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. 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

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 some of the impacts on compliance from the Russian invasion of Ukraine. Highlights include:·      How will the invasion impact your Supply Chain?·      What are the attributes of a compliance program that can lead your corporate response?·      What about cyber?·      Will all this lead to a more holistic ERM response?  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 Stericycle FCPA enforcement action. Highlights include:·      What is a business strategy based upon corruption?·      Over-expansion and under due diligence in M&A.·      Document Document Document·      The Monaco Doctrine at work.  ·      Lessons learned going forward.ResourcesDPASEC OrderMatt in Radical ComplianceTom in FCPA Compliance and Ethics Blog 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 are joined by Karen Woody and Jonathan Marks to consider the SEC’s recent proposed rules for disclosure of cyber breaches. Highlights include:·      What was in the proposals? The 60-day comment period is running.·      The 4-day disclosure requirement for material breaches.·      The corporate governance issues around Board reporting.·      What is the SEC trying to accomplish?  ·      Should your company have a cyber-risk committee? If so, who should be on it.  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 on strange comings and goings of Elon Musk and his participation on the Twitter Board of Directors. Highlights include:·      When and how did Musk become Twitter’s largest shareholder?·      Why was he asked to come on to the Board?·      SEC filing requirement issues?·      What role did the various stakeholder groups, including employees have in Musk turning down the Twitter Board seat?  ·      What are the compliance and governance issues to be learned? 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 look at the recent ECI report on the Differences Between Small, Medium And Large Enterprises E&C Programs. Highlights include:·      Where did this ECI report derive its data?·      Why are middle sized companies in such bad condition regarding compliance program?·      Why are middle sized companies having the most issues?·       When is the time for compliance SME at a company?  ·      When should a company institute robust internal controls?Resources Matt in Radical ComplianceECI Report - Differences Between Small, Medium And Large Enterprises E&C Programs 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 at the recent remarks by DOJ Assistant Attorney General Kenneth Polite on CCO certifications of compliance programs after the conclusion of a DPA. Highlights include:·      Where did this issue come from?·      Is its implementation looming?·      What are the implications for individual CCO liability?·       What about CEO liability for recidivism?  ·      What are the corporate governance implications?Resources Text of Kenneth Polite speech 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 look at the proposed SEC climate change risk disclosure regulations released on Monday. Highlights include: The history of this issue. Is the SEC over-reaching? Why climate change regulations only? What about a broader set on ESG? The role of internal controls, audit and oversight.  What does all this mean for the compliance function? ResourcesMatt Kelly 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 visit with our Ukrainian colleague Tim Khashinov-Batirov. Tim is well-known in the worldwide compliance community as Compliance Man. He is currently a refugee in The Netherlands at the time of this recording. In this episode, Tim talks about his escape from Ukraine, what life has been like as a displaced person in Europe, the current and burgeoning refugee crisis and some things that we in America can do right now to help those still in Ukraine and those who are refugees. Other topics we consider include:·      How the bonds of brotherhood between Russia, Belarus and Ukraine may have been permanently destroyed?·      What do ordinary Russians think about the invasion?·      Armies like companies run on culture. Why and how has the corruption in the Russian Army hollowed out its culture from the inside?·       The leadership of President Zelensky and his impact on the Ukrainian people.  ·      The negative leadership of Russia President Putin.Resources for Donations for Ukraine and UkrainiansUNICEFSalvation ArmyRed Cross Learn more about your ad choices. Visit megaphone.fm/adchoices