Everything Compliance podcast

Everything Compliance

Thomas Fox

What happens when the top commentators get together? They talk Everything Compliance. Join the only Roundtable podcast in compliance where our panel takes a deep dive into current events in the compliance scene. Listen in for the Rants and Shout Outs at the end of each episode.

106 Episódios

Episode 113 - The Replika AI Edition
23/02/2023
56:09
Welcome to the only roundtable podcast in compliance as we celebrate our second century of shows. Everything Compliance has been honored by W3 as the top talk show in podcasting. In this episode, we have the quartet of Jay Rosen, Jonathan Armstrong, Karen Woody, and Matt Kelly who discuss a potpourri of issues. We conclude with our fan fav Shout Outs and Rants section. 1. Matt Kelly looks at ChatGPT and raises several questions for the compliance professional. He rants about Facebook and its layoffs and performance reviews. 2. Jonathan Armstrong comes in smoking on the Replika AI imbroglio in Italy and discusses his collection of comments by users of the service. He shouts out to the British Navy for the Altmark Incident in 1940, the last recorded English naval battle fought with cutlasses. 3. Tom Fox shouts out Valentine’s Day and all those hopeless romantics out there. 4. Karen Woody looks at the new rules promulgated by the SEC on insider trading. She shouts out to the Netflix show Cunk on Earth. 5. Jay Rosen looks at the First Energy corruption scandal and the current trial of former Ohio House speaker Larry Householder. He shouts out to Stevie Van Zandt donating a do rag to California Representative Jamie Raskin to wear during his cancer treatment. The members of the Everything Compliance are: • Jay Rosen– Jay is Vice President, Business Development Corporate Monitoring at Affiliated Monitors. Rosen can be reached at [email protected] • Karen Woody – One of the top academic experts on the SEC. Woody can be reached at [email protected] • Matt Kelly – Founder and CEO of Radical Compliance. Kelly can be reached at [email protected] • Jonathan Armstrong –is our UK colleague, who is an experienced data privacy/data protection lawyer with Cordery in London. Armstrong can be reached at [email protected] • Jonathan Marks is Partner, Firm Practice Leader - Global Forensic, Compliance & Integrity Services at Baker Tilly. Marks can be reached at [email protected] The host and producer, ranter (and sometime panelist) of Everything Compliance is Tom Fox the Voice of Compliance. He can be reached at [email protected] Everything Compliance is a part of the Compliance Podcast Network. Learn more about your ad choices. Visit megaphone.fm/adchoices
Episode 111-the Duty of Oversight Edition
09/02/2023
58:00
Welcome to the only roundtable podcast in compliance as we celebrate our second century of shows. Everything Compliance has been honored by W3 as the top talk show in podcasting. In this episode, we have the quintet of Jay Rosen, Karen Woody, Jonathan Marks, Tom Fox and Matt Kelly who review the recent Delaware Court of Chancery decision creating a duty of oversight for corporate officers. We conclude with our fan fav Shout Outs and Rants section. 1. Matt Kelly sets the stage for our discussion and poses question about what it all means for CCOs going forward. He shouts out to the State of Texas Legislature for creating a ‘Gold Card’ for physicians who have over 90% of all requested procedures covered by insurance. (1:30) 2. Jonathan Marks looks at the case from the internal audit and corporate governance perspectives. He rants about the Pentagon’s failure to shoot down a Chinese spy balloon. (25:23) 3. Tom Fox shouts out to Hindenburg Research and all other short sellers who help uncover fraud, waste and abuse. 4. Karen Woody looks at the case from the legal perspective and unpacks the court’s legal reasoning. Woody shouts out to Amtrak and asks us all to ‘ride the train more often.’ (11:08) 5. Jay Rosen reviews the changes wrought for CCOs over the past year; from CCO certification to the Delaware court decision. He shouts out his twin daughters on their 15th birthday. (41:13) The members of the Everything Compliance are: • Jay Rosen– Jay is Vice President, Business Development Corporate Monitoring at Affiliated Monitors. Rosen can be reached at [email protected] • Karen Woody – One of the top academic experts on the SEC. Woody can be reached at [email protected] • Matt Kelly – Founder and CEO of Radical Compliance. Kelly can be reached at [email protected] • Jonathan Armstrong –is our UK colleague, who is an experienced data privacy/data protection lawyer with Cordery in London. Armstrong can be reached at [email protected] • Jonathan Marks is Partner, Firm Practice Leader - Global Forensic, Compliance & Integrity Services at Baker Tilly. Marks can be reached at [email protected] The host and producer, ranter (and sometime panelist) of Everything Compliance is Tom Fox the Voice of Compliance. He can be reached at [email protected] Everything Compliance is a part of the Compliance Podcast Network. Learn more about your ad choices. Visit megaphone.fm/adchoices
