A run-down of podcasts either by me, or with me, discussing the many splendors of corporate compliance, audit, and risk management.
Everything Compliance, Jan. 18: The usual suspects, including me, recap major compliance events in 2017 and what we should expect in 2018.
Compliance Into the Weeds, Jan. 10: I chat with Tom Fox about non-GAAP accounting metrics again, and the governance and disclosure challenges they can pose when a company tries to push a non-GAAP metric too far.
Everything Compliance, Dec. 21: The usual gang (Tom Fox, Jay Rosen, Michael Volkov, and me) discuss all matters regarding the Justice Department’s new FCPA Corporate Enforcement Policy.
Compliance Into the Weeds, Dec. 20: Tom Fox and I discuss the threat that tech service providers pose to the financial system, and three steps compliance officers should expect to take as regulators increase their attention here.
This Week in FCPA, Dec. 1: I make a guest appearance on the weekly podcast of Tom Fox and Jay Rosen, and we discuss the Justice Department’s new FCPA Enforcement Policy.
Everything Compliance, Nov. 30: In our usual monthly deep dive, we explore changes to FCPA enforcement (since superseded by the new policy announced Nov. 29); fresh thoughts on how corporate monitorships should work; and the troubling antitrust challenge to the Time Warner-AT&T merger.
Compliance Into the Weeds, Nov. 29: Tom Fox and I explore the recent US v. Aegerion decision, where a federal judge blasted the proliferation of corporate plea bargains.
Compliance Into the Weeds, Nov. 8: Tom Fox and I talk about the future of the Justice Department guidelines to evaluate the effectiveness of compliance programs—which, I predict, will not be going away.
Compliance Into the Weeds, July 11: Tom Fox and I discuss New Jersey Gov. Chris Christie and his recent foray on the beach, which set a terrible example of tone at the top.
Radical Compliance Podcast, June 30: I speak with Hui Chen, former compliance counsel at the Fraud Section of the U.S. Justice Department, about the Evaluation of Corporate Compliance Programs guidance she authored for the department; how it is sometimes misunderstood, and how compliance officers can put it to use.
Compliance Into the Weeds, June 14: Tom Fox and I look at the corporate culture and governance travails at Uber, and what lessons other compliance officers might learn from its difficulties.
Compliance Into the Weeds, June 8: Tom Fox and I dissect the charges against NSA contractor Reality Leigh Winner, accused of leaking classified intelligence to the media. Internal control lessons galore here.
Radical Compliance Podcast, June 4: I talk with Dan Solo and Christopher Kelly of Second Line Advisors about their new report on chief data officers, and how CDOs should work with compliance.
Everything Compliance, June 4: The usual gang talks about compliance and the COSO ERM framework (me); the SFO investigating both a company and its acquisition target at once (Jonathan Armstrong); using compliance as a business advantage (Jay Rosen); and the settlement against MoneyGram’s ex-CCO (Michael Volkov).
Compliance Into the Weeds, May 31: Tom Fox and I talk about COSO’s forthcoming framework on enterprise risk management, and how compliance officers might try to put it to use in their own domains.
Radical Compliance Podcast, May 24: Our first-ever Radical Compliance podcast, I talk with Frank Martens, head of the PwC team working on the COSO enterprise risk management framework, about likely changes to the new framework and when a final draft will hit the streets.
Compliance Into the Weeds, May 24: Tom Fox and I catch up on the Wannacry ransomware attack, and whether companies have an obligation (legal or otherwise) to disclose ransomware attacks.
Compliance Into the Weeds, May 1: Tom Fox and I talk about the House Financial Services Committee’s first stab at legislation to repeal various parts of financial regulation and oversight.
Everything Compliance, April 28: This is part one of a review of the first 100 days of the Trump Administration. Some people say I am “even more cynical than usual” on this one.
This Week in FCPA, April 14: Still talking with Tom Fox as usual, but this week I am pinch-hitting on his weekly FCPA podcast while his regular co-host Jay Rosen is on vacation. We talk United Airlines, cloud computing, and more.
Compliance Into the Weeds, April 13: Tom Fox and I discuss the recent PCAOB analysis of Emerging Growth Companies, and the additional financial reporting risks those companies pose to investors.
Compliance Into the Weeds, April 6: We talk about United Airlines and its kerfuffle of banning two girls from a flight for wearing leggings. What does that gaffe say about modern challenges to policy management?
Compliance Into the Weeds, March 28: I get on the horn with Tom Fox and talk about the Anti-Fraud Triangle, and how a compliance officer can use it to bolster corporate culture and fight misconduct.
Everything Compliance, March 17: Mike Volkov, Tom Fox, and I dissect some of the Justice Department guidelines to evaluate the effectiveness of compliance programs.
Compliance Into the Weeds, March 15: We review the flurry of recent FCPA news, including the extension of the Justice Department FCPA Pilot Program until further notice.
Compliance Into the Weeds, March 8: Tom Fox and I look at the welcome surprise of a revamped and expanded website for the Justice Department Fraud Section, packed with useful information for compliance officers.
Compliance Into the Weeds, Feb. 27: This week, Tom Fox and I discuss the proposal to expand exemptions from Section 404(b) of the Sarbanes-Oxley Act, and whether that will have much practical consequences for internal control audit work.
Compliance Into the Weeds, Feb. 14: Tom Fox and I look closer at Microsoft's new cybersecurity assessment tool and how compliance officers might use it (along with the IT security department) to improve security controls and procedures.
Everything Compliance, Feb. 9: This time, the Everything Compliance gang shares our latest thoughts on compliance in the Trump Administration—what we have seen so far and whether anything has changed for compliance officers yet.
