b7de2-d3e5-11e8-a86a-23861ee8f780 [createdAt] => 2018-10-04T16:03:22.331-04:00 [updatedAt] => 2018-10-19T17:24:21.586-04:00 [title] => Compliance into the Weeds-Episode 69 [pubdate] => 2018-02-08T12:00:00.000-05:00 [author] => [imageFile] => [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 69 [subtitle] => Steve Wynn, Corporate Governance and the Board of Directors [summary] =>

    In this episode, Matt Kelly and I take a deep dive into the events which led to the resignation of Steve Wynn as the CEO and Chairman of Wynn Casinos for sexual harassment and misconduct. 

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  • In this episode, Matt Kelly and I take a deep...
  • Array ( [id] => 0e42fa98-d3e5-11e8-80ff-7310319b93ec [createdAt] => 2018-10-04T16:03:24.429-04:00 [updatedAt] => 2018-10-19T17:22:17.594-04:00 [title] => Compliance into the Weeds-Episode 68 [pubdate] => 2018-01-31T12:00:00.000-05:00 [author] => [imageFile] => [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 68 [subtitle] => On the Guillotine, Waiting for Godot and Candyland [summary] =>

    In this episode Matt Kelly and myself take a deep dive into the weeds of the recent remarks by Neomi Rao, head of the Office for Information and Regulatory Affairs (OIRA), the Administration’s top regulatory review office outlining ambitious plans for more deregulation in 2018 — including efforts to sweep independent federal agencies into her purview and to crack down on the “sub-regulatory” guidance that corporate compliance professionals consume all the time.

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  • In this episode Matt Kelly and myself take a deep...
  • Array ( [id] => 6eddad8a-d3e5-11e8-a4e9-033d1940e92c [createdAt] => 2018-10-04T16:03:31.454-04:00 [updatedAt] => 2018-10-19T17:24:59.669-04:00 [title] => Compliance into the Weeds-Episode 67 [pubdate] => 2018-01-24T12:00:00.000-05:00 [author] => [imageFile] => [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 67 [subtitle] => The KPMG Indictments [summary] =>

    In this episode Matt Kelly and I take a deep dive into the absolutely stunning indictment of five former partners or employees of KPMG and one former employee at the Public Company Oversight Accounting Board (PCAOB). L

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  • In this episode Matt Kelly and I take a deep...
  • Array ( [id] => b1fd6394-d3e5-11e8-a28e-cb0e8be3dcf7 [createdAt] => 2018-10-04T16:03:36.757-04:00 [updatedAt] => 2018-10-19T17:26:52.296-04:00 [title] => Compliance into the Weeds-Episode 66 [pubdate] => 2018-01-17T15:53:00.000-05:00 [author] => [imageFile] => [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 66 [subtitle] => The Salary Penalty for Misconduct [summary] =>

    In this episode Matt Kelly and I take a deep dive into a fascinating paper from Harvard Business School. Boris Groysberg and George Serafeim, worked with a global recruitment firm to study more than 2,000 executive-level job placements from 2004 to 2011, examining a wide range of job placements and pay data since 2004. They found that the stigma of listing a discredited company on your resume, even if you had nothing to do with the misconduct there, leads recruiters at your next employer to pay you less.

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  • In this episode Matt Kelly and I take a deep...
  • Array ( [id] => 9a456558-d3e5-11e8-a004-cb35782923e2 [createdAt] => 2018-10-04T16:03:42.527-04:00 [updatedAt] => 2018-10-19T17:26:12.504-04:00 [title] => Compliance into the Weeds-Episode 65 [pubdate] => 2018-01-10T12:00:00.000-05:00 [author] => [imageFile] => [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 65 [subtitle] => The Trouble with Non-GAAP Metrics [summary] =>

    In this episode Matt Kelly and I take deep dive into the issue of non-GAAP metrics and its implications. We were inspired an article in this quarter's MIT Sloan Management Review entitled, "The Pitfalls of Non-GAAP Metrics". It is fascinating review of this topic, which "Lurking within the financial statements and communications of public companies is a troubling trend. Alternative metrics, once used sparingly, have become increasingly ubiquitous and more detached from reality." 

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  • In this episode Matt Kelly and I take deep dive...
  • Array ( [id] => d3b0b9be-d3e5-11e8-83ab-ab0fbc3f6533 [createdAt] => 2018-10-04T16:03:48.835-04:00 [updatedAt] => 2018-10-19T17:27:48.829-04:00 [title] => Compliance into the Weeds-Episode 64 [pubdate] => 2018-01-03T12:00:00.000-05:00 [author] => [imageFile] => [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 64 [subtitle] => A look into 2018 issues [summary] =>

    In this episode, Matt Kelly and I take a look at some of the more intriguing issues in compliance and ethics, FCPA and greater GRC issues in the new year of 2018.

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  • In this episode, Matt Kelly and I take a look...
  • Array ( [id] => edc43e52-d3e5-11e8-9803-4fc7a803df54 [createdAt] => 2018-10-04T16:03:59.039-04:00 [updatedAt] => 2018-10-19T17:28:32.577-04:00 [title] => Compliance into the Weeds-Episode 63 [pubdate] => 2017-12-20T12:00:00.000-05:00 [author] => [imageFile] => [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 63 [subtitle] => Cybersecurity Risks and Compliance [summary] =>

    In this episode, Matt Kelly and I take a deep dive into a report from the Financial Stability Oversight Council on the cybersecurity risk of third party technology providers in the financial industry. 

