Episode 128, The Frozen Edition

Welcome to the only roundtable podcast in compliance as we celebrate our second century of shows. In this episode, we have a quartet of commentators: Jonathan Marks, Matt Kelly, Jay Rosen, and Karen Woody, all hosted by Tom Fox. 1. Matt Kelly takes a deep dive into the seeming lack of corporate monitors in recent FCPA enforcement actions. He rants about yet another KPMG cheating scandal. 2. Karen Woody takes a deep dive into the Panuwat conviction for shadow insider trading.  She shouts out to Caitlin Clark for being the No. 1 pick in the WNBA Draft but rants about her paltry $76K first year salary. 3. Jonathan Marks talks about the current challenges facing Chief Audit Executives. He shouts out to Kevin Ford for working at Burger King for 27 years without missing a day of work. 4. Jay Rosen provides an update on export control. He has a mild  rant about CBS cutting off Billy Joel’s Piano Man encore to cut to local news about the Masters. 5. Host Tom Fox shouts out to Senator Robert Menendez for throwing his wife under the bus by announcing he will claim she is the one who engaged in bribery and corruption, not him. The members of the Everything Compliance are: • Jay Rosen – Jay 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 in London. • Jonathan Marks can be reached at [email protected]. The host, producer, and ranter (and sometimes 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

Welcome to the only roundtable podcast in compliance as we celebrate our second century of shows. In this episode, we have the quintet of commentators; Jonathan Marks, Matt Kelly, Jay Rosen, with Special Guest Karen Moore; all hosted and joined by Tom Fox. 1. Matt Kelly takes a deep dive into the recent speech my Michael Hsu on how fairness helps compliance. (Check out his blog on the topic here.) He shouts out to World Central Kitchen and their continued efforts to feed those in need. 2. Host Tom Fox takes a deep dive into the Trafigura FCPA enforcement action to try and determine how (and why) the company was not required to have a monitor. He shouts out to Houston Astros pitcher Ronel Blanco, who threw a no-hitter in his 8th professional appearance at the age of 30. 3. Jonathan Marks talks about his father’s influence on him which helped Jonathan form is views on ethics and the Kobayashi Maru. He shouts out to his father, Gene Marks for a full life well lived.  4. Jay Rosen looks at the enforcement action involving Trafigura. He shouts out to Lou Gossett, Jr. for his Oscar winning role in An Officer and a Gentleman. 5. Special Guest Karen Moore takes a deep dive into the EU Corporate Sustainability Due Diligence Directive.  She shouts out to Austrian government for providing citizenship to descendants of Nazi persecution by means of a declaration, without having to give up their current citizenship or nationality in return. The members of the Everything Compliance are: •       Jay Rosen– Jay can be reached at [email protected] •       Karen Woody – Is 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, and is an experienced data privacy/data protection lawyer in London. He can be reached at [email protected]. •       Jonathan Marks can be reached at [email protected]. •       Guest Karen Moore 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

Welcome to the only roundtable podcast in compliance as we celebrate our second century of shows. In this episode, we have the quintet of commentators; Jonathan Marks, Matt Kelly, Jonathan Armstrong, Jay Rosen, with Special Guest Mary Inman; all hosted by Tom Fox. 1. Matt Kelly bemoans the lack of monitorships in recent FCPA enforcement actions. He shouts out to Ken Buck for his resignation from Congress. 2. Host Tom Fox shouts out to the Ides of March and the Mooring Theater Company Production of Shakespeare’s play Julius Ceasar,  starring Corin and Vanessa Redgrave. 3. Jonathan Armstrong reviews NIS2 and the changing climate around cybersecurity regulation. He rants about the disaster management failures of the British crown around Kate Middleton.    4. Jay Rosen looks at the enforcement action involving Gunvor S.A. He about the potential Vice-Presidential candidacy of Aaron Rogers and intones “you ain’t no Bill Bradley”. 5. Special Guest Mary Inman takes a deep dive into the DOJ whistleblower bounty program.  She shouts out to whistleblower John Barnett and rants the need for mental health resources to be made available to whistleblowers. 6. Jonathan Marks looks at DOJ’s renewed call for self-disclosure. shouts out a fast-thinking and fast-acting McDonald’s employee who used CPR to save a customer who had a heart attack.  The members of the Everything Compliance are: •       Jay Rosen– Jay 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 in London.  •       Jonathan 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

