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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Everything Old is New Again - The John Deere FCPA Enforcement Action
Episode 387
Wednesday, September 18, 2024 • Duration 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
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Pre-taliation Illegality - from Employment Contracts to All Contracts
Episode 386
Wednesday, September 11, 2024 • Duration 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
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The Supreme Court and Compliance
Episode 377
Wednesday, July 10, 2024 • Duration 28:41
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 analyzing term-ending Supreme Court decisions from a compliance perspective.
They address the Jarkesy decision on SEC in-house tribunals, the Loper ruling overturning the Chevron deference doctrine, and the Snyder decision that narrows the scope of federal anti-corruption law. Despite the headlines, they conclude that these rulings have minimal direct impact on corporate compliance programs, emphasizing the ongoing importance of ethical integrity and effective compliance practices.
Key Highlights
· Supreme Court Cases Impacting Compliance
· The Jarkesy Decision: Minimal Impact on Compliance
· The Loper Case: Chevron Deference Overturned
· The Snyder Decision: A Controversial Ruling
· Implications and Final Thoughts
Resources
Matt on Radical Compliance
Tom
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CFPB on Data Protection Minimums
Episode 288
Wednesday, August 17, 2022 • Duration 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
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What is a ‘Reasonably Designed’ Compliance Program
Wednesday, August 10, 2022 • Duration 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
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Internal Controls Lessons from Cyber Failures in Wisconsin
Episode 286
Wednesday, August 3, 2022 • Duration 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
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Lessons from the Biotronik Anti-Kickback Enforcement Action
Episode 285
Wednesday, July 27, 2022 • Duration 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
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The Wild and Wacky World of Control Failures
Episode 284
Wednesday, July 20, 2022 • Duration 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
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DFS Fines Carnival Cruise Lines for Cyber Failures
Episode 283
Wednesday, July 13, 2022 • Duration 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
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Dobbs and Compliance
Episode 282
Wednesday, June 29, 2022 • Duration 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
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