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  • In this episode, Matt Kelly and I take a deep...
  • Array ( [id] => 0961a06e-d3e6-11e8-a323-77615dd82499 [createdAt] => 2018-10-04T16:04:06.308-04:00 [updatedAt] => 2018-10-19T17:29:18.895-04:00 [title] => Compliance into the Weeds-Episode 62 [pubdate] => 2017-12-13T12:00:00.000-05:00 [author] => [imageFile] => [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 62 [subtitle] => Sentencing of VW Employee Oliver Schmidt [summary] =>

    In this podcast Matt and I take a deep dive into the compliance weeds to consider former VW employee Oliver Schmidt’s conduct, the sentence and the roles of various parties involved in this unfortunate series of events.

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  • In this podcast Matt and I take a deep dive...
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    In this episode, Matt Kelly and I consider the recent rejection by federal Judge William Young of the plea agreement in the matter of US v. Aegerion Pharmaceuticals. 

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  • In this episode, Matt Kelly and I consider the recent...
  • Array ( [id] => 9be4fd12-d3e8-11e8-afdc-c32bf7ec6ab0 [createdAt] => 2018-10-04T16:04:25.215-04:00 [updatedAt] => 2018-10-19T17:47:43.712-04:00 [title] => Compliance into the Weeds-Episode 60 [pubdate] => 2017-11-14T12:00:00.000-05:00 [author] => [imageFile] => [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 60 [subtitle] => Cardinal Health and Joint GC-CCO Role [summary] =>

    In this podcast, we consider the joint role of a GC-CCO and the potential corporate governance issues involved when the roles are held by one person. Does this create an irreconcilable conflict? What are the different functions of the General Counsel and the Chief Compliance Officer.

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  • In this podcast, we consider the joint role of a...
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    What will be the fate of the Justice Department's Evaluation of Corporate Compliance Programs going forward under the Sessions Department of Justice. 

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  • What will be the fate of the Justice Department's Evaluation...
  • Array ( [id] => d01b7aa2-d3e8-11e8-aa34-a30b6047c0fd [createdAt] => 2018-10-04T16:04:33.815-04:00 [updatedAt] => 2018-10-19T17:49:11.304-04:00 [title] => Compliance into the Weeds-Episode 58 [pubdate] => 2017-11-01T12:00:00.000-04:00 [author] => [imageFile] => [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 58 [subtitle] => The Weinstein Affair and Compliance [summary] =>

    In this episode, Matt Kelly and I take a deep dive into the scandal around Harvey Weinstein. We consider it from the compliance perspective, both programatic and for the CCO. We consider the different types of harassment which comes may face claims of from the fallout. We also consider the Board response by The Weinstein Company board and for the claims involving Bill O'Reilly. 

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  • In this episode, Matt Kelly and I take a deep...
  • Array ( [id] => e8bed2b6-d3e8-11e8-8e4f-277306ea49bf [createdAt] => 2018-10-04T16:04:48.153-04:00 [updatedAt] => 2018-10-19T17:49:52.624-04:00 [title] => Compliance into the Weeds-Episode 57 [pubdate] => 2017-10-11T12:00:00.000-04:00 [author] => [imageFile] => [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 57 [subtitle] => Trump Administration Proposed Changes to SOX [summary] =>

    In this episode Matt Kelly and I discuss the Treasury Department’s recently released A Financial System That Creates Economic Opportunities-Capital Markets report. The report has multiple proposals, including multiple ideas about rolling back Sarbanes-Oxley compliance, especially for smaller public companies. In this podcast, we discuss the three most significant ones for the compliance practitioner.

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  • In this episode Matt Kelly and I discuss the Treasury...
  • Array ( [id] => ffcbdd8c-d3e8-11e8-8e4f-13092a119402 [createdAt] => 2018-10-04T16:04:53.816-04:00 [updatedAt] => 2018-10-19T17:50:31.304-04:00 [title] => Compliance into the Weeds-Episode 56 [pubdate] => 2017-10-03T12:00:00.000-04:00 [author] => [imageFile] => [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 56 [subtitle] => The Fraud Triangle, Rationalizations and Compliance Programs [summary] =>

    In this episode, Matt Kelly and I take a deep dive into an article by Todd Haugh, in the most recent issue of the MIT Sloan Management Review entitled, “The Trouble With Corporate Compliance Programs” that even best practices compliance program fail to take into account behavioral best practices and one important but too often overlooked key to strengthening both individual and overall corporate behavior is eliminating rationalizations.  

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  • In this episode, Matt Kelly and I take a deep...
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    The Telia FCPA enforcement action is the Number 1 all-time for fines and penalties. What can you learn from it?

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  • The Telia FCPA enforcement action is the Number 1 all-time...
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    Matt reports live from TEC 2017, the Workiva user summit

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  • Matt reports live from TEC 2017, the Workiva user summit
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    In this episode, Matt Kelly and I take a deep dive into the good, bad and ugly of Hurricane Harvey for the compliance professional. We discuss what lessons may be drawn from the storm and its aftermath for the greater compliance, ERM and business communities and the need to take a much greater holistic approach to the consideration of your risk management strategy.

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  • In this episode, Matt Kelly and I take a deep...
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    What is the intersection of the PCAOB, auditing and compliance? Matt Kelly and I explore in this week's episode.

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  • What is the intersection of the PCAOB, auditing and compliance?...
  • Array ( [id] => 9f415cd4-d3e9-11e8-8459-8b39127e543c [createdAt] => 2018-10-04T16:05:22.827-04:00 [updatedAt] => 2018-10-19T17:54:58.828-04:00 [title] => Compliance into the Weeds-Episode 50 [pubdate] => 2017-08-16T10:00:00.000-04:00 [author] => [imageFile] => [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 50 [subtitle] => Where’s the Upside? [summary] =>

    What is the upside to any US business engaging with the Trump Administration after its tepid response to the events in Charlottesville?