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Episode 110, the Bayeux Tapestry Edition
26/01/2023
1:00:39
Welcome to the only roundtable podcast in compliance as we celebrate our second century of shows. Everything Compliance has been honored by W3 as the top talk show in podcasting. In this episode, we have the quintet of Jay Rosen, Jonathan Armstrong, Jonathan Marks, Tom Fox and Matt Kelly who discuss a potpourri of issues. We conclude with our fan fav Shout Outs and Rants section. Matt Kelly at the SEC enforcement action against McDonald’s for giving disgraced former President Steve Easterbrook a severance package without explaining its reasons. He rants about Department of Justice CCO certification requirement for Danske Bank. Jonathan Marks reviews the Fraud Pentagon and explains the additions of arrogance and convenience to the Fraud Pentagon. He Rants about the recent FAA failure which crippled the US airline industry. Tom Fox has his first dual shout out. His first shout out is US District Judge Middleton for sanction Donald Trump and his lawyer, jointly and severally for $938,000 and the recently deceased musician David Crosby. Jonathan Armstrong looks at the NIS II Directive. He rants about the Tory proposed law against publicizing small boats that would make showing or even talking about the Bayeux Tapestry illegal. Jay Rosen looks at when and how is a compliance program ‘good enough’. He shouts out to the NFL the playoffs and for getting us the best four teams in the final four. The members of the Everything Compliance are: • Jay Rosen– Jay is Vice President, Business Development Corporate Monitoring at Affiliated Monitors. Rosen can be reached at [email protected] • Karen Woody – One of the top academic experts on the SEC. Woody can be reached at [email protected] • Matt Kelly – Founder and CEO of Radical Compliance. Kelly can be reached at [email protected] • Jonathan Armstrong –is our UK colleague, who is an experienced data privacy/data protection lawyer with Cordery in London. Armstrong can be reached at [email protected] • Jonathan Marks is Partner, Firm Practice Leader - Global Forensic, Compliance & Integrity Services at Baker Tilly. Marks can be reached at [email protected] The host and producer, ranter (and sometime panelist) of Everything Compliance is Tom Fox the Voice of Compliance. He can be reached at [email protected] Everything Compliance is a part of the Compliance Podcast Network. Learn more about your ad choices. Visit megaphone.fm/adchoices
Episode 109, the New Year’s Edition
12/01/2023
56:27
Welcome to the only roundtable podcast in compliance as we celebrate our second century of shows. Everything Compliance has been honored by W3 as the top talk show in podcasting. In this episode, we have the quintet of Jay Rosen, Jonathan Armstrong, Jonathan Marks, Tom Fox and Matt Kelly who all discuss issues they are looking at as we begin 2023. We conclude with our fan fav Shout Outs and Rants section. 1. Matt Kelly looks at some of the ESG issues he will be following in 2023, including SEC rules around ESG, potential audit requirement, who will hold this function internally and the new role of the ESG Controller. He rants about Zulily and its SOX compliance failures which allowed an employee to embezzle over $300,000. 2. Jonathan Marks looks at corporate governance issues in 2023 including board structure and guidance, recent Board failures and Board oversight and monitoring. He shouts out to the NFL for cancelling the game between the Bengals and Bills. 3. Tom Fox shouts out to the 50th anniversary of School House Rock and lists his top five. 4. Jonathan Armstrong gives us preview of 5 key issues he is following for 2023: ESG, GDPR fines, ransomware, supply chain risk issues and cryptoscams. He rants about the mistreatment of Prince Harry’s dog and asks if the dog was traumatized when Prince William knocked his brother (Prince Harry) down and broke the dog’s food bowl. 5. Jay Rosen reviews acronyms which drive him crazy. He shouts out to EMS personnel in Cincinnati for training and being prepared when Damar Hamlin went into cardiac arrest during the Bills game and saved his life. The members of the Everything Compliance are: • Jay Rosen– Jay is Vice President, Business Development Corporate Monitoring at Affiliated Monitors. Rosen can be reached