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  • Episode 143, The North to South Episode

    Episode 143, The North to South Episode
    2024/10/24
    Welcome to the only roundtable podcast in compliance as we celebrate our second century of shows. In this episode, we have the quartet of Matt Kelly, Jonathan Marks, and Karen Moore; with host Tom Fox wearing a double hat as a commentator as well. We take up Root Cause Analysis, DEI questions in the Boeing monitorship, failures at TD Bank and a possible Caremark claim. 1. Matt Kelly takes a look into the commercial strategies which led to the compliance failures at TD Banks. He rants about the Boston’s National Women’s Soccer League team (now deleted) advertising campaign announcing the new team with the tagline ‘too many balls’. 2. Jonathan Marks explains the differences in a Root Cause Analysis and investigations. He shouts out the WNBA and the person who solved the Golden Owl puzzle. 3. Karen Moore takes a deep dive into the district court’s request for more information on the impact of DEI on the Boeing monitorship. She rants about non-civility in the Supermarkets of America’s Parking Lots. 4. Tom Fox takes a look at the potential Caremark claim against TD Bank for both Directors and Officers failures in their duties. He shouts out to GOP dominated Texas Legislature for subpoenaing Robert Roberson for an appearance before the House, one day before his scheduled execution and the Texas Supreme Court for staying his execution until he could appear. The members of the Everything Compliance are: Karen Woody – Is one of the top academic experts on the SEC. Woody can be reached at kwoody@wlu.edu Matt Kelly – Founder and CEO of Radical Compliance. Kelly can be reached at mkelly@radicalcompliance.com Jonathan Armstrong – is our UK colleague and an experienced data privacy/data protection lawyer in London. He can be reached at Armstrong@puntersouthall.law Jonathan Marks can be reached at jtmarks@gmail.com Karen Moore is a principal at Sounding Board Compliance, and can be reached at: Karen.moore@soundingboardcompliance.com The host and producer, rantor (and sometime panelist) of Everything Compliance is Tom Fox the Voice of Compliance. He can be reached at tfox@tfoxlaw.com. Everything Compliance is a part of the award-winning Compliance Podcast Network. Additional Resources: 1. Jonathan Marks on Root Cause Analysis on LinkedIn. 2. Matt Kelly on TD Bank’s Enforcement Action on Radical Compliance. 3. Tom Fox on the potential Caremark claims in the TD Bank case on the Compliance Podcast Network blog. For more information on the Ethico Toolkit for Middle Managers, available at no charge, click here. Check out the full 3-book series, The Compliance Kids on Amazon.com. Learn more about your ad choices. Visit megaphone.fm/adchoices
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    1 時間 11 分
  • Episode 142, The 2024 ECCP Episode

    Episode 142, The 2024 ECCP Episode
    2024/10/10
    Welcome to the only roundtable podcast in compliance as we celebrate our second century of shows. In this episode, we are joined by Susan Divers, Consultant at Ethena as our Special Guest and we take up the 2024 Update to the Evaluation of Corporate Compliance Programs (2024 ECCP). This week we have the quartet of Matt Kelly, Jonathan Marks, Special Guest Susan Divers and Karen Moore; all hosted by Tom Fox. 1. Special Guest Susan Divers says the key to the 2024 is that it focuses on outputs rather than inputs or processes. She shouts out to Washington Commanders. 2. Jonathan Marks considers continuous controls monitoring mandates in the 2024 ECCP. He shouts out to Philadelphia Phillies for making the NL Playoffs and rants about TSA. 3. Karen Moore takes a deep dive into new information on whistleblowers, reporting functions and whistleblower protections in the 2024 ECCP. She is sad because of the increased threat of violence during the Jewish High Holy Days. 4. Matt Kelly looks at the intersection of AI and compliance found in the 2024 ECCP. He rants about Trump appointed US district judge Kathryn Mizelle who ruled the False Claims Act unconstitutional. 5. Tom Fox shouts out to Colorado District Judge Matthew Barrett for his sentencing of convicted election tamperor Tina Peters. The members of the Everything Compliance are: • Karen Woody – Is one of the top academic experts on the SEC. Woody can be reached at kwoody@wlu.edu • Matt Kelly – Founder and CEO of Radical Compliance. Kelly can be reached at mkelly@radicalcompliance.com • Jonathan Armstrong –is our UK colleague and an experienced data privacy/data protection lawyer in London. He can be reached at Jonathan.Armstrong@puntersouthall.law • Jonathan Marks can be reached at jtmarks@gmail.com • Karen Moore is a principal at Sounding Board Compliance, and can be reached at Karen.moore@soundingboardcompliance.com The host and producer, rantor (and sometime panelist) of Everything Compliance is Tom Fox the Voice of Compliance. He can be reached at tfox@tfoxlaw.com. Everything Compliance is a part of the award-winning Compliance Podcast Network. For more information on the Ethico Toolkit for Middle Managers, available at no charge by clicking here. Check out the full 3-book series, The Compliance Kids on Amazon.com. Learn more about your ad choices. Visit megaphone.fm/adchoices
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    1 時間 4 分
  • Episode 141, Tribute to Nick Gallo Episode