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  • What is the upside to any US business engaging with...
  • Array ( [id] => b45ee528-d3e9-11e8-98b1-1b120aa54e9e [createdAt] => 2018-10-04T16:05:29.018-04:00 [updatedAt] => 2018-10-19T17:55:34.272-04:00 [title] => Compliance into the Weeds-Episode 49 [pubdate] => 2017-08-09T11:00:00.000-04:00 [author] => [imageFile] => [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 49 [subtitle] => The Mattis Memo on Ethics [summary] =>

    The Mattis Memo on ethics is so significant that every CCO and compliance practitioner should read it and the Memo's substance into your compliance program.

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  • The Mattis Memo on ethics is so significant that every...
  • Array ( [id] => d5f735c8-d3e9-11e8-b972-e32ce4c80a42 [createdAt] => 2018-10-04T16:05:33.908-04:00 [updatedAt] => 2018-10-19T17:56:30.627-04:00 [title] => Compliance into the Weeds-Episode 48 [pubdate] => 2017-08-02T12:00:00.000-04:00 [author] => [imageFile] => [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 48 [subtitle] => Halliburton FCPA Enforcement Action [summary] =>

    We consider the enforcement action around the issue of internal controls, their effectiveness (or lack thereof) and management over-ride of internal controls.

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  • We consider the enforcement action around the issue of internal...
  • Array ( [id] => 48576e1c-d3ea-11e8-aca6-c73c21497c0c [createdAt] => 2018-10-04T16:05:41.295-04:00 [updatedAt] => 2018-10-19T17:59:42.509-04:00 [title] => Compliance into the Weeds-Episode 47 [pubdate] => 2017-07-26T10:00:00.000-04:00 [author] => [imageFile] => [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => 47 [subtitle] => Compliance Costs Under SOX and Dodd-Frank [summary] =>

    In this episode, Matt Kelly and I take a deep dive into the Dodd-Frank and Sarbanes-Oxley reform initiatives in the House of Representatives and as articulated by incoming SEC Chairman Jay Clayton. Will the new administration gut SOX and Dodd-Frank compliance requirements? For more see Matt Kelly's blog post SEC Chair Clayton Talks Compliance Costs. 

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  • In this episode, Matt Kelly and I take a deep...
  • Array ( [id] => 64a20af0-d3ea-11e8-b998-2fe6e9e0901e [createdAt] => 2018-10-04T16:05:46.430-04:00 [updatedAt] => 2018-10-19T18:00:29.998-04:00 [title] => Compliance into the Weeds-Episode 46 [pubdate] => 2017-07-19T09:52:00.000-04:00 [author] => [imageFile] => [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => [subtitle] => The Potted Plant Edition [summary] =>

    In this episode, Matt Kelly and I discuss the recent Second Circuit Court of Appeals decision in HSBC v. Moore. In this case a federal district court had ordered the release of redacted monitor’s report in the HSBC money-laundering Deferred Prosecution Agreement (DPA), based upon the request of an interested citizen. Both the Department of Justice (DOJ) and HSBC appealed the order and the Court of Appeals supported their position in overturning the trial court’s decision. The case is about a hook, line and sinker overturning of any trial court jurisdiction as one can have. The district court tried to claim it did not have the same role as a “potted plant” but the Court of Appeals left no doubt that is the only role it sees for any district court where a DPA is filed. We discuss the implications for the compliance practitioner, FCPA enforcement and any potential changes going forward. 

    For additional reading, see my blog post on this case by clicking  here.

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  • In this episode, Matt Kelly and I discuss the recent...
  • Array ( [id] => 79302402-d3ea-11e8-90b3-cfcbb93d9c3d [createdAt] => 2018-10-04T16:05:52.188-04:00 [updatedAt] => 2018-10-19T18:01:04.634-04:00 [title] => Compliance into the Weeds-Episode 45 [pubdate] => 2017-07-11T10:00:00.000-04:00 [author] => [imageFile] => [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => [subtitle] => The Undeserved Privilege Edition [summary] =>

    In this episode, Matt Kelly and I take a deep dive into the 4th of July weekend use of the New Jersey beaches by Governor Chris Christie. Governor Christie had closed the beaches in a budget dispute but was still able, as Governor, to give himself and his family full access to the now wide open beaches on the recently passes holiday weekend. We consider Governor Christie’s example of undeserved privilege in the context of ethical leadership and tone at the top. Matt draws upon his Catholic school education to remind us that undeserved privilege is private law, as “privilege” comes from the Latin privus, private law; and lex, law. It’s a private law that benefits only one person, who doesn’t deserve it. 

    Read more about the issue and Matt’s thoughts on his blog post  Tone at the Top Gone Wrong: The Christie Example.

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  • In this episode, Matt Kelly and I take a deep...
  • Array ( [id] => 8b0ff1f2-d3ea-11e8-b502-07bdbee34de6 [createdAt] => 2018-10-04T16:05:58.882-04:00 [updatedAt] => 2018-10-19T18:01:34.530-04:00 [title] => Compliance into the Weeds-Episode 44 [pubdate] => 2017-06-28T10:00:00.000-04:00 [author] => [imageFile] => [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => [subtitle] => Compliance and the Cannabis Industry [summary] =>

    In this episode, Matt Kelly and I take a deep dive, literally into the weeds of the convergence of the compliance profession and the nascent cannabis industry. While several states have made pot for medical use legal and one state, Colorado has made it legal for personal consumption, it is still illegal under federal law. We consider such questions as:

