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  • Episode 146, The Holiday Season Edition

    Episode 146, The Holiday Season Edition
    2024/12/19
    Welcome to this Special Edition of Everything Compliance. In this episode, Matt Kelly, Jonathan Marks, Karen Woody, and Karen Moore examine various issues for compliance professionals under the incoming administration. Jonathan Marks discusses how deepfake videos facilitate fraud and how companies can combat this scourge. He shouts out to Miriam Chamani and her Voodoo Spiritual Temple. Karen Moore takes a deep dive into sustainability requirements in the EU and what these obligations mean for US companies under the second Trump administration. She shouts out to all the delivery folks this holiday season. Matt Kelly examines the DOGE initiative and its potential impact on compliance. He rants about the Pete Hegseth nomination and praises the South Korean people who opposed the presidential coup. Karen Woody examines what the new Trump administration may mean for the SEC in the future and rants about Time Magazine naming Donald Trump its Man of the Year. Tom Fox shouts out to the Shuffle Mamas. The members of the Everything Compliance are: Karen Woody – is one of the top academic experts at 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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    58 分
  • Episode 145, 8 Years Later: The Second Trump Administration

    Episode 145, 8 Years Later: The Second Trump Administration
    2024/11/14
    Welcome to this Special Edition of Everything Compliance. This podcast came into existence to chronicle what Donald Trump would mean for compliance in his first administration. Our first episode was 8 years ago after Trump won his first term. Now, 8 years later, we are back with a look at what the second Trump Administration may bring to compliance. This episode features the quintets of Matt Kelly, Jonathan Marks, Karen Woody, Jonathan Armstrong, and Karen Moore. They all look at various angles of how the incoming Trump Administration uses, abuses, or disregards compliance in the future. Jonathan Marks considers the PCAOB and NOCAR, what the second Trump Administration could do to this initiative and what it may all mean going forward. He shouts out to his son Daniel’s football game and rants about the 76ers and their absent star Joel Embiid. Karen Moore takes a deep dive into what the second Trump Administration will mean for compliance policies and procedures and tone at the top. She raves about the beauty in the world in times of ugliness. Matt Kelly takes a look at what the new Trump Administration may portend for corporate compliance and compliance professionals. He raves about the elections of Gene Vindman and David Valadao to Congress in the face of Trump opposition. Karen Woody looks at what the new Trump Administration may mean for the SEC going forward. She has her first ‘dirge’ in her shout out and rant to all those people who have been or will be attacked by Trump and his supporters Tom Fox shouts out the Indiana football team and their perfect record in 2024. Jonathan Armstrong looks at what a second Trump Administration might mean from ‘Across the Pond’. 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 4 分
  • Episode 144, The Q4, Great Women in Compliance Edition

    Episode 144, The Q4, Great Women in Compliance Edition
    2024/11/07
    Welcome to the only roundtable podcast in compliance as we celebrate our second century of shows. A few months ago, we had a Special Edition of some of the Great Women in Compliance, together with our female panelists, all hosted by Kristy Grant-Hart. The episode was so popular (and the host and guests had so much fun) that everyone involved decided to make it a quarterly event. In today’s episode, Everything Compliance (Q4-GWIC edition) is hosted by Kristy Grant-Hart, and the guest panelists include Karen Moore, Lisa Fine, and Hemma Lomax. Host Kristy Grant-Hart takes a deep dive into meeting recording and note-taking services and why you need to disable these default settings. She shouts out to her hometown LA Dodgers for winning the World Series and rants about one of her favorite stores, Williams-Sonoma, playing holiday music before Halloween. Karen Moore looks at Modern Slavery. She raves about United Airlines and its unending stream of communications. Lisa Fine takes a deep dive into the RTX settlements. In her Raves and Rants segment, she has a rant and a rave. First, after noting she cannot play Christmas music more than two weeks before Thanksgiving, she rants about vendors pushing compliance officers to use the budget in Q4, and she raves about her hometown, Buffalo Bills. Hemma Lomax explores the recent termination of multiple EY personnel for taking multiple trainings at the same time. She rants about the rush to write AI policies that are very prescriptive and exhaustive lists of approved uses with approved tools only because we have to be realistic about approaching these interests. The members of this special episode of Everything Compliance are: Karen Woody is one of the top academic experts at the SEC and 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 6 分
  • 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