Compliance into the Weeds
Episodes
Compliance into the Weeds-Episode 47
26 Jul 2017
Contributed by Lukas
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 ar...
Compliance into the Weeds-Episode 46
19 Jul 2017
Contributed by Lukas
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 ...
Compliance into the Weeds-Episode 45
11 Jul 2017
Contributed by Lukas
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 Chr...
Compliance into the Weeds-Episode 44
28 Jun 2017
Contributed by Lukas
In this episode, Matt Kelly and I take a deep dive, literally into the weeds of the convergence of the compliance profession and the nascent cannabis ...
Compliance into the Weeds-Episode 43
22 Jun 2017
Contributed by Lukas
On June 16, 2017, the Department of Justice (DOJ) issued a Declination to Linde North American Inc. and Linde Gas North America LLC (collectively “L...
Compliance into the Weeds-Episode 42
14 Jun 2017
Contributed by Lukas
In this episode, Matt Kelly and I take a deep dive into the corporate governance fiasco which is Uber. We consider the revelations in the failures of ...
Compliance into the Weeds-Episode 40
31 May 2017
Contributed by Lukas
In this episode Matt Kelly and I take a deep dive into the revisions to the COSO ERM Framework, which were based on comments by practitioners. We cons...
Compliance into the Weeds-Episode 39
24 May 2017
Contributed by Lukas
In this episode Matt Kelly and I take a deep dive into the question of whether a company has a duty to disclose ransomware attacks. We consider it fro...
Compliance into the Weeds-Episode 38
17 May 2017
Contributed by Lukas
In this episode Matt Kelly and I take a deep dive into the cutting edge topic of artificial intelligence in many areas, including compliance. We discu...
Compliance into the Weeds-Episode 37
03 May 2017
Contributed by Lukas
In this episode, Matt Kelly and I take a deep dive into the weeds of the soon-to-be-released the House Financial Services Committee, the Financial Cho...
Compliance into the Weeds-Episode 36
25 Apr 2017
Contributed by Lukas
In this episode, Matt Kelly and I take a very deep dive into two recent speeches by Department of Justice (DOJ) Acting Principal Assistant Attorney Ge...
Compliance into the Weeds-Episode 35
12 Apr 2017
Contributed by Lukas
In this episode Matt Kelly and I take a deep dive into the recently released, Public Company Accounting Oversight Board (PCAOB) semi-annual white pa...
Compliance into the Weeds-Episode 34
05 Apr 2017
Contributed by Lukas
In this episode Matt Kelly and I take a deep dive into the recent kerfuffle involving United Airlines and its policy which prevented to teenaged girls...
Compliance into the Weeds-Episode 33
28 Mar 2017
Contributed by Lukas
In this episode, we take a look at a recent speech given by NY Fed Chairman William Dudley in London where he addressed improving corporate culture. D...
Compliance into the Weeds-Episode 32
15 Mar 2017
Contributed by Lukas
In this episode, Matt Kelly and I take a deep dive into a dramatic 48 hours in the life of the FCPA last week, which portends the trend of continued F...
Compliance into the Weeds-Episode 30
08 Mar 2017
Contributed by Lukas
The Justice Department Fraud Section recently revamped its website and it is quite an upgrade. I do not know when the Fraud Section did this update bu...
Compliance into the Weeds-Episode 30
01 Mar 2017
Contributed by Lukas
In this episode Matt Kelly and myself take a deep dive into SOX 404(b), what it requires and how companies comply with the reporting requirements set ...
Compliance into the Weeds-Episode 29
21 Feb 2017
Contributed by Lukas
In this episode, Matt Kelly and myself take a deep dive into the Department of Justice (DOJ) recent release, entitled “Evaluation of Corporate Compl...
Compliance into the Weeds-Episode 27
09 Feb 2017
Contributed by Lukas
In this episode, Matt and I take a look at the sorry story of Chris Correa, the St. Louis Cardinal executive convicted of hacking into the Houston Ast...
Compliance into the Weeds-Episode 25
18 Jan 2017
Contributed by Lukas
In this episode Matt Kelly and I take a deep dive into a couple of recent SEC enforcement actions. The first involved L-3 Technologies and accounting ...
Compliance into the Weeds-Episode 24
11 Jan 2017
Contributed by Lukas
In this episode Matt Kelly and myself take a deep dive into the compliance weeds by looking at a paper written by then SEC General Counsel James Doty ...
Compliance into the Weeds-Episode 23
05 Jan 2017
Contributed by Lukas
In this episode Matt Kelly and I take a deep dive into 6 compliance issues you should keep an eye on in 2017. They include the Wal-Mart FCPA resolutio...
Compliance into the Weeds-Episode 22
14 Dec 2016
Contributed by Lukas
In this episode Matt Kelly and I take deep dive into the United Airlines SEC enforcement action for violation of internal controls around its reinstit...