Everything Compliance

Welcome to the only roundtable podcast in compliance. The entire gang was also recently honored by W3 as a top talk show in podcasting. In this episode, we have the full gang of Jonathan Marks, Karen Woody, Jonathan Armstrong, Tom Fox, Matt Kelly and Jay Rosen. We discuss a potpourri of issues. We conclude with our fan favorite Shout Outs and Rants. Karen Woody reviews the recent HeadSpin SEC enforcement action, explaining how the SEC has jurisdiction over a private company, the significance of an enforcement action with no fine or penalty and the corporate governance issues involved. Karen shouts out to the Super Bowl Halftime show for throwing love on 90s music and musical stars. Jay Rosen discusses the recently released Commission on Combatting Synthetic Opioid Trafficking Report. Rosen shouts out to celebrity chef Jose Andreas for creating the Gazpacho Police in the 1990s long before Marjorie Green Taylor accused Nancy Pelosi of doing so and for inviting Rep. Taylor to join, provided she is vaccinated and wears a mask to the restaurant. Matt Kelly looks at the Joe Rogan and Spotify imbroglio, focusing the attempts of Spotify CEO Daniel Ek to focus the spotlight on Rogan and not Spotify. Kelly shouts out to that unknown US criminal enforcement agency, the National Archives which raided Mar-A-Lago where the former President had purloined some 15 boxes of Presidential papers and materials. He also gives a minor shout out to New York Times columnist Maggie Haberman who in an upcoming book reported the former President flushed documents down the toilets at the White House. Jonathan Marks discusses continuous controls monitoring and continuous auditing as best practices for compliance, risk management and fraud prevention programs. Marks shouts out to the Philadelphia 76ers for getting rid of Ben Simmons who refused to play for them. He implores Simmons to get a new agent for his disastrous handling of the entire situation. Jonathan Armstrong discusses the civil verdict for HP in its case against Autonomy and the Extradition Order delivered by the Home Secretary for Mike Lynch to go to America to stand for a US criminal trial. Armstrong shouts out to Queen Elizabeth II for her 70-year reign on the English throne. Tom Fox has a melancholy shout out to the University of Michigan School of Law and greater legal education profession, which lost two stalwart professors recently; Yale Kamisar, Father of Miranda and Terrance Sandalow, former Dean of the Law School.  The members of the Everything Compliance are: Jay Rosen– Jay is Vice President, Business Development Corporate Monitoring at Affiliated Monitors. Rosen can be reached at JRosen@affiliatedmonitors.com Karen Woody – One of the top academic experts on the SEC. Woody can be reached at kwoody@wlu.edu Matt Kelly – Founder and CEO of Radical Compliance. Kelly can be reached at mkelly@radicalcompliance.com Jonathan Armstrong –is our UK colleague, who is an experienced data privacy/data protection lawyer with Cordery in London. Armstrong can be reached at armstrong@corderycompliance.com Jonathan Marks is Partner, Firm Practice Leader - Global Forensic, Compliance & Integrity Services at Baker Tilly. Marks can be reached at marks@bakertilly.com The host and producer, ranter (and sometime panelist) of Everything Compliance is Tom Fox the Voice of Compliance. He can be reached at tfox@tfoxlaw.com. Everything Compliance is a part of the Compliance Podcast Network. Learn more about your ad choices. Visit megaphone.fm/adchoices

Welcome to the only roundtable podcast in compliance. The entire gang was also thrilled to be honored by W3 as a top talk show in podcasting. In this episode, we have the quintet of Karen Woody, Jonathan Armstrong, Tom Fox, Matt Kelly and Jay Rosen. We discuss some of the key issues from the Activision Blizzard acquisition by Microsoft in the context of the BeeGees.  We also have a special tribute section to Meatloaf as well as Shout Outs and Rants.1. Karen Woody used Staying Alive to look at the SEC angle on the acquisition. Karen shouts out to workers in the travel industry for getting travelers home during the holidays.  