    Lawyers and accountants are required to report large cash transactions to the federal government—but large cash transactions are common in the cannabis industry, since commercial operators don’t have easy access to the banking system. So if you report one of these transactions, are you turning over evidence of illegal activities of your client to authorities? Or do you not report, and risk sanctions against yourself?If the Justice Department does act against a commercial weed business, will prosecutors really seek to impanel a federal grand jury, with jurors drawn from a state where they voted to legalize? Could prosecutors ask a candidate juror whether he or she smokes weed? Could that juror invoke the Fifth Amendment?Should lawyers be allowed to own equity in a legally operating marijuana business? What about judges? Do the two groups need different standards? Professional conduct rules for lawyers require competency in rendering legal advice. What does competency even look like in this branch of business conduct, when the laws are so new and in conflict with federal law?Will the nascence of the cannabis industry allow for innovations such as incorporation of blockchain to create fully auditable trails for all aspects of the business?Will any state which taxes cannabis sales be required to remit this money under a theory of profit disgorgement from funds generated by illegal activity.For more from Matt Kelly:

    See his blog post  Compliance, Careers and Cannabis Industry;

    Hear Matt Kelly’s interview with Amy McDougal (yes Matt has his own podcast as well-the Radical Compliance podcast) by clicking  here.

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  • In this episode, Matt Kelly and I take a deep...
  • Array ( [id] => 4546e878-d3eb-11e8-8119-0338922d323e [createdAt] => 2018-10-04T16:06:02.643-04:00 [updatedAt] => 2018-10-19T18:06:46.878-04:00 [title] => Compliance into the Weeds-Episode 43 [pubdate] => 2017-06-22T10:39:00.000-04:00 [author] => [imageFile] => [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => [subtitle] => The Linde Declination [summary] =>

    On June 16, 2017, the Department of Justice (DOJ) issued a Declination to Linde North American Inc. and Linde Gas North America LLC (collectively “Linde”). This is the first Declination issued by the DOJ in the era of the Trump Administration. For that reason alone, it was instructive and should be studied by the compliance profession. However, the case presented several interesting factors which merit consideration so we are discussing in depth to present lessons to be learned for the Chief Compliance Officer (CCO) or compliance practitioner.

    Lessons Learned

    This was yet another Foreign Corrupt Practices Act (FCPA) action where a company performed insufficient due diligence in the acquisition phase. The timing of the Linde purchase of Spectra Gases and Spectra Gases’ purchase of the income producing assets is too close in time to be a coincidence. It would certainly appear that Linde purchased Spectra Gases to facilitate its acquisition of the boron column and other assets. If your company is going to make such a multi-step acquisition, you must perform due diligence on all the actors and the assets involved.

    The Byzantine corporate structure created for the ownership of the boron column, its operation and management contract are clear red flags that any CCO should sniff out immediately. While I am sure the internal corporate excuse for this clear ruse was the ubiquitous ‘tax considerations’; every such transaction should be reviewed by compliance as well. Anytime there is more than one entity to accomplish one task, there is the possibility of fraud present. Further, it is not clear how Linde could not have been aware of the ownership interests of a company which it ultimately controlled. It would seem that the company did not even make any inquiry.

    Even in 2006, the Republic of Georgia’s reputation for bribery and corruption was quite high. The 2006 Transparency International-Corrupt Perceptions Index (TI-CPI) listed Georgia at 99 out of 176 countries listed so that alone warranted red flag scrutiny. If you are purchasing an entity in a country with such well known affinity for corruption, extra care is warranted. Perhaps back in 2006, Linde did not view the FCPA as something which it would deal with in such a situation.

    Yet even with all the apparent miss-steps and non-steps of compliance, the company was able to secure a declination from the DOJ. While there may be some additional penalties or sanctions by the Securities and Exchange Commission (SEC) for the failures of internal controls, the result obtained by Linde was certainly a superior result. The company would seem to have met the four pillars under the FCPA Pilot Program through (a) self-disclosure, (b) extraordinary cooperation, (3) full remediation, and (d) profit disgorgement. Interestingly, the profit disgorgement in this case would appear to have been beyond the five year of limitations for profit disgorgement under the recent Supreme Court decision in Kokesh. If there is a FCPA enforcement action brought by the SEC perhaps additional facts will be recited in any resolution documents.

    Nevertheless, kudos are due to Linde and its counsel for obtaining this declination. Every CCO should study it for both the superior result received and underlying facts to see if you face anything similar in the Republic of Georgia or elsewhere.

    For a full copy of the Linde Declination, click here

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  • On June 16, 2017, the Department of Justice (DOJ) issued...
  • Array ( [id] => 8f5e2bc4-d3eb-11e8-992b-ebe13267faf6 [createdAt] => 2018-10-04T16:06:09.130-04:00 [updatedAt] => 2018-10-19T18:08:51.198-04:00 [title] => Compliance into the Weeds-Episode 42 [pubdate] => 2017-06-14T08:00:00.000-04:00 [author] => [imageFile] => [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => [subtitle] => The Uber Governance Edition [summary] =>

    In this episode, Matt Kelly and I take a deep dive into the corporate governance fiasco which is Uber. We consider the revelations in the failures of corporate governance, culture and internal controls at the organization. The company provides a fascinating study of what happens when a tech start up raised in the fraternity culture is successful and how changes are required for it to act like a multi-billion organization. Both Matt and I have written on Uber. Our podcast comes out the same day the Holder Report to the Uber Board was released so we weave in the recommendations from Covington & Burling as well. 

    For more on Uber see the following: 

    Matt Kelly’s piece  Car Crash Governance at Uber

    Tom Fox’s pieces on Uber

     Will Culture Change at Uber Before its Too Late

     CEOs and Win at All Costs-Where Does it Lead

     Uber and Corporate Culture

     

    For a copy of the Holder Report on corporate governance, cultural and internal controls failures at Uber and recommendations, click  here.