    Episode 141, Tribute to Nick Gallo Episode
    2024/09/26
    Welcome to the only roundtable podcast in compliance as we celebrate our second century of shows. In this episode, we take up a potpourri of topics. We have the quartet of Matt Kelly Jonathan Armstrong, Jonathan Marks, and Karen Moore; all hosted by Tom Fox. Matt Kelly looks at the issue of what and who are in your Supply Chain after the pager attacks in Lebanon. He shouts out to Michaela Deprince for a life well lived. Karen Moore takes a deep dive into executive Clawback and Holdback provisions. She shouts out to Nick Gallo and asks all to keep him in their thoughts and prayers for a speedy recovery. Karen Woody reviews the Flyfish SEC enforcement action about NFTs as securities. She shouts out to pop culture and the great show on Apple TV Slow Horses. Jonathan Marks considers the imbroglio of PwC in China and what it means for audit firms trying to do business in China. He shouts out to eBay for providing authenticator services and briefs us on the Keeper Test. Tom Fox shouts out to Los Angeles Dodger Shohei Ohtani for having one of the greatest single seasons in MLB by a hitter. The members of the Everything Compliance are: Karen Woody – Is one of the top academic experts on the SEC. Woody can be reached at kwoody@wlu.edu Matt Kelly – Founder and CEO of Radical Compliance. Kelly can be reached at mkelly@radicalcompliance.com Jonathan Armstrong – is our UK colleague and an experienced data privacy/data protection lawyer in London. He can be reached at Armstrong@puntersouthall.law Jonathan Marks can be reached at jtmarks@gmail.com Karen Moore is a principal at Sounding Board Compliance, and can be reached at moore@soundingboardcompliance.com The host and producer, rantor (and sometime panelist) of Everything Compliance is Tom Fox the Voice of Compliance. He can be reached at tfox@tfoxlaw.com. Everything Compliance is a part of the award-winning Compliance Podcast Network. For more information on the Ethico Toolkit for Middle Managers, available at no charge by clicking here. Check out the full 3-book series, The Compliance Kids on Amazon.com. Learn more about your ad choices. Visit megaphone.fm/adchoices
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    1 時間 3 分
  • Episode 140, the Fall is in the Air episode

    Episode 140, the Fall is in the Air episode
    2024/09/12
    Welcome to the only roundtable podcast in compliance as we celebrate our second century of shows. In this episode, we take up a potpourri of topics. We have the quartet of Matt Kelly Jonathan Armstrong, Jonathan Marks, and Karen Moore; all hosted by Tom Fox. 1. Jonathan Armstrong looks at HP and their decision to continue proceedings against the Estate of Mike Lynch after his death. He rants about Claude Weil and the Grenfell Tower disaster. 2. Jonathan Marks considers the role of the Audit Committee on a Board. He rants about his beloved Philadelphia Eagles and the NFL having their home opening on a Friday night in Brazil. 3. Karen Moore considers the Boston Consulting Group FCPA Declination. She shouts out to the Victorian Lyric Opera Company. 4. Matt Kelly looks at the RTX enforcement action by the State Department. He shouts out to the Brazilian judiciary for standing up the bullying tactics of Elon Musk in their legal dispute. 5. Tom Fox shouts out to Professor Stephen Bainbridge and his dismantling of the DExit fallacy. The members of the Everything Compliance are: • Karen Woody – Is one of the top academic experts on the SEC. Woody can be reached at kwoody@wlu.edu • Matt Kelly – Founder and CEO of Radical Compliance. Kelly can be reached at mkelly@radicalcompliance.com • Jonathan Armstrong –is our UK colleague and an experienced data privacy/data protection lawyer in London. He can be reached at his new law firm Jonathan.Armstrong@puntersouthall.law • Jonathan Marks can be reached at jtmarks@gmail.com • Karen Moore can be reached at Kmoore51@fordham.edu The host and producer, rantor (and sometime panelist) of Everything Compliance is Tom Fox the Voice of Compliance. He can be reached at tfox@tfoxlaw.com. Everything Compliance is a part of the award-winning Compliance Podcast Network. For more information on the Ethico Toolkit for Middle Managers, available at no charge by clicking here. Check out the full 3-book series, The Compliance Kids on Amazon.com. Learn more about your ad choices. Visit megaphone.fm/adchoices
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    1 時間 3 分
  • Episode 139, The Bank of America Episode