Woody paid tribute to Meatloaf's acting career, the Rocky Horror movie and the song Hot Potootie Bless My Soul which her father still loves and is played annually at his birthday.2. Jay Rosen reviewed To Love Somebody in asking what role can a monitor play in this matter? Rosen ranted about longtime Boston sportswriter Dan Shaughnessy who voted against David Ortiz for the HOF and shouted out to Big Papi’s response. Jay paid tribute to You Took the Words Right Out of My Mouth, Meatloaf's acting and SNL performances.3. Matt Kelly considered Massachusetts to consider the anti-trust angles and whether Microsoft can turn the corruption culture at Activision around. Kelly laments the missing child Heather Montgomery and all the officials who did not take her mother’s report of her disappearance seriously.  Matt paid tribute to those listeners who are too young to remember Meatloaf.4. Jonathan Armstrong used How Can You Mend a Broken Heart to look at EU and UK anti-trust issues as well as data privacy concerns under GDPR. Armstrong shouts out artist Tracy Emin for demanding No. 10 pull her artwork due to the corruption of BoJo. Jonathan paid tribute to Meatloaf's financial support of Jonathan's local football club Hartlepool United.5. Tom Fox considered the role of the Microsoft Board of Directors in the acquisition. He shouted out to the Joel Coen movie Macbeth and started Oscar buzz by further shouting out to Kathryn Hunter for her portrayal of the 3 sisters.  Tom paid tribute to Paradise by the Dashboard Lights. The members of the Everything Compliance are:•       Jay Rosen– Jay is Vice President, Business Development Corporate Monitoring at Affiliated Monitors. Rosen can be reached at JRosen@affiliatedmonitors.com•       Karen Woody – One of the top academic experts on the SEC. Woody can be reached at kwoody@wlu.edu•       Matt Kelly – Founder and CEO of Radical Compliance. Kelly can be reached at mkelly@radicalcompliance.com•       Jonathan Armstrong –is our UK colleague, who is an experienced data privacy/data protection lawyer with Cordery in London. Armstrong can be reached at jonathan.armstrong@corderycompliance.com•       Jonathan Marks is Partner, Firm Practice Leader - Global Forensic, Compliance & Integrity Services at Baker Tilly. Marks can be reached at jonathan.marks@bakertilly.comThe host and producer, ranter (and sometime panelist) of Everything Compliance is Tom Fox the Voice of Compliance. He can be reached at tfox@tfoxlaw.com. Everything Compliance is a part of the Compliance Podcast Network.  Learn more about your ad choices. Visit megaphone.fm/adchoices

Welcome to the only roundtable podcast in compliance. The entire gang was also thrilled to be honored by W3 as a top talk show in podcasting. In this episode, we have the sextet of Karen Woody, Jonathan Armstrong, Matt Kelly and Jay Rosen. We discuss some of the key issues we will be watching in 2022.  1. Karen Woody will be watching the legal evolution around SPACs and expansion of insider trading laws. Karen shouts out to workers in the travel industry for getting travelers home during the holidays.  2. Jay Rosen reviews the considers the Holmes verdict, Tyler Schultz/whistleblowers and the celebrity BOD failure at Theranos. Rosen shouts out to Antonio Brown.3. Matt Kelly considers the Log4j cybersecurity threat and the SEC move to regulate ESG. Kelly rants about Elon Musk selling his Tesla stock immediately before the company announces a massive product recall.  4. Jonathan Armstrong tackles several topics; ransomware, Safe Harbor, EU Whistleblower Directive, Supply Chain & China. Armstrong shouts out Nicholas Burk and synthetic ransomware attacks. 5. Jonathan Marks looks at the intersection of crypto, currency and crime. Marks rants about the inconsistent information emanating from the CDC.6. Tom Fox rants about Novak Djokovic and his effort to avoid Covid-19 protocols in Australia.    The members of the Everything Compliance are:•       Jay Rosen– Jay is Vice President, Business Development Corporate Monitoring at Affiliated Monitors. Rosen can be reached at JRosen@affiliatedmonitors.com•       Karen Woody – One of the top academic experts on the SEC. Woody can be reached at kwoody@wlu.edu•       Matt Kelly – Founder and CEO of Radical Compliance. Kelly can be reached at mkelly@radicalcompliance.com•       Jonathan Armstrong –is our UK colleague, who is an experienced data privacy/data protection lawyer with Cordery in London. Armstrong can be reached at jonathan.armstrong@corderycompliance.com•       Jonathan Marks is Partner, Firm Practice Leader - Global Forensic, Compliance & Integrity Services at Baker Tilly. Marks can be reached at jonathan.marks@bakertilly.comThe host and producer, ranter (and sometime panelist) of Everything Compliance is Tom Fox the Voice of Compliance. He can be reached at tfox@tfoxlaw.com. Everything Compliance is a part of the Compliance Podcast Network.  Learn more about your ad choices. Visit megaphone.fm/adchoices

