Everything Compliance

Welcome to this Special Edition of Everything Compliance. In this episode, Matt Kelly, Jonathan Marks, Karen Woody, and Karen Moore examine various issues for compliance professionals under the incoming administration. Jonathan Marks discusses how deepfake videos facilitate fraud and how companies can combat this scourge. He shouts out to Miriam Chamani and her Voodoo Spiritual Temple. Karen Moore takes a deep dive into sustainability requirements in the EU and what these obligations mean for US companies under the second Trump administration. She shouts out to all the delivery folks this holiday season. Matt Kelly examines the DOGE initiative and its potential impact on compliance. He rants about the Pete Hegseth nomination and praises the South Korean people who opposed the presidential coup. Karen Woody examines what the new Trump administration may mean for the SEC in the future and rants about Time Magazine naming Donald Trump its Man of the Year. Tom Fox shouts out to the Shuffle Mamas. The members of the Everything Compliance are: Karen Woody – is one of the top academic experts at the SEC. Woody can be reached at kwoody@wlu.edu Matt Kelly – Founder and CEO of Radical Compliance. Kelly can be reached at mkelly@radicalcompliance.com Jonathan Armstrong – is our UK colleague and an experienced data privacy/data protection lawyer in London. He can be reached at Jonathan.Armstrong@puntersouthall.law. Jonathan Marks – can be reached at jtmarks@gmail.com Karen Moore – is a principal at Sounding Board Compliance and can be reached at karen.moore@soundingboardcompliance.com The host and producer, rantor (and sometime panelist) of Everything Compliance is Tom Fox, the Voice of Compliance. He can be reached at tfox@tfoxlaw.com. Everything Compliance is a part of the award-winning Compliance Podcast Network.For more information on the Ethico Toolkit for Middle Managers, available at no charge by clicking here.Check out the full 3-book series, The Compliance Kids on Amazon.com. Learn more about your ad choices. Visit megaphone.fm/adchoices

In this enlightening discussion, guests Matt Kelly, Jonathan Marks, Karen Woody, Jonathan Armstrong, and Karen Moore dive into the compliance implications of a potential second Trump administration. Marks critiques the PCAOB and NOCLAR initiatives, while Woody sheds light on expected SEC regulations. Kelly reflects on corporate compliance challenges, and Armstrong provides a global perspective on data privacy issues. Moore emphasizes core values amidst political uncertainty, inspiring listeners to find joy even during tumultuous times.

Welcome to the only roundtable podcast in compliance as we celebrate our second century of shows. A few months ago, we had a Special Edition of some of the Great Women in Compliance, together with our female panelists, all hosted by Kristy Grant-Hart. The episode was so popular (and the host and guests had so much fun) that everyone involved decided to make it a quarterly event. In today’s episode, Everything Compliance (Q4-GWIC edition) is hosted by Kristy Grant-Hart, and the guest panelists include Karen Moore, Lisa Fine, and Hemma Lomax. Host Kristy Grant-Hart takes a deep dive into meeting recording and note-taking services and why you need to disable these default settings. She shouts out to her hometown LA Dodgers for winning the World Series and rants about one of her favorite stores, Williams-Sonoma, playing holiday music before Halloween. Karen Moore looks at Modern Slavery. She raves about United Airlines and its unending stream of communications. Lisa Fine takes a deep dive into the RTX settlements. In her Raves and Rants segment, she has a rant and a rave. First, after noting she cannot play Christmas music more than two weeks before Thanksgiving, she rants about vendors pushing compliance officers to use the budget in Q4, and she raves about her hometown, Buffalo Bills. Hemma Lomax explores the recent termination of multiple EY personnel for taking multiple trainings at the same time. She rants about the rush to write AI policies that are very prescriptive and exhaustive lists of approved uses with approved tools only because we have to be realistic about approaching these interests. The members of this special episode of Everything Compliance are: Karen Woody is one of the top academic experts at the SEC and the co-host of the award-winning podcast The Woody Report. Karen Moore is an Adjunct Law professor at the Fordham School of Law. Lisa Fine is a co-host of the award-winning Great Women in Compliance. Hemma Lomax is a co-host of the award-winning Great Women in Compliance. The host of this special episode of Everything Compliance is Kristy Grant-Hart, founder of Spark Compliance and co-host of the award-winning podcast 2 Gurus Talk Compliance. Learn more about your ad choices. Visit megaphone.fm/adchoices

Matt Kelly, Founder of Radical Compliance, shares insights on compliance failures at TD Bank, emphasizing the risks of poor strategies. Jonathan Marks, a seasoned data privacy lawyer, unpacks the nuances of Root Cause Analysis versus standard investigations, while Karen Moore from Sounding Board Compliance dives into DEI implications in Boeing's monitorship. The discussion also highlights criticisms of a misguided advertising campaign and the necessity for robust compliance frameworks to prevent future failures.