    Episode 139, The Bank of America Episode
    2024/08/29
    Welcome to the only roundtable podcast in compliance as we celebrate our second century of shows. In this episode, we take up the recent imbroglio surrounding the Bank of America and its toxic workplace culture of 100+ hour work weeks. We have the full quintet of Matt Kelly, Jonathan Armstrong, Karen Woody, Jonathan Marks, and Karen Moore; all hosted by Tom Fox. Matt Kelly mines the matter for compliance lessons learned. He shouts out the GOP speakers at the recently concluded Democratic National Convention who bucked their party for the good of the nation. Jonathan Marks explores how internal controls were in place but not completely disregarded. He shouts out to researchers at the University of Pennsylvania for its work in CART cell therapy to treat certain types of cancer. Karen Moore considers the matter from the perspective of the Board of Directors and what their role should be. She shouts out to her students in the new semester of her class at Fordham Law School. Karen Woody takes a deep dive into the district court’s recent dismissal of the SEC complaint against Solar Winds. She shouts out the persons who ran the Democratic National Convention for a great Convention. Jonathan Armstrong reviews the entire matter from his UK perspective. He rants about Elon Musk and hate speech on X. Tom Fox shouts out to Rick Springfield and his hit song Jessie’s Girl as one of the two most well-known and sung songs from the 1980’s. The members of the Everything Compliance are: Karen Woody – Is one of the top academic experts on the SEC. Woody can be reached at kwoody@wlu.edu Matt Kelly – Founder and CEO of Radical Compliance. Kelly can be reached at mkelly@radicalcompliance.com Jonathan Armstrong –is our UK colleague and an experienced data privacy/data protection lawyer in London. He can be reached at his new law firm Jonathan.Armstrong@puntersouthall.law Jonathan Marks can be reached at jtmarks@gmail.com Karen Moore can be reached at Kmoore51@fordham.edu The host and producer, rantor (and sometime panelist) of Everything Compliance is Tom Fox the Voice of Compliance. He can be reached at tfox@tfoxlaw.com. Everything Compliance is a part of the award-winning Compliance Podcast Network. Learn more about your ad choices. Visit megaphone.fm/adchoices
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    1 時間 1 分
  • Episode 138, The AI in The EU Edition

    Episode 138, The AI in The EU Edition
    2024/08/08
    Welcome to the only roundtable podcast in compliance as we celebrate our second century of shows. We have a plethora of topics for this episode, including the DOJ Whistleblower Incentive Program, a look at Solar Winds, a new Caremark decision, an effective internal audit and the new AI law in the EU, which we slice and dice from a variety of perspectives. We have the full quintet of Matt Kelly, Jonathan Armstrong, Karen Woody, Jonathan Marks, and our newest panelist, Karen Moore, all hosted by Tom Fox. 1. Jonathan Armstrong takes a look at the new EU Low regarding AI. He shouts out to Sir Andy Murray for a great career and life. 2. Matt Kelly asks multiple questions about the form of the guilty plea and what it may mean for compliance professionals going forward. He rants about Wyoming Senator Cynthia Lummis and her legislation for a Strategic Bitcoin Reserve. 3. Karen Moore considers the Centene case, which denied a Caremark claim. She rants about German TV only showing German competitors in their Olympic coverage and she shouts out to the perseverance of Ukrainians, where students attending class at the Kyiv School of Economics will stop class during an air raid and start class again when the All Clear is given. 4. Tom Fox shouts out to Simone Biles and the beauty, power, and grace of women’s gymnastics at the Olympics, going back to Olga Korbut. 5. Karen Woody takes a deep dive into the district court’s recent dismissal of the SEC complaint against SolarWinds. She shouts out to President Biden for bringing hostages home from Russia and a job well done. 6. Jonathan Marks reviews what makes internal controls effective. The members of Everything Compliance are: Karen Woody is one of the top academic experts on the SEC. Woody can be reached at kwoody@wlu.edu Matt Kelly is Founder and CEO of Radical Compliance. Kelly can be reached at mkelly@radicalcompliance.com Jonathan Armstrong is a UK colleague and an experienced data privacy/data protection lawyer in London. He can be reached at his new law firm, jonathan.armstrong@puntersouthall.law Jonathan Marks can be reached at jtmarks@gmail.com Karen Moore can be reached at kmoore51@fordham.edu The host and producer, rantor (and sometime panelist) of Everything Compliance is Tom Fox the Voice of Compliance. He can be reached at tfox@tfoxlaw.com. Everything Compliance is a part of the award-winning Compliance Podcast Network. Learn more about your ad choices. Visit megaphone.fm/adchoices
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    1 時間 27 分
  • Episode 137, The Boeing Pleads Guilty Edition