Welcome to the only roundtable podcast in compliance. The entire gang was also thrilled to be honored by W3 as a top talk show in podcasting. In this episode, we have the sextet of Karen Woody, Jonathan Armstrong, Matt Kelly and Jay Rosen, with host Tom Fox also weighing in on this episode. We also discuss our favorite story of 2021. We end with a veritable mélange of shouts outs and rants.  1. Karen Woody reviews the increase in SEC enforcement that the regulators have told us throughout the year that is coming. Karen shouts out to starting early Emmy buzz for Ted Lasso.  2. Jay Rosen reviews the Activision imbroglio from the missteps of the CCO to the disseminations of the CEO. Rosen shouts out to civility.3. Matt Kelly reviews the latest iteration of ransomware attacks and contrasts it with data privacy breaches from the past. Kelly shouts out to the NJ sandwich shop Hometown International, which with $35K in annual sales resulting in a $100MM market cap evaluation.  4. Jonathan Armstrong goes back to consider the long running soap opera, sage and story that is Carlos Ghosn and Nissan. Armstrong shouts out to who show true leadership in a crisis and the Spirit of Christmas.5. Jonathan Marks reviews the increase Caremark duties for Boards of Directors coming out of the Delaware courts. Marks expands on his rant about Hall of Fame horse trainer Bob Blaffert.6. Tom Fox reviews the year in ESG and why compliance is the most well-suited corporate function to lead a corporate ESG effort. shouts out to John Lee Dumas, who as a college senior on 9/11, knew that night he was going to war, and to all the men and women who served in combat in America’s 20-year war in Iraq and Afghanistan.   The members of the Everything Compliance are:•       Jay Rosen– Jay is Vice President, Business Development Corporate Monitoring at Affiliated Monitors. Rosen can be reached at JRosen@affiliatedmonitors.com•       Karen Woody – One of the top academic experts on the SEC. Woody can be reached at kwoody@wlu.edu•       Matt Kelly – Founder and CEO of Radical Compliance. Kelly can be reached at mkelly@radicalcompliance.com•       Jonathan Armstrong –is our UK colleague, who is an experienced data privacy/data protection lawyer with Cordery in London. Armstrong can be reached at jonathan.armstrong@corderycompliance.com•       Jonathan Marks is Partner, Firm Practice Leader - Global Forensic, Compliance & Integrity Services at Baker Tilly. Marks can be reached at jonathan.marks@bakertilly.comThe host and producer, ranter (and sometime panelist) of Everything Compliance is Tom Fox the Voice of Compliance. He can be reached at tfox@tfoxlaw.com. Everything Compliance is a part of the Compliance Podcast Network.  Learn more about your ad choices. Visit megaphone.fm/adchoices

Welcome to the only roundtable podcast in compliance. The entire gang was also thrilled to be honored by W3 as a top talk show in podcasting. In this episode, we have the quartet of Karen Woody, Jonathan Armstrong, Matt Kelly and Jay Rosen. We end with a veritable mélange of shouts outs and rants.  1. Karen Woody looks at a recent panel of two consisting of the current and most recent chair of the SEC, Gary Gensler and Jay Clayton respectively. Karen shouts out to the Indianapolis Motor Speedway.  2. Jay Rosen considers telemedicine and telehealth coming out of the pandemic. Rosen rants about Tampa Bay receiver Antonio Brown who misrepresented his vaccination status by presenting a fraudulent shot card to the Bucs.3. Matt Kelly looks at recent imbroglios involving SPACs, their inherent conflicts of interest and corporate governance issues. Kelly has a Shout Out to the Women’s Tennis Association for their pulling their tennis tournaments out of China in the wake of the Chinese government’s treatment of Peng Shuai after she raised issues of sexual harassment against a high-ranking Party member.  