at [email protected] • Karen Woody – One of the top academic experts on the SEC. Woody can be reached at [email protected] • Matt Kelly – Founder and CEO of Radical Compliance. Kelly can be reached at [email protected] • Jonathan Armstrong –is our UK colleague, who is an experienced data privacy/data protection lawyer with Cordery in London. Armstrong can be reached at [email protected] • Jonathan Marks is Partner, Firm Practice Leader - Global Forensic, Compliance & Integrity Services at Baker Tilly. Marks can be reached at [email protected] The host and producer, ranter (and sometime panelist) of Everything Compliance is Tom Fox the Voice of Compliance. He can be reached at [email protected] Everything Compliance is a part of the Compliance Podcast Network. Learn more about your ad choices. Visit megaphone.fm/adchoices
Episode 108 - the ABB Edition
22/12/2022
55:17
Welcome to the only roundtable podcast in compliance as we celebrate our second century of shows. Everything Compliance which has been honored by W3 as a top talk show in podcasting. In this episode, we have the quintet of Jay Rosen, Jonathan Armstrong, Karen Woody, Tom Fox and Matt Kelly on the ABB FCPA Enforcement action. We conclude with our fan fav Shout Outs and Rants section. 1. Matt Kelly looks at the enforcement action from the CCO certification perspective. He has his first recidivist rant by ending the year with a rant about the person he started the year ranting about, Elon Musk. This time it was for the Thursday Night Massacre. 2. Karen Woody looks at the case from the perspective on internal control failures and overrides. She shouts out to Stephen Twitchboss for his music and influence on popular culture. 3. Tom Fox discusses how the DOJ thread a tight needle by rewarding ABB for its attempt to self-disclose, extraordinary cooperation and remediation by not requiring a monitor and giving a discount even through ABB is the first time three-peat offender under the FCPA. He shouts out to Christine McVie, singer and songwriter for Fleetwood Mac who recently passed away. 4. Jonathan Armstrong considers the ABB enforcement action from the UK perspective and opines how a UK judge might consider the company’s recidivism differently than the DOJ did. He rants about ongoing tech scams. 5. Jay Rosen reviews the enforcement action from the perspective of how the bribes were funded. He shouts out to Mike Gabler, winner of Season 43 of Survivor who donated his $1MM winnings to help veterans. The members of the Everything Compliance are: • Jay Rosen– Jay is Vice President, Business Development Corporate Monitoring at Affiliated Monitors. Rosen can be reached at [email protected] • Karen Woody – One of the top academic experts on the SEC. Woody can be reached at [email protected] • Matt Kelly – Founder and CEO of Radical Compliance. Kelly can be reached at [email protected] • Jonathan Armstrong –is our UK colleague, who is an experienced data privacy/data protection lawyer with Cordery in London. Armstrong can be reached at [email protected] • Jonathan Marks is Partner, Firm Practice Leader - Global Forensic, Compliance & Integrity Services at Baker Tilly. Marks can be reached at [email protected] The host and producer, ranter (and sometime panelist) of Everything Compliance is Tom Fox the Voice of Compliance. He can be reached at [email protected] Everything Compliance is a part of the Compliance Podcast Network. Learn more about your ad choices. Visit megaphone.fm/adchoices
Episode 107 - the Happy Thanksgiving Edition
17/11/2022
1:15:12
Welcome to the only roundtable podcast in compliance as we celebrate our second century of shows. Everything Compliance which has been honored by W3 as a top talk show in podcasting. In this episode, we have the quartet of Jonathan Marks, Jonathan Armstrong, Karen Woody and Matt Kelly on a wide variety of regulatory and criminal law topics. We conclude with our fan fav Shout Outs and Rants section. 1. Matt Kelly implosion of Twitter since its takeover by Elon Musk. He shouts out to everyone who voted. 2. Karen Woody looks court cases attacking the expanded authority of the SEC to use in-house courts and judges rather than Article III courts and judges. She rants about the Russian government treatment of Brittany Griner and her shipment to a Russian penal colony. 3. Jonathan Marks at the question of whether the PCAOB should be folded into the SEC. He shouts out to the Houston Astros for winning the World Series and continues his ongoing rant about takeaway food from Chipotle. 4. Jonathan Armstrong looks the conviction of former Uber CISO Joe Sullivan and explores what it means for CISOs and CCOs down the road. He shouts out the Houston restaurant Mac N’ Wings for having both Asian/Southern fusion food and the hottest curry he has ever tasted. 