Compliance into the Weeds – Détails, épisodes et analyse

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Compliance into the Weeds

Tom Fox

Business & Entrepreneuriat

Actualités

Fréquence : 1 épisode/8j. Total Éps: 438

What happens when two compliance aficionados get together to talk all things compliance, risk management and ERM? You get Tom Fox, the Voice of Compliance and Matt Kelly, the Coolest Guy in Compliance, going into the weeds of a topic each week. Each week, you can take a deep dive with two of the top writers, thinkers and prognosticators in compliance.

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🇬🇧 Grande Bretagne - management
19/08/2026
#86
🇬🇧 Grande Bretagne - management
09/07/2026
#50
🇬🇧 Grande Bretagne - management
05/07/2026
#77
🇬🇧 Grande Bretagne - management
04/07/2026
#49
🇬🇧 Grande Bretagne - management
03/07/2026
#87
🇨🇦 Canada - management
23/02/2026
#96
🇨🇦 Canada - management
21/01/2026
#99
🇨🇦 Canada - management
11/01/2026
#71
🇬🇧 Grande Bretagne - management
20/12/2025
#79
🇨🇦 Canada - management
12/11/2025
#92

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Score global : 38%

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Liste des épisodes récents, avec titres, durées et descriptions.

Everything Old is New Again - The John Deere FCPA Enforcement Action

Épisode 387

mercredi 18 septembre 2024 • Durée 22:24

The award winning, Compliance into the Weeds is the only weekly podcast which takes a deep dive into a compliance related topic, literally going into the weeds to more fully explore a subject. Looking for some hard-hitting insights on compliance? Look no further than Compliance into the Weeds! In this episode Tom Fox and Matt Kelly take a deep dive into the recent Securities and Exchange Commission FCPA enforcement action involving John Deere. The case centers on a $10 million civil penalty imposed by the SEC for bribery activities in the Thailand office of a newly acquired subsidiary, Wirtgen Group. This transgression spanned from 2017 to 2020, and despite having a code of business conduct, Wirtgen employees flouted rules by falsifying expenses, entertaining government officials at massage parlors, and engaging in a luxury sightseeing tour under the guise of a factory visit. A critical issue was John Deere's delayed integration of Wirtgen into its compliance program, leading to internal control lapses and obvious red flags in expense reports. Although Deere has since taken significant remedial actions, including firing culpable employees and enhancing its compliance and internal audit programs, the situation underscores persistent compliance challenges even for large, sophisticated firms. This episode serves as a reminder of the essential compliance lessons from past decades that firms must steadfastly adhere to. Key Highlights · Details of the Bribery Scheme · Internal Control Violations · Pre and Post-Acquisition Due Diligence Issues · Remedial Steps and Improvements · Root Cause Analysis and Lessons Learned Resources Matt in Radical Compliance Tom Instagram Facebook YouTube Twitter LinkedIn Learn more about your ad choices. Visit megaphone.fm/adchoices

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Pre-taliation Illegality - from Employment Contracts to All Contracts

Épisode 386

mercredi 11 septembre 2024 • Durée 22:55

The award winning, Compliance into the Weeds is the only weekly podcast which takes a deep dive into a compliance related topic, literally going into the weeds to more fully explore a subject. Looking for some hard-hitting insights on compliance? Look no further than Compliance into the Weeds! In this episode, Tom Fox and Matt Kelly take a deep dive into the recent SEC enforcement actions against several companies for pre-taliation clauses and related illegal intent. Our conversation discusses recent enforcement actions by the SEC sanctioned against seven companies for a total of $3 million in civil penalties. The main issue was that these contracts required employees to forfeit any right to whistleblower awards if they reported misconduct to regulators. The conversation explores the legality of these contract clauses and the chilling effect they have on potential whistleblowers. Tom and Matt also discuss the challenges of remediation and the need for a comprehensive approach to address retaliatory clauses in all types of contracts. Key Highlights SEC Enforcement Actions on Pre-Retaliation Language The Illegality of Pre-Retaliation Clauses Addressing Pre-Retaliation Clauses: Remediation Challenges Expanding the Focus: From Employment Contracts to All Contracts Resources Matt in Radical Compliance Tom Instagram Facebook YouTube Twitter LinkedIn Check out the full 3-book series, The Compliance Kids on Amazon.com. Learn more about your ad choices. Visit megaphone.fm/adchoices

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The Supreme Court and Compliance

Épisode 377

mercredi 10 juillet 2024 • Durée 28:41

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CFPB on Data Protection Minimums