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  • In this episode, Matt Kelly and I take a deep...
  • Array ( [id] => bb80d508-d3eb-11e8-80ff-2b12e7cadddb [createdAt] => 2018-10-04T16:06:17.676-04:00 [updatedAt] => 2018-10-19T18:10:05.224-04:00 [title] => Compliance into the Weeds-Episode 40 [pubdate] => 2017-05-31T10:57:00.000-04:00 [author] => [imageFile] => [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => [subtitle] => COSO ERM Framework Update [summary] =>

    In this episode Matt Kelly and I take a deep dive into the revisions to the COSO ERM Framework, which were based on comments by practitioners. We consider the role of culture and risk, the integration of the COSO ERM Framework into functional business units moving to operationalize ERM in organizations and we consider how the ERM Framework differs yet is complimentary to the COSO Internal Controls Framework. 

     

    For additional information, see Matt's Blogs posts on the COSO ERM Framework:

     More Details on COSO ERM Framework

     Update to COSO ERM Framework Update

     ERM Framework: Govt. Calls for Unity

     More Clues on Draft ERM Framework

     Draft ERM Framework is Here: How to Get Started

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  • In this episode Matt Kelly and I take a deep...
  • Array ( [id] => ce467512-d3eb-11e8-be8d-2b8c832efa32 [createdAt] => 2018-10-04T16:06:21.663-04:00 [updatedAt] => 2018-10-19T18:10:36.716-04:00 [title] => Compliance into the Weeds-Episode 39 [pubdate] => 2017-05-24T08:00:00.000-04:00 [author] => [imageFile] => [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => [subtitle] => Disclosure of Ransomware Attacks [summary] =>

    In this episode Matt Kelly and I take a deep dive into the question of whether a company has a duty to disclose ransomware attacks. We consider it from the regulatory, legal, ethical, law enforcement, business, PR and some other angles. What may seem to be a straight-forward answer to a regulatory obligations turns out to be anything but. 

    For additional research, see Matt Kelly's blogpost, "Ransomware: To Disclose or Not".

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  • In this episode Matt Kelly and I take a deep...
  • Array ( [id] => e192bc2a-d3eb-11e8-9fb2-5b4dc5d6ac9a [createdAt] => 2018-10-04T16:06:25.966-04:00 [updatedAt] => 2018-10-19T18:11:09.090-04:00 [title] => Compliance into the Weeds-Episode 38 [pubdate] => 2017-05-17T08:00:00.000-04:00 [author] => [imageFile] => [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => [subtitle] => AI and Compliance [summary] =>

    In this episode Matt Kelly and I take a deep dive into the cutting edge topic of artificial intelligence in many areas, including compliance. We discuss the uses of Artificial Intelligence in compliance. We consider how AI has progressed and what it means now for the compliance practitioner and what it will mean in the future.

    For Matt's blog post on the topic go to  Don't Outsmart Yourself: AI and Compliance

    For Tom's blog post on the topic go to AI for Risk Management: A New Business Advantage 

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  • In this episode Matt Kelly and I take a deep...
  • Array ( [id] => f6ba4316-d3eb-11e8-b136-5b2ebea7bae5 [createdAt] => 2018-10-04T16:06:34.019-04:00 [updatedAt] => 2018-10-19T18:11:44.605-04:00 [title] => Compliance into the Weeds-Episode 37 [pubdate] => 2017-05-03T08:00:00.000-04:00 [author] => [imageFile] => [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => [subtitle] => House Financial Services Committee Financial Choice 2.0 Act [summary] =>

    In this episode, Matt Kelly and I take a deep dive into the weeds of the soon-to-be-released the House Financial Services Committee, the Financial Choice 2.0 Act. We consider some of the ideas in the legislation which Matt thinks are bad including:

    1. Repeal of the Chevron deference repealed. 

    2. Attempts to clip the SEC rule making authority.

    3. Exempting more companies which desire to go public from SOX 404(b) requirements and reporting. 

    4. (Matt's most particular bad idea) The exemption of more filers exempted from XBRL reporting.

    We also discuss some of the potential benefits from the legislation and where it may all go in the Senate.

    For more see Matt's blog post House GOP Regulatory Reform Axe, on his site Radical Compliance

      

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  • In this episode, Matt Kelly and I take a deep...
  • Array ( [id] => 0bd3dc80-d3ec-11e8-ae6a-43f2e23dbcdc [createdAt] => 2018-10-04T16:06:39.313-04:00 [updatedAt] => 2018-10-19T18:12:19.983-04:00 [title] => Compliance into the Weeds-Episode 36 [pubdate] => 2017-04-25T10:00:00.000-04:00 [author] => [imageFile] => [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => [subtitle] => Trevor McFadden on FCPA Enforcement [summary] =>

    In this episode, Matt Kelly and I take a very deep dive into two recent speeches by Department of Justice (DOJ) Acting Principal Assistant Attorney General Trevor McFadden in which he addressed multiple topics and issues around the Foreign Corrupt Practices Act (FCPA). The  first set of remarks were made in Washington DC at the Anti-Corruption, Export Controls & Sanctions (ACES) 10th Compliance Summit (the “DC speech”). The  second set of remarks were made at the American Conference Institute (ACI) 19th Conference on the FCPA in New York City (the “NYC speech”). We consider the evolving rationale for FCPA enforcement which has changed in the 40 years since it was enacted, the mandatory corporate response to FCPA compliance requirements, and how McFadden sees Justice Department enforcement of the FCPA going forward in the Trump administration. 

    For Matt Kelly blog post on McFadden's remarks, click  here. For Tom Fox's segments of a three part series, click here for  Part I, Part II and Part III. 

