Everything Compliance

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In this bi-monthly podcast, Tom Fox brings together 5 of the compliance industry's top commentators to share their thoughts opinions and insights. Learn from Mike Volkov, Matt Kelly, Jonathan Armstrong, Sarah Hadden and Jay Rosen.

Tom Fox


    • May 22, 2025 LATEST EPISODE
    • monthly NEW EPISODES
    • 58m AVG DURATION
    • 144 EPISODES


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    Latest episodes from Everything Compliance

    Episode 154, The Law Firms in Trouble Edition

    Play Episode Listen Later May 22, 2025 65:38


    Welcome to this edition of the award-winning Everything Compliance. In this episode, the quartet of Matt Kelly, Jonathan Marks, Karen Moore, and Karen Woody is hosted by Tom Fox, the Compliance Evangelist. Karen Moore reviews changes to the UK Modern Slavery Act. She shouts out to her nephew, who graduates from Georgetown Law School this week, and to the NFL superfan for allegedly causing Shedeur Sanders to drop to the 5th round before being drafted in the recent NFL Draft. Matt Kelly, the Matt Galeotti speech updates the DOJ Corporate Enforcement Policy for white-collar actions. He rants about the GOP's attempt to ban states from regulating AI. Jonathan Marks considers the role of internal audit in tariff compliance and why tariffs should be considered a strategic risk. He rants about MLB caving to President Trump and allowing those who bet on baseball back into the fold. Karen Woody considers the impact, fallout, and congressional investigations of the law firm's dealings with President Trump. She shouts out to the Washington & Lee Law School graduating class 2025. Tom Fox shouts out to the Disney TV series Andor. The members of 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 an experienced compliance & technology lawyer based at Punter Southall Law in London (https://puntersouthall.law/).  He adds an international focus and 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 Tom Fox, the Voice of Compliance, is the host, producer, and sometimes panelist of Everything Compliance. He can be reached at tfox@tfoxlaw.com. The award-winning Everything Compliance is part of the Compliance Podcast Network. Learn more about your ad choices. Visit megaphone.fm/adchoices

    Episode 153, The CW 25 Edition

    Play Episode Listen Later May 8, 2025 67:00


    Welcome to this edition of the award-winning Everything Compliance. In this episode, the quartet of Matt Kelly, Jonathan Armstrong, Karen Moore, and Karen Woody is hosted by Tom Fox, the Compliance Evangelist. Karen Moore looks at state, international, and private prosecutions of various ABC laws. She rants at the Department of Education for setting up a 1984-style anonymous reporting line for students to report on their teachers. Matt Kelly reviews the Glencore DPA record. He has a shout-out to Microsoft for picking up Jenner & Block as counsel and rants about the GOP effort to abolish the PCAOB. Jonathan Armstrong reviews changes at the UK SFO. He shouts out to the compliance community for their support of Diana Trevley and encourages her continuing recovery now that she is back in the US. Karen Woody considers tariffs as a new source for FCA claims and shouts out to the movie Conclave. Tom Fox shouts out to former San Antonio Spurs coach Gregg Popovich, who announced his retirement on May 1. The members of 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 an experienced compliance & technology lawyer based at Punter Southall Law in London (https://puntersouthall.law/).  He adds an international focus and 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 Tom Fox, the Voice of Compliance, is the host, producer, and sometimes panelist of Everything Compliance. He can be reached at tfox@tfoxlaw.com. The award-winning Everything Compliance is part of the Compliance Podcast Network. Learn more about your ad choices. Visit megaphone.fm/adchoices

    Episode 152, The Season Opener Edition

    Play Episode Listen Later Apr 3, 2025 63:03


    Welcome to this edition of the award-winning Everything Compliance. In this episode, Matt Kelly, Jonathan Armstrong, Karen Moore, and Tom Fox, the Compliance Evangelist, will appear as panelists. 1. Karen Moore examines EU changes in reporting on ESG and CCCD and rants about the anxiety caused by the Trump Administration. 2. Matt Kelly reviews the off-channel messaging scandal. He rants about the Trevor Milton pardon. 3. Jonathan Armstrong takes a deep dive into Agentic AI and its implications for compliance. He shouts out to Russell Brand for unmasking British actor Penelope Keith as JFK's assassin. 4. Tom Fox examines the world's response to Trump's suspension of FCPA enforcement. He shouts out to Opening Day of the 2025 MLB season and highlights his hometown heroes, the Houston Astros. The members of 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 an experienced compliance & technology lawyer based at Punter Southall Law in London (https://puntersouthall.law/). He adds an international focus and 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. Learn more about your ad choices. Visit megaphone.fm/adchoices