Welcome to the only roundtable podcast in compliance as we celebrate our second century of shows. In this episode, we have the quintet of Jonathan Marks, Matt Kelly, Karen Woody, Jay Rosen, and Special Guest Karen Moore, all hosted by Tom Fox, joining us on this episode of Everything Compliance. 1. Matt Kelly looks at ongoing proposals by the SEC around climate risk reporting and the PCAOB on its NOCAR proposal. He shouts out to the Russian people who turned in droves for the funeral of murdered activist Alexei Navalny. 2. Karen Woody reviews the current state of SPACs. She shouts out to Caitlan Clark, who set the all-time single season scoring record in college basketball. 3. Special guest Karen Moore considers the current state of whistleblowing. She shouts out and rants about UW killing the EU Corporate Sustainability Due Diligence Directive. 4. Jay Rosen looks at the FCPA conviction of Javier Agular. He shouts out to the rich getting richer; Shohei Ohtani signing with the LA Dodgers for $700MM and deferring 97% of his salary until 2034; and Adam Turteltaub, an uber Dodgers fan who might see a Dodgers World Series this year. 5. Jonathan Marks looks at Boeing, board governance, and culture. He shouts out garbage collectors who saw a house on fire, saved the family inside and warned neighbors all before the Fire Department arrived. 6. Tom Fox rants about the Supreme Court intentionally delaying the federal trials of Donald Trump. The members of the Everything Compliance are: • Matt Kelly Founder and CEO of Radical Compliance. Kelly can be reached at [email protected] • Karen Woody is one of the top academic experts on the SEC. Woody can be reached at [email protected] • Special Guest Karen Moore is an Adjunct professor at the Fordham School of Law. She can be reached at [email protected] • Jonathan Marks can be reached at [email protected] • Jay Rosen can be reached at [email protected] The host, producer, ranter (and sometimes 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. 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

Welcome to the only roundtable podcast in compliance as we celebrate our second century of shows. In this episode, we have the quintet of Jonathan Armstrong, Jonathan Marks, Matt Kelly, Karen Woody, and Jay Rosen, all hosted by Tom Fox. 1. Matt Kelly discusses the regulation of AI and looks at the new DFS regs around it. He shouts out to Alexei Navalny, who was murdered for his fight against corruption in Russia.  2. Tom Fox shouts out to Ben Affleck for his DunKing Super Bowl commercial. 3. Jonathan Armstrong talks about the most recent speech by the new SFO director. He rants about Julian Assange’s inane claims to be a journalist. .  4. Jay Rosen looks at the dearth of DOJ-mandated monitorships and proposes a new concept, the self-monitorship. He shouts out to the movie Love on the Spectrum and the Bill Bradley interview. 5. Karen Woody takes a deep dive into the Panuwat trial and the concept of shadow insider trading. She rants about the senseless gun culture in America.  The members of the Everything Compliance are: •       Jay Rosen– Jay 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 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

Welcome to the only roundtable podcast in compliance as we celebrate our second century of shows. In this episode, we have the quartet of Jonathan Armstrong, Matt Kelly, Karen Woody, and Jay Rosen, all hosted by Tom Fox, joining us on this episode to discuss some of the topics they are watching during this extended cold spell across the US. 1. Matt Kelly looks at the tale of two companies, eBay and SAP, and the disparity in whether monitorships were mandated. He shouts out to Saul Dreier and the Holocaust Survivors Band, who recently played a gig at the White House. 2. Tom Fox shouts out to Sir Elton John for winning an Emmy, thus becoming only the 18th person to hold the prestigious EGOT designation. 3. Jonathan Armstrong looks at the new SFO director and his new focus for the beleaguered agency.  He shouts out to Nick Rossi (or whatever name he is using) and his 16 aliases. 4. Jay Rosen takes a deep dive into the SAP Foreign Corrupt Practices Act enforcement action. He shouts out to the Cara Cara naval oranges. 5. Karen Woody looks at the Segway shareholder case and its duty of oversight analysis for an officer. She shouts out to all the folks in Indiana who work and fix things during a deep freeze and those manning homeless shelters. The members of the Everything Compliance are: Jay Rosen is Vice President, Business Development Corporate Monitoring at Affiliated Monitors. Rosen can be reached at [email protected] Karen Woody is one of the top academic experts on the SEC. Woody can be reached at [email protected] Matt Kelly is the 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 can be reached at [email protected]. The host, producer, ranter (and sometimes 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