Welcome to the only roundtable podcast in compliance as we celebrate our second century of shows. In this episode, we are joined by Susan Divers, Consultant at Ethena as our Special Guest and we take up the 2024 Update to the Evaluation of Corporate Compliance Programs (2024 ECCP). This week we have the quartet of Matt Kelly, Jonathan Marks, Special Guest Susan Divers and Karen Moore; all hosted by Tom Fox.1. Special Guest Susan Divers says the key to the 2024 is that it focuses on outputs rather than inputs or processes. She shouts out to Washington Commanders.2. Jonathan Marks considers continuous controls monitoring mandates in the 2024 ECCP. He shouts out to Philadelphia Phillies for making the NL Playoffs and rants about TSA.3. Karen Moore takes a deep dive into new information on whistleblowers, reporting functions and whistleblower protections in the 2024 ECCP. She is sad because of the increased threat of violence during the Jewish High Holy Days. 4. Matt Kelly looks at the intersection of AI and compliance found in the 2024 ECCP. He rants about Trump appointed US district judge Kathryn Mizelle who ruled the False Claims Act unconstitutional.5. Tom Fox shouts out to Colorado District Judge Matthew Barrett for his sentencing of convicted election tamperor Tina Peters.The members of the Everything Compliance are:•       Karen Woody – Is one of the top academic experts on the SEC. Woody can be reached at kwoody@wlu.edu•       Matt Kelly – Founder and CEO of Radical Compliance. Kelly can be reached at mkelly@radicalcompliance.com•       Jonathan Armstrong –is our UK colleague and an experienced data privacy/data protection lawyer in London. He can be reached at Jonathan.Armstrong@puntersouthall.law•       Jonathan Marks can be reached at jtmarks@gmail.com•       Karen Moore is a principal at Sounding Board Compliance, and can be reached at Karen.moore@soundingboardcompliance.comThe host and producer, rantor (and sometime panelist) of Everything Compliance is Tom Fox the Voice of Compliance. He can be reached at tfox@tfoxlaw.com. Everything Compliance is a part of the award-winning Compliance Podcast Network. For more information on the Ethico Toolkit for Middle Managers, available at no charge by clicking here.Check out the full 3-book series, The Compliance Kids on Amazon.com. Learn more about your ad choices. Visit megaphone.fm/adchoices

Welcome to the only roundtable podcast in compliance as we celebrate our second century of shows.In this episode, we take up a potpourri of topics. We have the quartet of Matt Kelly Jonathan Armstrong, Jonathan Marks, and Karen Moore; all hosted by Tom Fox. Matt Kelly looks at the issue of what and who are in your Supply Chain after the pager attacks in Lebanon. He shouts out to Michaela Deprince for a life well lived. Karen Moore takes a deep dive into executive Clawback and Holdback provisions. She shouts out to Nick Gallo and asks all to keep him in their thoughts and prayers for a speedy recovery. Karen Woody reviews the Flyfish SEC enforcement action about NFTs as securities. She shouts out to pop culture and the great show on Apple TV Slow Horses. Jonathan Marks considers the imbroglio of PwC in China and what it means for audit firms trying to do business in China. He shouts out to eBay for providing authenticator services and briefs us on the Keeper Test. Tom Fox shouts out to Los Angeles Dodger Shohei Ohtani for having one of the greatest single seasons in MLB by a hitter. The members of the Everything Compliance are: Karen Woody – Is one of the top academic experts on the SEC. Woody can be reached at kwoody@wlu.edu Matt Kelly – Founder and CEO of Radical Compliance. Kelly can be reached at mkelly@radicalcompliance.com Jonathan Armstrong – is our UK colleague and an experienced data privacy/data protection lawyer in London. He can be reached at Armstrong@puntersouthall.law Jonathan Marks can be reached at jtmarks@gmail.com Karen Moore is a principal at Sounding Board Compliance, and can be reached at moore@soundingboardcompliance.com The host and producer, rantor (and sometime panelist) of Everything Compliance is Tom Fox the Voice of Compliance. He can be reached at tfox@tfoxlaw.com. Everything Compliance is a part of the award-winning Compliance Podcast Network.For more information on the Ethico Toolkit for Middle Managers, available at no charge by clicking here.Check out the full 3-book series, The Compliance Kids on Amazon.com. Learn more about your ad choices. Visit megaphone.fm/adchoices