    Episode 151, The What is Illegal DEI Edition

    Play Episode Listen Later Mar 13, 2025 56:59


    Welcome to this edition of the award-winning Everything Compliance. In this episode, we have the quartet of Matt Kelly, Karen Woody, and Karen Moore, all hosted by Tom Fox, the Compliance Evangelist. They all look at various issues for compliance professionals under the current administration. Karen Moore, what is ‘illegal DEI'? She shouts out to federal employees who have been summarily terminated. Matt Kelly considers the work of DOGE at the SEC. He shouts out to James Harrison, whose plasma contains a rare antibody known as anti-D, which is used to make injections that protect unborn babies from hemolytic disease of the newborn. Karen Woody asks whether the trial of the Cognizant Technology executives will ever occur. She shouts out to Georgetown Law Dean Will Treanor, who shut down the illegal harassment of the school by the interim US Attorney for the District of Columbia. Tom Fox shouts out to the Quebecoise for embracing their Canadian-ness and all those north of the border who are responding to Trump's bullying with ‘Elbows Up'. The members of 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 an experienced compliance & technology lawyer based at Punter Southall Law in London (https://puntersouthall.law/). He adds an international focus and 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. Learn more about your ad choices. Visit megaphone.fm/adchoices

    Episode 150, The Musk On Edition

    Play Episode Listen Later Feb 13, 2025 66:24


    Welcome to this edition of the award-winning Everything Compliance. In this episode, Matt Kelly, Jonathan Armstrong, Jonathan Marks, Karen Woody, and Karen Moore join the full gang to examine various issues for compliance professionals under the incoming administration. Jonathan Armstrong looks at the car crash coming for DeepSeek in the EU. He shouts out to Peter Mandelson, the new UK Ambassador to the United States. Karen Moore looks at the reframing of DEI. She shouts out about the film on September 5. Matt Kelly considers the Bondi Memo on changes in DOJ enforcement focus and mentions Alexei Navalny's memoir. Karen Woody examines the new SEC Crypto Taskforce and mentions the award-winning play Hadestown. Jonathan Marks provides a tutorial on the role of internal audit on export controls. He also shouts out to his hometown team, the Philadelphia Eagles (now the Super Bowl-winning Philadelphia Eagles). Tom Fox shouts out to (conspiracy) Bill Simmons for opining that the Dallas Maverick's trade of Luka Doncic was a ploy to force the state of Texas to allow gambling in this state. The members of 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 an experienced compliance & technology lawyer based at Punter Southall Law in London (https://puntersouthall.law/). He adds an international focus and 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. Learn more about your ad choices. Visit megaphone.fm/adchoices

    Episode 149, The Q1-2025, Great Women in Compliance Edition

    Play Episode Listen Later Feb 6, 2025 59:08


    A few months ago, we had a Special Edition of Everything Compliance with the two primary hosts of the Great Women in Compliance, Lisa Fine and Hemma Lomax, together with our female panelists from Everything Compliance, Karen Woody and Karen Moore, 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 (Q1-2025 edition), hosted by Kristy Grant-Hart, with panelists Karen Moore, Karen Woody, Lisa Fine, and Hemma Lomax. Host Kristy Grant-Hart leads the group's discussion in this episode. She rants about the looting in LA now and raves about the response the City of Angels has made coming together in the wake of the fires. Karen Moore examines the 10th Amendment and how states can use it during the second Trump administration. She raves about Timothy Snyder's book Tyranny: 20 Lessons from the 20th Century. Lisa Fine examines the recent air collision tragedy in Washington, DC, and draws lessons from it. In her Raves and Rants segment, she rants about NFL referees and raves about improv classes and The Herald. Hemma Lomax goes into a deep exploration of employee disengagement. She has a double rave about seeing Lisa Fine at a recent DC event and her kids getting a skiing lesson from Karen Moore. Karen Woody discusses the SEC change requiring that all investigations be approved by the Commission before they can commence. She also raves about Beyonce's winning her first Best Album of the Year Grammy award. The members of this special episode of Everything Compliance (GWIC edition) 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