Welcome to the only roundtable podcast in compliance as we celebrate our second century of shows. In this episode, we have the quartet of Jonathan Armstrong, Matt Kelly, and Jay Rosen, all hosted by Tom Fox, joining us on this episode to discuss some of the topics they are watching in 2024. Matt Kelly looks at the recently enacted Foreign Extortion Prevention Act (FEPA). He rants about the SEC getting hacked around the Bitcoin ETF announcement and reminds everyone to use two-factor authentication. Tom Fox shouts out to the University of Michigan for winning the College Football National Championship. Jonathan Armstrong looks at the intersection of AI and Operational Resilience and ties it to the need for greater Board skills in these areas. He shouts out to Jay Rosen, who is in transition and would be a great addition to any compliance product or service BD team. Jay Rosen opines on the DOJ’s Expectations for Data Driven Analytics in 2024. He shouts out to Robert Kraft and the New England Patriots for paying departing coach Bill Belichick his full 2024 salary. Jonathan Marks asks, What does it mean to be on a Board in 2024? He rants about the Philadelphia Eagles. 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 can be reached at [email protected]. The host, producer, ranter (and sometimes 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. For more information on Ethico and a free White Paper on top compliance issues in 2024, click here. Learn more about your ad choices. Visit megaphone.fm/adchoices

Welcome to the only roundtable podcast in compliance as we celebrate our second century of shows. In this episode, we have the quartet of, Jonathan Armstrong, Matt Kelly, Karen Woody, and guest Kristy Grant-Hart; all hosted by Tom Fox, joining us on this episode. 1. Matt Kelly reviews the recent DOJ speech regarding the use of data analytics in compliance. He shouts out to Congress to do something right in its expulsion of George Santos.   2. Karen Woody reviewed the Jarksey case in front of the US Supreme Court. She shouts out to Sandra Day O’Connor, the first female Justice of the US Supreme Court.     3. Tom Fox shouts out to John Reed Stark for being the first voice that crypt was a fraud and cryptocurrency exchanges were being used for criminal activity.  4. Jonathan Armstrong takes us on a long discussion of the OpenAI termination of Sam Altman and his return. He shouts out to the rescue workers who saved victims of the Boscastle Flood.  5. Guest Kristy Grant-Hart reviews the actions by the former Binance CCO in the context of the overall Binance $4MM+ enforcement action. She shouted out to Congress to require an investigation of the FDIC after the WSJ broke the story of widespread sexual harassment at the agency.  6. Jonathan Marks rants during the entire episode but then shouts out to Charlie Jeffers and his Lego initiative, Pass the Bricks. The members of the Everything Compliance are: •  Jay Rosen– Jay is Vice President of 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 can be reached at [email protected]. • Special Guest Kristy Grant-Hart is the founder of Spark Consulting.  The host and producer, ranter (and sometimes 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

Welcome to the only roundtable podcast in compliance as we celebrate our second century of shows. In this episode, we have the quartet of, Jonathan Armstrong, Matt Kelly, Karen Woody, Jay Rosen all hosted by Tom Fox, joining us on this episode of our fan fav Shout Outs and Rants section. 1. Matt Kelly says the US Supreme Court Code of Ethics is already broken. Kelly has a book review shout out to Peter Cappelli for his book Our Least Important Asset.  2. Karen Woody takes a deep dive into the SEC enforcement action against Solar Winds and its current CISO. She shouts out to Megan Rapinoe and Ali Krieger who both retired from professional soccer for their great careers and leading lights of social justice.     3. Jonathan Armstrong talks about David Cameron returning to the UK government and the need to eliminate sleaze in government. He rants about sliced salami announcements by politicians.  4. Jay Rosen looks at the ongoing corruption scandal in Santa Clara County CA, involving the former sheriff and the alleged sale of concealed carry permits. He shouts out to Giles Martin, son of Sir George Martin, for his remastering of the Beatles Red and Blue albums.  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 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

Welcome to the only roundtable podcast in compliance as we celebrate our second century of shows. In this episode, we have the quartet of Jay Rosen, Jonathan Armstrong, Matt Kelly, and special guests Karen Moore and Kristy Grant-Hart, with Tom Fox hosting. Our topic today (with the exception of Mr. Armstrong) is the recently announced Albemarle FCPA enforcement action with both the DOJ and SEC. We conclude with our always popular and fan-favor Shout Outs and Rants. 1. Matt Kelly provides an overview of the enforcement action. He rants about former House Speaker Kevin McCarthy and the GOP’s desire for chaos rather than governing. 2. Guest Karen Moore takes a deep dive into the SEC FCPA enforcement action involving Albemarle. She rants about lawyer fees over $2000+ per hour. 3. Tom Fox shouts out to the MLB playoffs and pays tribute to Dick Butkus. 4. Guest Kristy Grant-Hart takes a deep dive into the holdback provision noted in the DOJ enforcement action. 5. Jonathan Armstrong reviews CEOs misbehaving and the corporate response. He shouts out Kortney Nordrum for her presentation on what it is like to go through a data breach. The members of the Everything Compliance are: •       Jay Rosen– Jay is Vice President of 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 can be reached at [email protected]. •       Special Guest Kristy Grant-Hart is the founder of Spark Consulting.  •       Special Guest Karen Moore is an Adjunct Professor at Fordham University School of Law The host and producer, ranter (and sometimes 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