Welcome to the only roundtable podcast in compliance as we celebrate our second century of shows. In this episode, we take up a potpourri of topics. We have the quartet of Matt Kelly Jonathan Armstrong, Jonathan Marks, and Karen Moore; all hosted by Tom Fox.1. Jonathan Armstrong looks at HP and their decision to continue proceedings against the Estate of Mike Lynch after his death. He rants about Claude Weil and the Grenfell Tower disaster.2. Jonathan Marks considers the role of the Audit Committee on a Board. He rants about his beloved Philadelphia Eagles and the NFL having their home opening on a Friday night in Brazil. 3. Karen Moore considers the Boston Consulting Group FCPA Declination. She shouts out to the Victorian Lyric Opera Company. 4. Matt Kelly looks at the RTX enforcement action by the State Department. He shouts out to the Brazilian judiciary for standing up the bullying tactics of Elon Musk in their legal dispute. 5. Tom Fox shouts out to Professor Stephen Bainbridge and his dismantling of the DExit fallacy. The members of the Everything Compliance are:•       Karen Woody – Is one of the top academic experts on the SEC. Woody can be reached at kwoody@wlu.edu•       Matt Kelly – Founder and CEO of Radical Compliance. Kelly can be reached at mkelly@radicalcompliance.com•       Jonathan Armstrong –is our UK colleague and an experienced data privacy/data protection lawyer in London. He can be reached at his new law firm Jonathan.Armstrong@puntersouthall.law•       Jonathan Marks can be reached at jtmarks@gmail.com•       Karen Moore can be reached at Kmoore51@fordham.eduThe host and producer, rantor (and sometime panelist) of Everything Compliance is Tom Fox the Voice of Compliance. He can be reached at tfox@tfoxlaw.com. Everything Compliance is a part of the award-winning Compliance Podcast Network. For more information on the Ethico Toolkit for Middle Managers, available at no charge by clicking here.Check out the full 3-book series, The Compliance Kids on Amazon.com. Learn more about your ad choices. Visit megaphone.fm/adchoices

Welcome to the only roundtable podcast in compliance as we celebrate our second century of shows.In this episode, we take up the recent imbroglio surrounding the Bank of America and its toxic workplace culture of 100+ hour work weeks. We have the full quintet of Matt Kelly, Jonathan Armstrong, Karen Woody, Jonathan Marks, and Karen Moore; all hosted by Tom Fox. Matt Kelly mines the matter for compliance lessons learned. He shouts out the GOP speakers at the recently concluded Democratic National Convention who bucked their party for the good of the nation. Jonathan Marks explores how internal controls were in place but not completely disregarded. He shouts out to researchers at the University of Pennsylvania for its work in CART cell therapy to treat certain types of cancer. Karen Moore considers the matter from the perspective of the Board of Directors and what their role should be. She shouts out to her students in the new semester of her class at Fordham Law School. Karen Woody takes a deep dive into the district court’s recent dismissal of the SEC complaint against Solar Winds. She shouts out the persons who ran the Democratic National Convention for a great Convention. Jonathan Armstrong reviews the entire matter from his UK perspective. He rants about Elon Musk and hate speech on X. Tom Fox shouts out to Rick Springfield and his hit song Jessie’s Girl as one of the two most well-known and sung songs from the 1980’s.  The members of the Everything Compliance are: Karen Woody – Is one of the top academic experts on the SEC. Woody can be reached at kwoody@wlu.edu Matt Kelly – Founder and CEO of Radical Compliance. Kelly can be reached at mkelly@radicalcompliance.com Jonathan Armstrong –is our UK colleague and an experienced data privacy/data protection lawyer in London. He can be reached at his new law firm Jonathan.Armstrong@puntersouthall.law Jonathan Marks can be reached at jtmarks@gmail.com Karen Moore can be reached at Kmoore51@fordham.edu The host and producer, rantor (and sometime panelist) of Everything Compliance is Tom Fox the Voice of Compliance. He can be reached at tfox@tfoxlaw.com. Everything Compliance is a part of the award-winning Compliance Podcast Network. Learn more about your ad choices. Visit megaphone.fm/adchoices

