Compliance into the Weeds

The Telia FCPA enforcement action is the Number 1 all-time for fines and penalties. What can you learn from it? Learn more about your ad choices. Visit megaphone.fm/adchoices

Matt reports live from TEC 2017, the Workiva user summit Learn more about your ad choices. Visit megaphone.fm/adchoices

In this episode, Matt Kelly and I take a deep dive into the good, bad and ugly of Hurricane Harvey for the compliance professional. We discuss what lessons may be drawn from the storm and its aftermath for the greater compliance, ERM and business communities and the need to take a much greater holistic approach to the consideration of your risk management strategy. Learn more about your ad choices. Visit megaphone.fm/adchoices

What is the intersection of the PCAOB, auditing and compliance? Matt Kelly and I explore in this week's episode. Learn more about your ad choices. Visit megaphone.fm/adchoices

What is the upside to any US business engaging with the Trump Administration after its tepid response to the events in Charlottesville? Learn more about your ad choices. Visit megaphone.fm/adchoices

The Mattis Memo on ethics is so significant that every CCO and compliance practitioner should read it and the Memo's substance into your compliance program. Learn more about your ad choices. Visit megaphone.fm/adchoices

We consider the enforcement action around the issue of internal controls, their effectiveness (or lack thereof) and management over-ride of internal controls. Learn more about your ad choices. Visit megaphone.fm/adchoices

In this episode, Matt Kelly and I take a deep dive into the Dodd-Frank and Sarbanes-Oxley reform initiatives in the House of Representatives and as articulated by incoming SEC Chairman Jay Clayton. Will the new administration gut SOX and Dodd-Frank compliance requirements? For more see Matt Kelly's blog post SEC Chair Clayton Talks Compliance Costs.  Learn more about your ad choices. Visit megaphone.fm/adchoices

In this episode, Matt Kelly and I discuss the recent Second Circuit Court of Appeals decision in HSBC v. Moore. In this case a federal district court had ordered the release of redacted monitor’s report in the HSBC money-laundering Deferred Prosecution Agreement (DPA), based upon the request of an interested citizen. Both the Department of Justice (DOJ) and HSBC appealed the order and the Court of Appeals supported their position in overturning the trial court’s decision. The case is about a hook, line and sinker overturning of any trial court jurisdiction as one can have. The district court tried to claim it did not have the same role as a “potted plant” but the Court of Appeals left no doubt that is the only role it sees for any district court where a DPA is filed. We discuss the implications for the compliance practitioner, FCPA enforcement and any potential changes going forward. For additional reading, see my blog post on this case by clicking  here. Learn more about your ad choices. Visit megaphone.fm/adchoices

In this episode, Matt Kelly and I take a deep dive into the 4th of July weekend use of the New Jersey beaches by Governor Chris Christie. Governor Christie had closed the beaches in a budget dispute but was still able, as Governor, to give himself and his family full access to the now wide open beaches on the recently passes holiday weekend. We consider Governor Christie’s example of undeserved privilege in the context of ethical leadership and tone at the top. Matt draws upon his Catholic school education to remind us that undeserved privilege is private law, as “privilege” comes from the Latin privus, private law; and lex, law. It’s a private law that benefits only one person, who doesn’t deserve it. Read more about the issue and Matt’s thoughts on his blog post  Tone at the Top Gone Wrong: The Christie Example. Learn more about your ad choices. Visit megaphone.fm/adchoices