4. Jonathan Armstrong takes look at a recent UK data privacy enforcement action against the UK government due to the release of Personal Identifiable Information. Armstrong shouts out to the EU Public Prosecutors Office. 5. Tom Fox has his first dual rant/shout out. He rants about MLB locking out the players, particularly the inanity of doing so during the offseason. He shouts out to Houston Chronicle sports columnist Brian Smith for editorializing that MLB should use this time to fix the game of baseball, instead of trying to simply save a few pennies.  The members of the Everything Compliance are:•       Jay Rosen– Jay is Vice President, Business Development Corporate Monitoring at Affiliated Monitors. Rosen can be reached at JRosen@affiliatedmonitors.com•       Karen Woody – One of the top academic experts on the SEC. Woody can be reached at kwoody@wlu.edu•       Matt Kelly – Founder and CEO of Radical Compliance. Kelly can be reached at mkelly@radicalcompliance.com•       Jonathan Armstrong –is our UK colleague, who is an experienced data privacy/data protection lawyer with Cordery in London. Armstrong can be reached at jonathan.armstrong@corderycompliance.com•       Jonathan Marks is Partner, Firm Practice Leader - Global Forensic, Compliance & Integrity Services at Baker Tilly. Marks can be reached at jonathan.marks@bakertilly.comThe host and producer, ranter (and sometime panelist) of Everything Compliance is Tom Fox the Voice of Compliance. He can be reached at tfox@tfoxlaw.com. Everything Compliance is a part of the Compliance Podcast Network.  Learn more about your ad choices. Visit megaphone.fm/adchoices

Welcome to the only roundtable podcast in compliance. The entire gang is thrilled to be honored by W3 as a top talk show in podcasting. In the context of several different stories, the full gang takes into the recent speech by Deputy Attorney General Lisa Monaco announcing a shift in enforcement focus by the DOJ. We end with a veritable mélange of shouts outs and rants.  1. Karen Woody looks at it from the SEC perspective and reviews some additional remarks by SEC Chair Gensler on the topic. Karen shouts out to the TV show and pop culture phenomenon Succession.  2. Jay Rosen discusses the speech from the monitorship perspective. Rosen has a melancholy rant about shooting victims on movie sets. Rosen shouts out to dads everywhere by honoring OBS, Odell Beckham, Sr. for getting his son out of Cleveland and to the LA Rams.3. Matt Kelly gives an overview of the speech and what it all means. Kelly has a Shout Out to People Magazine and Paul Ruud. The Mag named Ruud the ‘Sexiest Man in America for 2021’.  4. Jonathan Armstrong takes a look at the speech from the UK perspective and ties in a couple of recent UK data privacy enforcement actions. Armstrong shouts out and rants about the fraudster Dr. Ruja Ignatova and her fraudulent crypto currency OneCoin. 5. Jonathan Marks talks about this speech will impact internal investigations. He continues his last rant about hotels. This time for booking him into an already occupied room.  6. Tom Fox shouts out to the NFL Fashion Police for fining CeeDee Lamb over $15K for having his shirt tail out during a game while fining Aaron Rogers less than $15K for breaking Covid-19 protocols.  The members of the Everything Compliance are:•       Jay Rosen– Jay is Vice President, Business Development Corporate Monitoring at Affiliated Monitors. Rosen can be reached at JRosen@affiliatedmonitors.com•       Karen Woody – One of the top academic experts on the SEC. Woody can be reached at kwoody@wlu.edu•       Matt Kelly – Founder and CEO of Radical Compliance. Kelly can be reached at mkelly@radicalcompliance.com•       Jonathan Armstrong –is our UK colleague, who is an experienced data privacy/data protection lawyer with Cordery in London. Armstrong can be reached at jonathan.armstrong@corderycompliance.com•       Jonathan Marks is Partner, Firm Practice Leader - Global Forensic, Compliance & Integrity Services at Baker Tilly. Marks can be reached at jonathan.marks@bakertilly.comThe host and producer, ranter (and sometime panelist) of Everything Compliance is Tom Fox the Voice of Compliance. He can be reached at tfox@tfoxlaw.com. Everything Compliance is a part of the Compliance Podcast Network.  Learn more about your ad choices. Visit megaphone.fm/adchoices