Welcome to the only roundtable podcast in compliance as we celebrate our second century of shows. We have a plethora of topics for this episode, including the DOJ Whistleblower Incentive Program, a look at Solar Winds, a new Caremark decision, an effective internal audit and the new AI law in the EU, which we slice and dice from a variety of perspectives.We have the full quintet of Matt Kelly, Jonathan Armstrong, Karen Woody, Jonathan Marks, and our newest panelist, Karen Moore, all hosted by Tom Fox.1. Jonathan Armstrong takes a look at the new EU Low regarding AI. He shouts out to Sir Andy Murray for a great career and life.2. Matt Kelly asks multiple questions about the form of the guilty plea and what it may mean for compliance professionals going forward. He rants about Wyoming Senator Cynthia Lummis and her legislation for a Strategic Bitcoin Reserve.3. Karen Moore considers the Centene case, which denied a Caremark claim. She rants about German TV only showing German competitors in their Olympic coverage and she shouts out to the perseverance of Ukrainians, where students attending class at the Kyiv School of Economics will stop class during an air raid and start class again when the All Clear is given.4. Tom Fox shouts out to Simone Biles and the beauty, power, and grace of women’s gymnastics at the Olympics, going back to Olga Korbut.5. Karen Woody takes a deep dive into the district court’s recent dismissal of the SEC complaint against SolarWinds. She shouts out to President Biden for bringing hostages home from Russia and a job well done.6. Jonathan Marks reviews what makes internal controls effective.The members of Everything Compliance are: Karen Woody is one of the top academic experts on the SEC. Woody can be reached at kwoody@wlu.edu Matt Kelly is Founder and CEO of Radical Compliance. Kelly can be reached at mkelly@radicalcompliance.com Jonathan Armstrong is a UK colleague and an experienced data privacy/data protection lawyer in London. He can be reached at his new law firm, jonathan.armstrong@puntersouthall.law Jonathan Marks can be reached at jtmarks@gmail.com Karen Moore can be reached at kmoore51@fordham.edu The host and producer, rantor (and sometime panelist) of Everything Compliance is Tom Fox the Voice of Compliance. He can be reached at tfox@tfoxlaw.com. Everything Compliance is a part of the award-winning Compliance Podcast Network.  Learn more about your ad choices. Visit megaphone.fm/adchoices

Welcome to the only roundtable podcast in compliance as we celebrate our second century of shows. In this episode, we welcome Karen Moore as a permanent panelist. We have one topic for this episode, the Boeing guilty plea which we slice and dice from a variety of perspectives. Karen is joined by Jonathan Marks, Jonathan Armstrong and Matt Kelly as panelists all hosted by Tom Fox.1. Jonathan Armstrong takes a look at the Boeing plea deal from his uniquely British perspective, with 3 takeaways. He shouts out to the new British Prime Minister Sir Kier Starmer.  2. Jonathan Marks considers the corporate governance and internal control failures. He rants about Board members who do not understand Board governance. 3. Karen Moore considers that multiple stake holders involved with Boeing and will they be covered in the resolution. She shouts out to the UK for their seamless transition of power after the July 4 election and to the Men’s Football team for making the UFEA Cup Final. 4. Matt Kelly asks multiple questions about the form of the guilty plea and what it may mean for compliance professionals going forward. He rants about Tractor Supply which ditched its DEI and sustainability efforts based on one Twitter campaign.5. Tom Fox shouts out to Pittsburg rookie Paul Skenes for his great first season and being named Starting Pitcher for the All-Star Game. The members of the Everything Compliance are:•       Karen Woody – Is one of the top academic experts on the SEC. Woody can be reached at kwoody@wlu.edu•       Matt Kelly – Founder and CEO of Radical Compliance. Kelly can be reached at mkelly@radicalcompliance.com•       Jonathan Armstrong –is our UK colleague and an experienced data privacy/data protection lawyer in London. He can be reached at his new law firm Jonathan.Armstrong@puntersouthall.law•       Jonathan Marks can be reached at jtmarks@gmail.com•       Karen Moore can be reached at Kmoore51@fordham.eduThe host and producer, rantor (and sometime panelist) of Everything Compliance is Tom Fox the Voice of Compliance. He can be reached at tfox@tfoxlaw.com. Everything Compliance is a part of the award-winning Compliance Podcast Network.  Learn more about your ad choices. Visit megaphone.fm/adchoices