Compliance into the Weeds

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.ResourcesMatt in Radical Compliance Learn more about your ad choices. Visit megaphone.fm/adchoices

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.ResourcesMatt in Radical Compliance Learn more about your ad choices. Visit megaphone.fm/adchoices

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.ResourcesMatt in Radical ComplianceTom in the FCPA Compliance and Ethics Report Learn more about your ad choices. Visit megaphone.fm/adchoices

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 unintended consequences of CCO certifications as required by the Department of Justice.  Highlights include:·      What happened to reasonable and proportional?·      What about control override?·      What is the purpose of compliance training?·      What is effective compliance training?·      Is compliance training complimentary to compliance training effectiveness?ResourcesMatt in Radical Compliance Learn more about your ad choices. Visit megaphone.fm/adchoices

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 some recent crazy stories involving CCOs, compliance professionals and the compliance function.  Highlights include:·      New CCO at Facebook and the results.·      Did Penn State CCO engage in retaliation, discrimination and harassment?·      Is a contract non-renewal retaliation?ResourcesMatt in Radical Compliance Learn more about your ad choices. Visit megaphone.fm/adchoices

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 recently released GAO report on failures in the US Army SHARP program, largely around policies and procedures, with a dash of culture thrown in.  Highlights include:·      Why has SHARP failed?·      What is the role of policies and procedures in compliance? What about culture?·      How can assess your own internal training and communications?·      What are the 3 questions every compliance professional should ask?·      What are the lessons for the civilian compliance world?·      Where does the Army go from here?ResourcesMatt in Radical Compliance Learn more about your ad choices. Visit megaphone.fm/adchoices

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 perhaps our most somber podcast ever, Matt and Tom take a deep dive into some of the failures which led to the tragedy in Uvalde, TX, and lessons for the compliance professional. Highlights include:·      Why have controls?·      How can a control over-ride impact safety?·      How can you prepare for emergencies?· Thought-out lines of communication created before the emergency.·      When leadership is tested.   ·      What is the difference between ethical values and ethical priorities?ResourcesMatt in Radical Compliance Learn more about your ad choices. Visit megaphone.fm/adchoices

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. This week, Matt and Tom take a deep dive into the recent speech by Kenneth Polite, the Assistant Attorney General for the Criminal Division. Every compliance professional needs to read his remarks in depth as they give significant insight into what the DOJ expects in compliance programs and CCOs involved in enforcement actions. Highlights include:·      It all starts with a risk assessment.·      The importance of culture.·      Continuous testing and continuous improvement.·      The role of monitors.·      CCO certification going forward.   ResourcesMatt in Radical Compliance Learn more about your ad choices. Visit megaphone.fm/adchoices

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. This week, Matt and Tom take a deep dive into the recently released Commonewealth Edison report on the current state of its compliance program. Highlights include: Why is ComEd publicly filing a compliance report? How did Compliance Domains replace specific risks? The use of Design Thinking concepts in the Risk Assessment process. A direct line from Risk Assessments -> continuous monitoring-> continuous improvement-> reporting. ResourcesMatt in Radical Compliance Learn more about your ad choices. Visit megaphone.fm/adchoices

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. This week, Matt and Tom take a deep dive into the recent response of JPMorgan to the whistleblower termination allegations of Shaqualla Williams. Highlights include: What does whistleblower protection actually mean? Can a company fire an employee for other conduct if they have filed a whistleblower report? Will this become the template for getting rid of whistleblowers? Do the substance of whistleblower reports matter? ResourcesMatt in Radical Compliance Learn more about your ad choices. Visit megaphone.fm/adchoices