    Episode 148, The Trump's 1st Week Edition

    Play Episode Listen Later Jan 28, 2025 56:06


    Welcome to this Edition of the award-winning Everything Compliance. In this episode, the truncated triplet of Matt Kelly, Tom Fox, and Karen Moore takes a deep dive into Trump's First Week and what it all means for compliance. Karen Moore takes a deep dive into the War on DEI. She rants about Meta dropping its fact-checking. She rants about the sportsmanship of those at the Australian Open who booed Novak Djokovic for having the temerity to become injured and forced to withdraw from his match but shouts out to the Bills Mafia who supported Ravens Tight End Mark Andrews after his dropped touchdown pass. Matt Kelly considers the DOGE Commission's insanity and its morphing into a technology committee. He rants about the Trump Administration's inane action in trying to invalidate the Constitution and shouts out Senior U.S. District Judge John Coughenour for putting a TRO in place for Trump's alleged Order overruling the 14th Amendment on birthright citizenship. Tom Fox leads a discussion on the potential weaponization of the FCPA and FEPA. He shouts out to Jackie Smith, who presaged Mark Andrews by 26 years by dropping a wide-open touchdown pass from Roger Staubach in the 1979 Super Bowl, and to Houston Astro Billy Wagner for his election into the MLB Hall of Fame. The members of 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 an experienced compliance & technology lawyer based at Punter Southall Law in London (https://puntersouthall.law/). He adds an international focus and 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

    Episode 147, The Welcome to 2025 Edition

    Play Episode Listen Later Jan 16, 2025 65:51


    Welcome to this edition of the award-winning Everything Compliance. In this episode, Matt Kelly, Jonathan Armstrong, Karen Woody, and Karen Moore examine various issues for compliance professionals under the incoming Administration. a. Jonathan Armstrong takes a lesson on business ethics from handbags in South Korea, and we learn about ‘Say-Do.' He rants about Liz Truss trying to salvage her name through litigation. b. Karen Moore deeply dives into some interesting litigation around pregnancy discrimination claims, and we learn about ‘stray remarks.' She rants about Meta dropping its fact-checking and shouts out former President Jimmy Carter. c. Matt Kelly considers the Bayview Asset Management enforcement action and what it may mean for compliance. He shouts out to Steve Guttenberg and all those Los Angelinos who assist during the ongoing fires. . d. Karen Woody looks at what the new Trump Administration may mean for the CFPB going forward. She rants about the idiots denying climate change. e. Tom Fox shouts out to two brothers in arms: former Presidents Gerald Ford and Jimmy Carter. Their love for each other and Gerald Ford's tribute to Jimmy Carter, read by Gerald's son, Steven Ford, at Jimmy Carter's funeral. 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 an experienced compliance & technology lawyer based at Punter Southall Law in London (https://puntersouthall.law/). He adds an international focus and 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