Welcome to the only roundtable podcast in compliance. Today, we are joined by our newest panelist Karen Woody join us as a permanent panelist. The entire gang was also thrilled to be honored by W3 as a top talk show in podcasting. In the context of several different stories, the full gang takes a deep dive into the role, status and potential liability of the CCO. We end with a veritable mélange of shouts outs and rants.    Karen Woody talks about a 2018 SEC enforcement action which held a CCO personally liable and its implications going forward. Karen has a shout out WeWork going public via a SPAC. Jay Rosen discusses how monitors evaluate corporate whistleblowing programs. Rosen has a melancholy rant about shooting victims on movie sets. Matt Kelly discusses the enforcement action involving Credit Suisse and tuna bonds. Kelly has an extended rant about the ongoing debt crisis. Jonathan Armstrong looks the recent CMA fine in the UK against Facebook for changing CCOs twice without informing the CMA. He shouts out to the graduating class of 2021 and all they went through during Covid-19 to obtain their degrees. Jonathan Marks talks about the role of internal audit, the Board and whether the termination of a CCO should be an 8K event. He rants about hotels charging full prices while cutting back on their services. Tom Fox shouts out to Houston Astros who are in the World Series for the 3rd time in 5 years.  The members of the Everything Compliance are: Jay Rosen– Jay is Vice President, Business Development Corporate Monitoring at Affiliated Monitors. Rosen can be reached at JRosen@affiliatedmonitors.com Karen Woody – One of the top academic experts on the SEC. Woody can be reached at kwoody@wlu.edu Matt Kelly – Founder and CEO of Radical Compliance. Kelly can be reached at mkelly@radicalcompliance.com Jonathan Armstrong –is our UK colleague, who is an experienced data privacy/data protection lawyer with Cordery in London. Armstrong can be reached at armstrong@corderycompliance.com Jonathan Marks is Partner, Firm Practice Leader - Global Forensic, Compliance & Integrity Services at Baker Tilly. Marks can be reached at marks@bakertilly.com The host and producer, ranter (and sometime panelist) of Everything Compliance is Tom Fox the Voice of Compliance. He can be reached at tfox@tfoxlaw.com. Everything Compliance is a part of the Compliance Podcast Network. Learn more about your ad choices. Visit megaphone.fm/adchoices

Welcome to the Everything Compliance fan favorite edition of Shouts Outs and Rants.   Jonathan Armstrong shouts out to the Class of 2021 who lost a year of in-person learning but finally are able to receive their diplomas in person. Matt Kelly goes on an extended rant about the debt crisis and the moral bankruptcy of the GOP. Tom Fox shouts out to the Houston Astros form making their third trip to the World Series in 5 years and predicts a Houston victory over Atlanta. Jay Rosen has a melancholy rant about shooting victims on movie sets. Karen Woody rants about WeWork going public via a SPAC.   Learn more about your ad choices. Visit megaphone.fm/adchoices

Welcome to the only roundtable podcast in compliance. Today, we are thrilled to have our newest panelist Karen Woody join us as a permanent panelist. The entire gang was also thrilled to be honored by W3 as a top talk show in podcasting.  We end with a veritable mélange of shouts outs and one epic rant.    1. Karen Woody talks about the ‘wild west’ of cryptocurrency and the regulatory environment growing up around it. Karen has a shout out domestic tourism in Brown County Indiana.  2. Jay Rosen discusses the morally bankrupt culture at Facebook and how the company can begin to comeback from the abyss. Rosen shouts out to Josh Allen and the Buffalo Bills for being one of the best teams in the NFL this season and advises long-suffering Bills fan Lisa Fine to ‘enjoy the ride’. 