Everything Compliance, Feb. 2: The Everything Compliance gang (Tom Fox, Mike Volkov, Jonathan Armstrong, Jay Rosen, and yours truly) spent the whole hour this time diving into the U.K. Serious Fraud Office’s prosecution of Rolls-Royce.
Compliance Into the Weeds, Jan. 18: This week, Tom Fox and I discuss the lessons of the recent SEC enforcement action against L-3 Technologies: its inadequate internal controls for financial reporting and a mishandled internal investigation.
Compliance Into the Weeds, Jan. 12: Tom Fox and I discuss potential FCPA reform in the Trump Administration, including whether we might see the revival of an old idea: Regulation FCPA.
Compliance Into the Weeds, Jan. 5: Tom Fox and I catch up over significant events that compliance professionals should watch for in 2017, plus a look at that fandango in Washington this week over the Office of Congressional Ethics.
Everything Compliance, Jan. 4: We give our thoughts on the most important compliance events and issues of 2016, and what is likely to loom large for corporate compliance in 2017.
Everything Compliance, Dec. 6: The gang discuss the new anti-corruption law in France, lessons to learn from New York’s sanction again Agricultural Bank of China, future expectations on individual accountability in corruption cases, and more.
Compliance Into the Weeds, Dec. 2: Tom Fox and I revisit the incoming Trump Administration, talking about the future of FCPA enforcement and legislative machinations we will likely see in Congress.
Compliance Into the Weeds, Nov. 28: Tom Fox and I geek out over effective transaction monitoring; how regulators expect you to do it, and how compliance officers should approach it.
Everything Compliance, Nov. 18: In the second edition of Everything Compliance, we discuss the incoming Trump Administration. The discussion covers FCPA enforcement, self-disclosure, cooperation with investigations, the future of the Yates Memo, and more.
Everything Compliance: This is a new podcast series featuring some of the best compliance thinkers around, shooting the breeze about any compliance-related topic that comes to mine. The participants are moderator Tom Fox; Mike Volkov, a sometimes compliance-monitor and long-time compliance lawyer, now running his own business at the Volkov Law Group; Jay Rosen, vice president of legal & Corporate language solutions at United Language Group; Jonathan Armstrong, of the Cordery Compliance Group in London and a data privacy specialist; and myself.
Nov. 10, 2016: In our inaugural podcast, we shoot the breeze about the Yates Memo, EU data protection rules, the Wells Fargo case and corporate governance, and more.
Compliance Into the Weeds: A fun, occasional podcast I do with friend and fellow compliance enthusiast Tom Fox, where we geek out over any number of subjects.
Nov. 16, 2016: We take a look at what the incoming Trump Administration might mean for the corporate compliance profession. Expect lots more discussion like this in the future.
Nov. 8, 2016: Our discussion this time looks at how you estimate a budget for your compliance program; what business activity you examine, to get a sense of what your budget needs are.
Oct. 25, 2016: We take another look at SOX controls and what corporate filing times might say about them, plus how government agencies are eyeing the COSO proposed framework for enterprise risk management.
Oct. 11, 2016: Tom and I discuss recent enforcement actions against Wells Fargo and Credit Suisse, and what those settlements tell us about the Three Lines of Defense model and its potential weaknesses.
Sept. 20, 2016: We catch up over the Wells Fargo case of employees fabricating customer accounts to hit performance bonuses, and explore how to use Fraud Triangle properly to find potential weaknesses in your compliance program and short them up.
Sept. 13, 2016: We talk about Mylan and the corporate governance scandal over the usurious price hikes for its EpiPen product—how executive compensation drove Mylan bosses to that strategy, and how corporate governance rules actually encourage that narrow, reputation-dangerous behavior.
Aug. 13, 2016: Tom Fox and I talk about the compliance risks that tend to arise in decentralized companies, and how chief compliance officers can try to wrangle group-level accountability at such organizations.
Aug. 1, 2016: We talk about better use of technology in compliance programs, for everything from analyzing travel & entertainment spending to improving policy management and training.
July 11, 2016: We turned this week to non-GAAP accounting metrics—that is, corporate financial disclosures not calculated according to Generally Accepted Accounting Rules—and how much this growing trend is or is not a corporate governance issue.
June 20, 2016: This week we review the COSO draft framework for enterprise risk management: what it is, what it aims to do, and why compliance professionals should give the draft a read and submit feedback to COSO.
June 6, 2016: We talk about the future of risk assessments in a Big Data world, plus the recent U.S. Chamber of Commerce paper that comes out swinging against the Yates Memo.
May 24, 2016: We look at the meta-data (that is, the data about data) that compliance officers need to understand if they want to build successful compliance dashboards, manage records retention, and more.
May 6, 2016: Talking about goodwill impairments, and how that financial reporting headache correlates to compliance problems.
April 25, 2016:How BP’s decision to give a raise to the CEO despite poor performance harms corporate culture.
April 18, 2016: Applying the concepts of Big Data to compliance, plus the Panama Papers.
March 22, 2016: Continuous Controls Monitoring, plus the Qualcomm FCPA settlement.
Masters of Disaster: A podcast hosted by Leona Lewis, founder of ComplyEthic Consulting and a friend of the cause. We repost her podcasts here from time to time.
April 18, 2016: An interview with Eric Siegel, author of Predictive Analytics: The Power to Predict Who Will Click, Buy, Lie, or Die
Technically, Radical Compliance is the personal blog of Matt Kelly, long-time writer and observer of the corporate compliance and GRC scene. I was a writer, editor, and publisher at Compliance Week, 2003 through 2015; some of you may know my from my career there. I also speak frequently at compliance conferences and other events, and will pretty much shoot the breeze on any compliance topic with anyone who asks.