5. Jay Rosen reviews the case of former Santa Clara County Sheriff Laurie Smith, who was recently convicted of corruption. He shouts out to former Patriot Julian Edelman who spoke out forcefully against antisemitism. 6. Tom Fox joins in to shout out to Kerrville City Councilperson Brenda Hughes who defended the City of Kerrville’s Butt-Holdsworth Memorial Library’s right to have books on LGBTQ+ issues. The members of the Everything Compliance are: • Jay Rosen– Jay is Vice President, Business Development Corporate Monitoring at Affiliated Monitors. Rosen can be reached at [email protected] • Karen Woody – One of the top academic experts on the SEC. Woody can be reached at [email protected] • Matt Kelly – Founder and CEO of Radical Compliance. Kelly can be reached at [email protected] • Jonathan Armstrong –is our UK colleague, who is an experienced data privacy/data protection lawyer with Cordery in London. Armstrong can be reached at [email protected] • Jonathan Marks is Partner, Firm Practice Leader - Global Forensic, Compliance & Integrity Services at Baker Tilly. Marks can be reached at [email protected] The host and producer, ranter (and sometime panelist) of Everything Compliance is Tom Fox the Voice of Compliance. He can be reached at [email protected] Everything Compliance is a part of the Compliance Podcast Network. Learn more about your ad choices. Visit megaphone.fm/adchoices
Episode 105 - the Monaco Memo and Antitrust in the EU
29/09/2022
1:20:03
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Episode 104 - the Back to School Edition
08/09/2022
1:12:29
Welcome to the only roundtable podcast in compliance as we celebrate our second century of shows. In 2021, Everything Compliance was honored by W3 as a top talk show in podcasting. In this episode, we have the quartet of Jonathan Marks, Jonathan Armstrong, Jay Rosen and Matt Kelly on a variety of topics. We conclude with our fan Shout Outs and Rants section. 1. Jay Rosen looks at a recent report about the number and quality of SEC whistleblower awards. Rosen shouts out to scientists who are trying to create Oxygen from CO2 so that life can exist on Mars. 2. Matt Kelly discusses the Mudge whistleblower allegations regarding Twitter. Kelly shouts out to NASA engineers who scrubbed the space shuttle launch due to safety concerns. 3. Jonathan Marks considers the role of internal audit in M&A work specifically and how the Board should utilize internal audit more generally. Marks shouts out the 30the anniversary of the US Sentencing Guidelines. 4. Tom Fox shouts out the American League leading Houston Astros. 5. Jonathan Armstrong looks at the newly released Lloyd’s regulations around denial of coverage for cyber-attacks made by foreign governments and state actors. He shouts out to the British television show “Have I Got News” for skewering Boris Johnson with his own words. The members of the Everything Compliance are: • Jay Rosen– Jay is Vice President, Business Development Corporate Monitoring at Affiliated Monitors. Rosen can be reached at [email protected] • Karen Woody – One of the top academic experts on the SEC. Woody can be reached at [email protected] • Matt Kelly – Founder and CEO of Radical Compliance. Kelly can be reached at [email protected] • Jonathan Armstrong –is our UK colleague, who is an experienced data privacy/data protection lawyer with Cordery in London. Armstrong can be reached at [email protected] • Jonathan Marks is Partner, Firm Practice Leader - Global Forensic, Compliance & Integrity Services at Baker Tilly. Marks can be reached at [email protected] The host and producer, ranter (and sometime panelist) of Everything Compliance is Tom Fox the Voice of Compliance. He can be reached at [email protected] Everything Compliance is a part of the Compliance Podcast Network. Learn more about your ad choices. Visit megaphone.fm/adchoices
Episode 103 - the All Shout Outs and Rants Edition
25/08/2022
39:10
Welcome to the only roundtable podcast in compliance as we celebrate our second century of shows. In 2021, Everything Compliance was honored by W3 as a top talk show in podcasting. In this episode, we have the quartet of Jonathan Marks, Jonathan Armstrong and Matt Kelly. In this episode, devote the entire episode to some of our favorite shout outs and rants and mine them for compliance lessons learned. We conclude with more recent news stories for a contemporary Shout Outs and Rants section. 