3. Matt Kelly discusses the recent speech by SEC Director of Enforcement, Gurbir Grewal in which Grewal previewed an increase in penalties in enforcement by the SEC. Kelly shouts out to Kareem Abdul Jabbar for his evisceration of NBA players in general and Kyrie Irving in particular for their selfish attitudes in failing to get Covid vaccinations.  4. Jonathan Armstrong looks at whistleblowing in the EU. He shouts out to Emma Raducanu for her stunning win in the US Open this year. 5. Tom Fox rants about Waller County and its lack of criminal charges against drivers who intentionally or negligently run over cyclists.The members of the Everything Compliance are:•       Jay Rosen– Jay is Vice President, Business Development Corporate Monitoring at Affiliated Monitors. Rosen can be reached at JRosen@affiliatedmonitors.com•       Karen Woody – One of the top academic experts on the SEC. Woody can be reached at kwoody@wlu.edu•       Matt Kelly – Founder and CEO of Radical Compliance. Kelly can be reached at mkelly@radicalcompliance.com•       Jonathan Armstrong –is our UK colleague, who is an experienced data privacy/data protection lawyer with Cordery in London. Armstrong can be reached at jonathan.armstrong@corderycompliance.com•       Jonathan Marks is Partner, Firm Practice Leader - Global Forensic, Compliance & Integrity Services at Baker Tilly. Marks can be reached at jonathan.marks@bakertilly.com Learn more about your ad choices. Visit megaphone.fm/adchoices

Welcome to the only roundtable podcast in compliance. Today, we have the full quintet of Matt Kelly, Jonathan Marks, Mike Volkov, Jonathan Armstrong and Jay Rosen episode dedicated as our collective reflections on the 20thanniversary of 9/11. We end with a veritable mélange of shouts outs and one epic rant.    1. Mike Volkov has a melancholy shout out for the US soldiers killed in the recent bombing in Kabul who were not yet born or very young children on 9/11.  2. Jonathan Marks shouts out to the first responders of 9/11 and the men and women of the US military.  3. Jay Rosen shouts to civility and unity, lost commodities in 2021 America and hopes we can reclaim those qualities that brought us together after 9/11.4. Matt Kelly has an epic rant on backsliders in politics and society that are running away from what America stands for. 5. Jonathan Armstrong shouts out to all those first responders who run towards the danger and to Dr. Peter Holden and his colleagues who treated bombing victims on 7/7 in London.6. Tom Fox shouts out to men and women of the US military who went to war some 20 years ago when they were in the late teens and early 20s. He also shouts out to Iraq veteran John Lee Dumas who reminds us all that we are the Land of the Free because of the Brave.Additional Resources:For more reflections on 9/11, check out my podcast series, Looking Back on 9/11.  The full schedule is:Sept. 6-Gabe HidalgoSept. 7-Juan ZarateSept. 8-Alex DillSept. 9-Eric FeldmanSept. 10-Scott MoritzSept.11-John Lee Dumas The podcasts will post at midnight on iTunes, YouTube, Megaphone and Spotify. It will post at 6 AM on the Compliance Podcast Network and JDSupra.The members of the Everything Compliance are:•       Jay Rosen– Jay is Vice President, Business Development Corporate Monitoring at Affiliated Monitors. Rosen can be reached at JRosen@affiliatedmonitors.com•       Mike Volkov – One of the top compliance commentators and practitioners around and the Chief Executive Officer of The Volkov Law Group, LLC. Volkov can be reached at mvolkov@volkovlawgroup.com•       Matt Kelly – Founder and CEO of Radical Compliance. Kelly can be reached at mkelly@radicalcompliance.com•       Jonathan Armstrong –is our UK colleague, who is an experienced data privacy/data protection lawyer with Cordery in London. Armstrong can be reached at jonathan.armstrong@corderycompliance.com•       Jonathan Marks is Partner, Firm Practice Leader - Global Forensic, Compliance & Integrity Services at Baker Tilly. Marks can be reached at jonathan.marks@bakertilly.comThe host and producer, ranter (and sometime panelist) of Everything Compliance is Tom Fox the Voice of Compliance. He can be reached at tfox@tfoxlaw.com. Everything Compliance is a part of the Compliance Podcast Network.  Learn more about your ad choices. Visit megaphone.fm/adchoices