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  • In this episode, Matt Kelly and I take a very...
  • Array ( [id] => 364fe2f6-d3ec-11e8-acec-7f0f6e0b26b9 [createdAt] => 2018-10-04T16:06:46.389-04:00 [updatedAt] => 2018-10-19T18:13:31.264-04:00 [title] => Compliance into the Weeds-Episode 35 [pubdate] => 2017-04-12T10:00:00.000-04:00 [author] => [imageFile] => [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => [subtitle] => PCAOB Report on Emerging Growth Companies [summary] =>

    In this episode Matt Kelly and I take a deep dive into the recently released, Public Company Accounting Oversight Board (PCAOB) semi-annual  white paper. The white paper providing general information about certain characteristics of emerging growth companies (EGCs). Matt and I discuss some of the PCAOB's key findings:

    There were 1,951 companies that identified themselves as EGCs in at least one SEC filing since 2012 and have filed audited financial statements with the SEC in the 18 months preceding the measurement date (“EGC filers”). The PCAOB staff observe that the number of EGC filers has grown since the enactment of the Jumpstart Our Business Startups (JOBS) Act, but has stabilized recently.There were 742 EGC filers (or 38 percent) that have common equity securities listed on a U.S. national securities exchange (“exchange-listed”). The five most common industries for EGC filers as of November 16, 2016, are pharmaceutical preparations, blank check companies, real estate investment trusts, prepackaged software, and surgical/medical instruments and apparatus.Many EGC filers that were not exchange-listed had limited operations. Approximately 50 percent of the non-listed EGC filers reported zero revenue in their most recent filing with audited financial statements and 23 percent of non-listed EGCs that filed periodic reports disclosed that they were shell companies.Approximately 51 percent of EGC filers, including 74 percent of those that were not exchange-listed, received an explanatory paragraph in their most recent auditor’s report expressing substantial doubt about the company’s ability to continue as a going concern.Among the 1,951 EGC filers, 1,262 provided a management report on internal control over financial reporting in their most recent annual filing. Of those 1,262 companies, approximately 47 percent reported material weaknesses.Approximately 96 percent of EGC filers were audited by accounting firms that also audited issuers that are not EGC filers, including 39 percent of EGC filers that were audited by firms that provided audit reports for more than 100 issuers and were required to be inspected on an annual basis by the PCAOB.

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  • In this episode Matt Kelly and I take a deep...
  • Array ( [id] => 48f7b5a0-d3ec-11e8-aa34-4764048e732a [createdAt] => 2018-10-04T16:06:54.405-04:00 [updatedAt] => 2018-10-19T18:14:02.573-04:00 [title] => Compliance into the Weeds-Episode 34 [pubdate] => 2017-04-05T10:00:00.000-04:00 [author] => [imageFile] => [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => [subtitle] => Lessons from United's Policy Management [summary] =>

    In this episode Matt Kelly and I take a deep dive into the recent kerfuffle involving United Airlines and its policy which prevented to teenaged girls from boarding a flight wearing leggings. Was United within its rights to exclude the passengers for inappropriate dress? Is the policy valid? Did the gate agent receive appropriate training to make their decision? In the world of today, social media accelerates the ability to judge, without improving the ability to judge. For ethics & compliance officers, that means every compliance risk is now magnified into a reputation risk. Finally, we consider Matt's closing sentence, "Training, values, culture, judgment. Funny how those four things keep cropping up, isn’t it?" and what it means for compliance. 

    For more insight, read Matt's blog post, "United's Policy Management Lessons"

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  • In this episode Matt Kelly and I take a deep...
  • Array ( [id] => 57546f94-d3ec-11e8-bc87-977e7e95d5a8 [createdAt] => 2018-10-04T16:06:59.444-04:00 [updatedAt] => 2018-10-19T18:14:26.643-04:00 [title] => Compliance into the Weeds-Episode 33 [pubdate] => 2017-03-28T10:00:00.000-04:00 [author] => [imageFile] => [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => [subtitle] => Enhancing Culture [summary] =>

    In this episode, we take a look at a recent speech given by NY Fed Chairman William Dudley in London where he addressed improving corporate culture. Dudley provided three recommended steps. First, a bank must decide on its purpose and core values—or, as Dudley put it, “What are you for?” Second, after this identification of purposes and values, you can measure how well the workforce is striving to achieve that purpose. Third a bank can set its incentives so employees work harder to achieve those goals. As usual, Matt and I take a deep dive into the issue of enhancing corporate culture. For more on the speech, see Matt's blog post on Radical Compliance entitled, "Great Speech About Improving Corporate Culture".

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  • In this episode, we take a look at a recent...
  • Array ( [id] => 6c2cbcf0-d3ec-11e8-9838-179b4042f176 [createdAt] => 2018-10-04T16:07:08.086-04:00 [updatedAt] => 2018-10-19T18:15:01.642-04:00 [title] => Compliance into the Weeds-Episode 32 [pubdate] => 2017-03-15T10:00:00.000-04:00 [author] => [imageFile] => [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => [subtitle] => A Dramatic 48 hours in the FCPA [summary] =>

    In this episode, Matt Kelly and I take a deep dive into a dramatic 48 hours in the life of the FCPA last week, which portends the trend of continued FCPA enforcement. It included the announcement by Kevin Blanco, acting assistant attorney general for the Criminal Division, who speaking at the American Bar Association’s annual white collar crime conference of the extension of the FCPA Pilot Program; the retort by Secretary of State Rex Tillerson to President Trump on the power of the FCPA for US companies doing business overseas, the Justice Department brief and oral argument in the Hoskins appeal where the DOJ continued to press for an expansive view of FCPA jurisdiction as originally preferred by the Obama DOJ; and finally we discuss the summary of all US attorneys by the Trump administration and Matt's proffers an interesting theory on why Preet Bharara was fired.