1. Jay Rosen has a series of shout outs and rants. He rants about former VP Dick Cheney who created the conditions for today’s GOP leading to the defeat of his daughter Liz Cheney in her primary; spinless Roger Goodell for his hapless leadership of the NFL and concludes with a shout out to Little Leaguer, Isaiah Jarvis who hugged Kaiden Shelton after being hit in the head by a Shelton pitch. Rosen rants about ESPN stupidly lost the rights to broadcast Bin 10 football. 2. Matt Kelly rants about Harmony Montgomery who died after 2 years of abuse by her father because no one believed her mother that she was in danger. His lesson is that we must listen to whistleblowers. Kelly has a dual shout out and rant. He shouts out to the campaign being run by John Fetterman for Senate in Pennsylvania and rants about the GOP for seeking the unredacted affidavit which support the warrant to search Mar-a-Lago. 3. Jonathan Marks rants about the restaurant Chipotle and how they treat live in-person orders differently from online orders you pick up at a store. He shouts out to USC student Jake Freeman for making $110MM on Bed Bath and Beyond stock and rants about the continued failure to make the departure of a CAE or CCO an 8K event. 4. Tom Fox has a cautionary tale (with a tip of the hat to fellow podcaster Tim Harford) about the importance of good corporate governance in the saga of Blue Bell Ice Cream. 5. Jonathan Armstrong rants about the damage to the image of the legal profession in the UK down by Neil Gerrard during his time at Dechert for their representation of ENRC. He rants about cookie claimants who don’t take the summer off. The members of the Everything Compliance are: • Jay Rosen– Jay is Vice President, Business Development Corporate Monitoring at Affiliated Monitors. Rosen can be reached at [email protected] • Karen Woody – One of the top academic experts on the SEC. Woody can be reached at [email protected] • Matt Kelly – Founder and CEO of Radical Compliance. Kelly can be reached at [email protected] • Jonathan Armstrong –is our UK colleague, who is an experienced data privacy/data protection lawyer with Cordery in London. Armstrong can be reached at [email protected] • Jonathan Marks is Partner, Firm Practice Leader - Global Forensic, Compliance & Integrity Services at Baker Tilly. Marks can be reached at [email protected] The host and producer, ranter (and sometime panelist) of Everything Compliance is Tom Fox the Voice of Compliance. He can be reached at [email protected] Everything Compliance is a part of the Compliance Podcast Network. Learn more about your ad choices. Visit megaphone.fm/adchoices
Episode 102 - the Technical Edition
11/08/2022
52:28
Welcome to the only roundtable podcast in compliance as we celebrate our second century of shows. In 2021, Everything Compliance was honored by W3 as a top talk show in podcasting. In this episode, we have the quartet of Jonathan Marks, Jay Rosen, Tom Fox and Matt Kelly. In this episode, we some technical issues which have all been thinking about. We conclude with our fan favorite Shout Outs and Rants. 1. Matt Kelly takes a deep dive into CCO certification issue focusing on the term ‘reasonable’. He rants about the LIV exhibit golf tour and the insane amount of money being spent by Saudi Arabia to rehabilitate its reputation through sports. 2. Jonathan Marks explores auditing business segments and what it means for both auditors and investors. He shouts out SEC Chairman Gary Gensler on the 20th anniversary of the enactment of SOX. 3. Tom Fox looks at the bribery schemes used in the Biotronik FCA action and mines them for lessons learned for the anti-corruption compliance professional. Shouts out to Vin Scully, the former play by play announcer for the Los Angeles Dodgers. 4. Jay Rosen explores FCA USA LLC fraudulent emissions criminal action. He shouts out to Celtic great Bill Russell who died this week. The members of the Everything Compliance are: • Jay Rosen– Jay is Vice President, Business Development Corporate Monitoring at Affiliated Monitors. Rosen can be reached at [email protected] • Karen Woody – One of the top academic experts on the SEC. Woody can be reached at [email protected] • Matt Kelly – Founder and CEO of Radical Compliance. Kelly can be reached at [email protected] • Jonathan Armstrong –is our UK colleague, who is an experienced data privacy/data protection lawyer with Cordery in London. Armstrong can be reached at [email protected] • Jonathan Marks is Partner, Firm Practice Leader - Global Forensic, Compliance & Integrity Services at Baker Tilly. Marks can be reached at [email protected] The host and producer, ranter (and sometime panelist) of Everything Compliance is Tom Fox the Voice of Compliance. He can be reached at [email protected] Everything Compliance is a part of the Compliance Podcast Network. Learn more about your ad choices. Visit megaphone.fm/adchoices

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