Compliance into the Weeds
Episodes
Compliance into the Weeds-Episode 54
20 Sep 2017
Contributed by Lukas
Matt reports live from TEC 2017, the Workiva user summit Learn more about your ad choices. Visit megaphone.fm/adchoices
Compliance into the Weeds-Episode 52
06 Sep 2017
Contributed by Lukas
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 le...
Compliance into the Weeds-Episode 51
23 Aug 2017
Contributed by Lukas
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. Vis...
Compliance into the Weeds-Episode 50
16 Aug 2017
Contributed by Lukas
What is the upside to any US business engaging with the Trump Administration after its tepid response to the events in Charlottesville? Learn more abo...
Compliance into the Weeds-Episode 49
09 Aug 2017
Contributed by Lukas
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 pr...
Compliance into the Weeds-Episode 48
02 Aug 2017
Contributed by Lukas
We consider the enforcement action around the issue of internal controls, their effectiveness (or lack thereof) and management over-ride of internal c...
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...