    For more reading, see Matt's piece on Radicalcomplinance.com entitled, "FCPA: Pilot Program Extended, and Much More".

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  • In this episode, Matt Kelly and I take a deep...
  • Array ( [id] => e09d48a6-d3ed-11e8-ba47-87041e64989c [createdAt] => 2018-10-04T16:07:12.544-04:00 [updatedAt] => 2018-10-19T18:25:26.485-04:00 [title] => Compliance into the Weeds-Episode 30 [pubdate] => 2017-03-08T10:00:00.000-05:00 [author] => [imageFile] => [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => [subtitle] => Expanded Fraud Section Website [summary] =>

    The Justice Department Fraud Section recently revamped its website and it is quite an upgrade. I do not know when the Fraud Section did this update but as with the Evaluation of Corporate Compliance Programs document, it certainly was a soft launch. It appears the new site compiles several disparate sources of Fraud Section and Justice Department information into one website. Also, there looks to my eye to be some information posted on the Fraud Section website for the first time. In short, it is an excellent and most welcomed resource.

    A quick review of the site has a slide show of recent Justice Department resolutions scrolling across the screen. Go down to the bottom of the screen and you will see two very interesting documents, a 2015 and 2016 Fraud Section Year in Review. The FCPA Unit section includes such information as prior enforcement actions, Opinion Releases, other anti-corruption treaties and resources. There is also a list of Fraud Section leadership.

    However, the Fraud Section is made up of more than simply the FCPA unit and there are tabs for the following Health Care Fraud and Securities and Financial Fraud. Most interesting to me was the tab for the Strategy, Policy and Training Unit, which I have to admit, did not know was a part of the Fraud Section. The opening page for this Unit provides a description of its work. It is as wide ranging as international coordination and interaction with foreign prosecutors and investigators. 

    This new website revamp is a most welcomed resource for the compliance community. While it may be viewed as simply a compilation of other sites and locations within the greater Justice Department website by some; I believe the vast majority of compliance practitioners will find it a most welcomed compilation and resource.

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  • The Justice Department Fraud Section recently revamped its website and...
  • Array ( [id] => 04f83ce2-d3ee-11e8-9470-7f3104b1c01c [createdAt] => 2018-10-04T16:07:16.161-04:00 [updatedAt] => 2018-10-19T18:26:27.489-04:00 [title] => Compliance into the Weeds-Episode 30 [pubdate] => 2017-03-01T12:00:00.000-05:00 [author] => [imageFile] => [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => [subtitle] => A Deep Dive into SOX 404(b) [summary] =>

    In this episode Matt Kelly and myself take a deep dive into SOX 404(b), what it requires and how companies comply with the reporting requirements set out in this statute. We consider the recent announcements from Congressman Jeb Hensarling to amend this section to exempt companies under the $500MM who wish to go public from its reporting requirements. We consider the corporate and audit response currently in place for 404(b) and how this response is now well embedded in not only corporate controls but also in reporting. We discuss the importance of internal controls over the time frame since the enactment of SOX and how any change may not be well received by institutional investors and private equity funders.

    For a more detailed discussion, see Matt’s blog post entitled, “Tale of Sound & Fury: The 404(b) Debate”.

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  • In this episode Matt Kelly and myself take a deep...
  • Array ( [id] => 39bcdadc-d3ee-11e8-ae6a-8f1ede33d8e6 [createdAt] => 2018-10-04T16:07:22.208-04:00 [updatedAt] => 2018-10-19T18:27:56.099-04:00 [title] => Compliance into the Weeds-Episode 29 [pubdate] => 2017-02-21T08:00:00.000-05:00 [author] => [imageFile] => [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => [subtitle] => The New DOJ FCPA Evaluation Documentation [summary] =>

    In this episode, Matt Kelly and myself take a deep dive into the Department of Justice (DOJ) recent release, entitled “Evaluation of Corporate Compliance Programs” (Evaluation), which went up on the Fraud Section website on February 8.

    The document is an 11-part list of questions which encapsulates the DOJ’s most current thinking on what constitutes a best practices compliance program. Within the list are some 46 different questions that a Chief Compliance Officer (CCO) or compliance practitioner can use to benchmark a compliance program. In short, it is an incredibly valuable and most significantly useful resource for every compliance practitioner.

    The Evaluation, most generally, follows the DOJ and Securities and Exchange Commission’s (SEC) seminal Ten Hallmarks of an Effective Compliance Program, released in the 2012 FCPA Guidance. If there is one over-riding theme in the Evaluation, it is the DOJ’s emphasis on doing compliance as the questions posed are designed to test how far down your compliance program is incorporated into the fabric of your organization. The Evaluation is not simply a restatement of the Ten Hallmarks, as it clearly incorporates the DOJ’s evolution in what constitutes a best practices compliance program, and it certainly builds upon the information put forward in the DOJ’s FCPA Pilot Program regarding effective compliance programs, most particularly found in Prong 3 Remediation.

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  • In this episode, Matt Kelly and myself take a deep...
  • Array ( [id] => 4e47cfde-d3ee-11e8-b1fa-e74dcf9450d8 [createdAt] => 2018-10-04T16:07:27.204-04:00 [updatedAt] => 2018-10-19T18:28:30.477-04:00 [title] => Compliance into the Weeds-Episode 27 [pubdate] => 2017-02-09T08:00:00.000-05:00 [author] => [imageFile] => [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => [subtitle] => Hubris and Data Breaches [summary] =>

    In this episode, Matt and I take a look at the sorry story of Chris Correa, the St. Louis Cardinal executive convicted of hacking into the Houston Astros computer system, which expanded last month when Federal Judge Lynn Hughes unsealed details about the extent of the illegal conduct. For all his efforts, Correa was severely punished by Judge Hughes at this sentencing. Hughes accepted the US government’s recommendation in sentencing Correa to 46 months of incarceration and fining him some $300,000. Correa was also banned from Major League Baseball (MLB) for life by Commissioner Rob Manfred. 