    Episode 137, The Boeing Pleads Guilty Edition
    2024/07/18
    Welcome to the only roundtable podcast in compliance as we celebrate our second century of shows. In this episode, we welcome Karen Moore as a permanent panelist. We have one topic for this episode, the Boeing guilty plea which we slice and dice from a variety of perspectives. Karen is joined by Jonathan Marks, Jonathan Armstrong and Matt Kelly as panelists all hosted by Tom Fox. 1. Jonathan Armstrong takes a look at the Boeing plea deal from his uniquely British perspective, with 3 takeaways. He shouts out to the new British Prime Minister Sir Kier Starmer. 2. Jonathan Marks considers the corporate governance and internal control failures. He rants about Board members who do not understand Board governance. 3. Karen Moore considers that multiple stake holders involved with Boeing and will they be covered in the resolution. She shouts out to the UK for their seamless transition of power after the July 4 election and to the Men’s Football team for making the UFEA Cup Final. 4. Matt Kelly asks multiple questions about the form of the guilty plea and what it may mean for compliance professionals going forward. He rants about Tractor Supply which ditched its DEI and sustainability efforts based on one Twitter campaign. 5. Tom Fox shouts out to Pittsburg rookie Paul Skenes for his great first season and being named Starting Pitcher for the All-Star Game. The members of the Everything Compliance are: • Karen Woody – Is one of the top academic experts on the SEC. Woody can be reached at kwoody@wlu.edu • Matt Kelly – Founder and CEO of Radical Compliance. Kelly can be reached at mkelly@radicalcompliance.com • Jonathan Armstrong –is our UK colleague and an experienced data privacy/data protection lawyer in London. He can be reached at his new law firm Jonathan.Armstrong@puntersouthall.law • Jonathan Marks can be reached at jtmarks@gmail.com • Karen Moore can be reached at Kmoore51@fordham.edu The host and producer, rantor (and sometime panelist) of Everything Compliance is Tom Fox the Voice of Compliance. He can be reached at tfox@tfoxlaw.com. Everything Compliance is a part of the award-winning Compliance Podcast Network. Learn more about your ad choices. Visit megaphone.fm/adchoices
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    1 時間 6 分
  • Episode 136 - The Great Women in Compliance edition

    Episode 136 - The Great Women in Compliance edition
    2024/06/20
    Welcome to the only roundtable podcast in compliance as we celebrate our second century of shows. In this episode, we have a very special group of guest panelists and one special guest host; some of the great women in compliance. In this special episode, Everything Compliance is by Kristy Grant-Hart, and the guest panelists include Karen Woody, Karen Moore, Lisa Fine and Hemma Lomax. 1. Karen Woody takes a deep dive into the current evolution of Caremark in Delaware. She raves about her alma mater UVA making the college baseball World Series and for this special GWIC-inspired edition of Everything Compliance. 2. Host Kristy Grant-Hart shouts out to Rachel Rogers, author of We Should All Be Millionaires and her call to action for women to lead more in politics, in business and in entrepreneurship. 3. Karen Moore explores whether Boeing will be prosecuted under its current DPA. She sends sympathies to the family of John Burnett, the Boeing whistleblower who died. 4. Lisa Fine takes a deep dive into the recent acquittal of Mike Lynch in his criminal case for the sale of Autonomy to HP. In her Raves and Rants segment, she has two raves. First to all the Dads out there, Happy Father’s Day. Her second is to Compliance Week retiring EIC Kyle Brasseur for his tenure at Compliance Week. 5. Hemma Lomax goes into a deep rant about compliance training. She raves about Everything Compliance for its first Great Women podcast and to Jiminy Cricket, whose signature phrase is “Let your conscience be your guide.” The members of this special episode of Everything Compliance are: • Karen Woody – Is one of the top academic experts on the SEC. She is also the co-host of the award-winning podcast, The Woody Report. • Karen Moore is an Adjunct Law professor at the Fordham School of Law. • Lisa Fine – is a co-host of the award-winning Great Women in Compliance. • Hemma Lomax- is a co-host of the award-winning Great Women in Compliance. The host of this special episode of Everything Compliance is Kristy Grant-Hart, founder of Spark Compliance and co-host of the award-winning podcast 2 Gurus Talk Compliance. Learn more about your ad choices. Visit megaphone.fm/adchoices
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    1 時間 1 分