Épisode 288

mercredi 17 août 2022 • Durée 20:04

Compliance into the Weeds is the only weekly podcast which takes a deep dive into a compliance related topic, literally going into the weeds to more fully explore a subject. In this episode, we explore the recent CFPB circular which noted a company’s failure to implement adequate data protection measures can qualify as an unfair practice prohibited under the Consumer Financial Protection Act. Highlights include: · The CFPB is going to start bringing charges against more companies for sloppy data protection programs. · Three Key data protection security controls. · Why CISOs and IT needs to talk to compliance. · The role of auditing and monitoring. · How and where to get started. Resources Matt in Radical Compliance Learn more about your ad choices. Visit megaphone.fm/adchoices

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What is a ‘Reasonably Designed’ Compliance Program

mercredi 10 août 2022 • Durée 26:54

Compliance into the Weeds is the only weekly podcast that takes a deep dive into a compliance-related topic, literally going into the weeds to more fully explore a subject. In this episode, we explore the new requirements for CCO certification by considering what is meant by the term ‘reasonably designed’ compliance program. Highlights include: · What does ‘reasonably designed’ mean in practice and the eyes of the DOJ? · Should the DOJ articulate a standard? · Are CCOs certifying under greater risk? · What have other thought leaders opined? · Does this standard impact ‘effective’ compliance programs? Resources Matt in Radical Compliance Learn more about your ad choices. Visit megaphone.fm/adchoices

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Internal Controls Lessons from Cyber Failures in Wisconsin

Épisode 286

mercredi 3 août 2022 • Durée 23:50

Compliance into the Weeds is the only weekly podcast that takes a deep dive into a compliance-related topic, literally going into the weeds to more fully explore a subject. In this episode, we deep dive into recent failures detected in the state of Wisconsin regarding cyber security risks around election integrity. Highlights include: The risks were uncovered. What is a material risk? Why Multi-Factor Authentication is important cyber security control. What are the consequences of a single point of failure? How and when should redefine a hazard? What does CISA say about MFAs? Resources Matt in Radical Compliance Learn more about your ad choices. Visit megaphone.fm/adchoices

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Lessons from the Biotronik Anti-Kickback Enforcement Action

Épisode 285

mercredi 27 juillet 2022 • Durée 22:46

Compliance into the Weeds is the only weekly podcast which takes a deep dive into a compliance related topic, literally going into the weeds to more fully explore a subject. In this episode, we take a deep dive into the recent settlement by Biotronik with the DOJ over allegations of the violation of the Anti-Kickback Statue Highlights include: · Background facts. · Training programs as cover for bribes. · What is lavish entertainment? · What were the internal control failures? · Controls for high-risk payments. · Lessons learned for the ABC compliance professional. Resources Tom in the FCPA Compliance and Ethics Blog Part 1-Background Part 2-the Bribery Schemes and Lessons Learned Matt in Radical Compliance Learn more about your ad choices. Visit megaphone.fm/adchoices

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The Wild and Wacky World of Control Failures

Épisode 284

mercredi 20 juillet 2022 • Durée 24:17

Compliance into the Weeds is the only weekly podcast which takes a deep dive into a compliance related topic, literally going into the weeds to more fully explore a subject. In this episode, we take a deep dive into the recent story of an in-house attorney who was disbarred for fraudulent activities in creating fraudulent claims and fraudulent settlements. Highlights include: · Background facts. · Conflicts of Interests. · What were the internal control failures? · Were they material? · Lessons for the compliance professional. Resources Matt in Radical Compliance Learn more about your ad choices. Visit megaphone.fm/adchoices

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DFS Fines Carnival Cruise Lines for Cyber Failures

Épisode 283

mercredi 13 juillet 2022 • Durée 20:11

Compliance into the Weeds is the only weekly podcast which takes a deep dive into a compliance related topic, literally going into the weeds to more fully explore a subject. In this episode, we take a deep dive into the recent New York, Department of Financial Services enforcement action against Carnival Cruise Lines for failures in its cybersecurity reporting obligations. Highlights include: · Why is Carnival Cruise Lines subject to the DFS? · What violations occurred? · Why were there false certifications? · What were the tactical cyber security violations? · Were they material? · Lessons for the compliance professional. Resources Matt in Radical Compliance Learn more about your ad choices. Visit megaphone.fm/adchoices

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Dobbs and Compliance

Épisode 282

mercredi 29 juin 2022 • Durée 26:01

Compliance into the Weeds is the only weekly podcast which takes a deep dive into a compliance related topic, literally going into the weeds to more fully explore a subject. In this episode, we take a deep dive into some of the issues for compliance professionals in the wake of the Dobbs decision. Highlights include: · What should compliance professional do now? · What are your policies and procedures? · Forced-birth v. women’s right states. · Where does you company stand? · Preparing for compliance challenges ahead. · The next wave of civil rights issues destroyed. · Ethical practices v. obeying state laws · Social media outreach. Resources Matt in Radical Compliance Tom in the FCPA Compliance and Ethics Report Learn more about your ad choices. Visit megaphone.fm/adchoices

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