    Matt and I have both blogged on this matter. Matt takes a look at some of the lessons to be garnered by the compliance professional in his post, Two Compliance Lessons from the Baseball World. I delved into the facts to mine some interesting tidbits and consider how to compensate a business when you have stolen their IP, in blog post Of Greek Gods and Data Breaches

    Rather amazingly the Greek gods make an appearance proving once again that the fall of man is always related to hubris. 

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  • In this episode, Matt and I take a look at...
  • Array ( [id] => 7a2efaf0-d3ee-11e8-be2d-078c3956a570 [createdAt] => 2018-10-04T16:07:37.011-04:00 [updatedAt] => 2018-10-19T18:29:44.163-04:00 [title] => Compliance into the Weeds-Episode 25 [pubdate] => 2017-01-18T11:53:00.000-05:00 [author] => [imageFile] => [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => [subtitle] => Unforced Errors in Compliance [summary] =>

    In this episode Matt Kelly and I take a deep dive into a couple of recent SEC enforcement actions. The first involved L-3 Technologies and accounting irregularities. The second involves BlackRock and the continued issues around pre-taliation. We connect these enforcement actions to broader issues involving the COSO 2013 Framework, the DOJ mandated expertise in compliance, a speak-up culture and remedial actions. For additional information, check out Matt's blog posts on these topics:

     Lessons Galore in New SEC Internal Controls Case; and SEC Dings BlackRock for Pre-Taliation Clauses.

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  • In this episode Matt Kelly and I take a deep...
  • Array ( [id] => 8b897172-d3ee-11e8-8137-a3cb3ac8f3eb [createdAt] => 2018-10-04T16:07:42.121-04:00 [updatedAt] => 2018-10-19T18:30:13.233-04:00 [title] => Compliance into the Weeds-Episode 24 [pubdate] => 2017-01-11T15:29:00.000-05:00 [author] => [imageFile] => [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => [subtitle] => Jim Doty's Proposal for a Regulatory FCPA Scheme [summary] =>

    In this episode Matt Kelly and myself take a deep dive into the compliance weeds by looking at a paper written by then SEC General Counsel James Doty (later head of the PCAOB) in 2007 where he proposes a regulatory scheme for FCPA compliance. Matt and I discuss the pros and cons and how the SEC Chairman designate Jay Clayton may view the issues. We then take a brief look at the arrest of VW executive Oliver Schmidt and both conclude that it presents ZERO problems for any Chief Compliance Officer or compliance practitioner going forward. 

    For additional reading, see

    Matt Kelly blog post on Doty article, "Ye Olde Plan for FCPA Compliance";Matt Kelly blog post on Oliver arrest, "Enough About CCO Liability"Tom Fox blog post on Oliver arrest "Honey I Think We Should Vacation at Home this Year"' and Jim Doty article "Toward a Reg. FCPA: A Modest Proposal for Change in Administering the Foreign Corrupt Practices Act"  

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  • In this episode Matt Kelly and myself take a deep...
  • Array ( [id] => a6600d76-d3ee-11e8-a27b-a7e6f9ce375b [createdAt] => 2018-10-04T16:07:46.964-04:00 [updatedAt] => 2018-10-19T18:30:58.356-04:00 [title] => Compliance into the Weeds-Episode 23 [pubdate] => 2017-01-05T08:00:00.000-05:00 [author] => [imageFile] => [explicit] => [episodeType] => full [seasonNumber] => [episodeNumber] => [subtitle] => Six Compliance Issues to Consider in 2017 [summary] =>

    In this episode Matt Kelly and I take a deep dive into 6 compliance issues you should keep an eye on in 2017. They include the Wal-Mart FCPA resolution, the future of the FCPA Pilot Program, the SEC Whistleblower program, the Next PCAOB Chairman, the future of new overtime rules and finally the Barclay's trial for mortgage fraud in the context of the 2008 financial crisis. We also take a look at the GOP attempt to denude the Office of Congressional Ethics and their immediate reversal in the face of intense criticism. For additional reading check out Matt's two blogs on these subjects:  Ethics, Politics, and Optics in New Washington and  Six Compliance Events to Watch in 2017

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  • In this episode Matt Kelly and I take a deep...
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    In this episode Matt Kelly and I take deep dive into the United Airlines SEC enforcement action for violation of internal controls around its reinstitution of a route from Newark to South Carolina at the insistence of the then Chairman of the New York and New Jersey Port Authority David Sampson in exchange for a concession to expand its physical facilities at the Newark airport. We review the background facts, as set out in the SEC Cease and Desist Order and the Justice Department Non-prosecution. We take a look at the internal controls violation of the former UA CEO for violating the company's Code of Conduct, the finding of a lack of internal controls around its route reinstitution protocol and finally discuss the problem of senior management override of internal controls. 

    For more information on this enforcement action, check out Matt's blog post on this matter, entitled, "This Weird United Airlines Case Just Happened"  and my blog post entitled, "The Chairman's Flight and the US Corrupt Practices Act". 

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  • In this episode Matt Kelly and I take deep dive...
Compliance into the Weeds

Compliance into the Weeds

Each week, Tom Fox and Matt Kelly delve into all the details of a different topic in Enterprise Risk Management
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