    Episode 146, The Holiday Season Edition

    Play Episode Listen Later Dec 19, 2024 57:34


    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

    Episode 145, 8 Years Later: The Second Trump Administration

    Play Episode Listen Later Nov 14, 2024 63:40


    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

    Episode 144, The Q4, Great Women in Compliance Edition

    Play Episode Listen Later Nov 7, 2024 66:14


    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

    Episode 143, The North to South Episode

    Play Episode Listen Later Oct 24, 2024 70:58


    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

    Episode 142, The 2024 ECCP Episode

    Play Episode Listen Later Oct 10, 2024 63:51


    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

    Episode 141, Tribute to Nick Gallo Episode

    Play Episode Listen Later Sep 26, 2024 62:31


    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

    Episode 140, the Fall is in the Air episode

    Play Episode Listen Later Sep 12, 2024 63:16


    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

    Episode 139, The Bank of America Episode

    Play Episode Listen Later Aug 29, 2024 61:26


    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

    Episode 138, The AI in The EU Edition

    Play Episode Listen Later Aug 8, 2024 86:43


    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

    Episode 137, The Boeing Pleads Guilty Edition

    Play Episode Listen Later Jul 18, 2024 66:20


    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

    Episode 136-The Great Women in Compliance edition

    Play Episode Listen Later Jun 20, 2024 61:18


    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

    Episode 135, The Driving in Louisville Edition

    Play Episode Listen Later May 23, 2024 72:27


    Welcome to the only roundtable podcast in compliance as we celebrate our second century of shows. In this episode, we have the septet of shout-outs and rantors; Jonathan Marks, Matt Kelly, special guests Karen Moore and Mike DeBernardis, all hosted by Tom Fox. Matt Kelly took a deep dive into the report damning the FDIC for its toxic culture. He praises the Supreme Court for upholding the constitutionality of the CFPB's rants about right-wing radicals trying to destroy democratic institutions through the courts. Guest Panelist Karen Moore reviews a court of appeals decision on a Title VII and Equal Protection clause case regarding DEI training . She sends sympathies to all those who have experienced flooding and shouts out to two Brazilian rowers, Evaldo Mathias Becker and Piedro Tuchtenhagen gave up on their Olympic dreams to stay in their home state of Rio Grande do Sul after heavy rains devastated the state. Jonathan Marks discusses new PCAOB Rules on Auditor Quality Controls. He shouts out to Dylan Beard, a Walmart deli worker who qualified for spot at the U.S. Olympic track and field trials in June in the hurdles. As an unsponsored athlete, his employer, Walmart, presented him with a check for $20,000 so his friends and family could support him as he made his way to the Olympic trials. Special Guest Panelist Mike DeBernardis reviews the DOJ Whistleblower Program—how will it put additional pressure on the compliance function and outside counsel regarding investigations? He shouts out to the Washington Commanders for some long awaited sanity with the club's new owners. Host Tom Fox shouts out to drive in Louisville for the bookend of Sydney Thomas saving lives and arresting the World's Number 1 golfer Scottie Scheffler, while driving on his way to the PGA Golf Tournament at Valhalla Country Club. The members of the Everything Compliance are: • Jay Rosen – Jay can be reached at Jay.r.rosen@gmail.com • 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 windyridgehouse@gmail.com. • Jonathan Marks can be reached at jtmarks@gmail.com. • Special Guest Karen Moore can be reached at Kmoore51@fordham.edu • Special Guest Mike DeBernaris can be reached at the law firm's website, www.hugheshubbard.com/. The host, producer, and ranter (and sometimes 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 Compliance Podcast Network. Learn more about your ad choices. Visit megaphone.fm/adchoices

    Episode 134, The AI Edition

    Play Episode Listen Later May 9, 2024 54:32


    Welcome to the only roundtable podcast in compliance as we celebrate our second century of shows. In this episode, we have a quintet of commentators; Jonathan Armstrong, Jonathan Marks, Matt Kelly, Jay Rosen, and special guest Karen Moore, all hosted by Tom Fox. 1. Matt Kelly discusses the role of the Board of Directors in AI. He rants about Kristi Noem killing her dog and that APRA should be ARPA. 2. Host Tom Fox shouts out to the revival of the Rock Opera Tommy on Broadway and to Pete Townshend 3. Jonathan Marks reviews AI and internal controls. He shouts out to Maureen Stanko and the So Much to Give Inclusive Cafe for starting a restaurant that utilizes people with autism as employees. 4. Jay Rosen considers compliance issues for AI. He shouts out to his favorite time of the sports year, with the NBA and NHL playoffs, MLB in full swing and the start of the WNBA. 5. Karen Moore considers the AI implications from the American Privacy Rights Act. She shouts out to Travis Clayton for being the first Rugby Union player to be signed to the NFL and to the Buffalo Bills for doing so. 6. Jonathan Armstrong reviews the EU AI Act. He shouts out to Kate Middleton for the grace and dignity which she has shown throughout her cancer diagnosis. The members of the Everything Compliance are: • Jay Rosen– Jay can be reached at Jay.r.rosen@gmail.com • 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 is an experienced data privacy/data protection lawyer in London. He can be reached at windyridgehouse@gmail.com. • Jonathan Marks can be reached at jtmarks@gmail.com. • Special Guest Karen Moore can be reached at Kmoore51@fordham.edu The host, producer, and ranter (and sometimes 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 Compliance Podcast Network. Learn more about your ad choices. Visit megaphone.fm/adchoices

    Episode 133, The Perfect Attendance Edition

    Play Episode Listen Later Apr 25, 2024 64:32


    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 Jay.r.rosen@gmail.com • Karen Woody – 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, who is an experienced data privacy/data protection lawyer in London. • Jonathan Marks can be reached at jtmarks@gmail.com. The host, producer, and ranter (and sometimes 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 Compliance Podcast Network. Learn more about your ad choices. Visit megaphone.fm/adchoices

    Episode 132, The Tribute to Gene Marks Edition

    Play Episode Listen Later Apr 11, 2024 60:14


    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 Jay.r.rosen@gmail.com •       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 is an experienced data privacy/data protection lawyer in London. He can be reached at windyridgehouse@gmail.com. •       Jonathan Marks can be reached at jtmarks@gmail.com. •       Guest Karen Moore can be reached at Kmoore51@fordham.edu The host and producer, ranter (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 Compliance Podcast Network.  Learn more about your ad choices. Visit megaphone.fm/adchoices

    Episode 131, The Whistleblower edition

    Play Episode Listen Later Mar 21, 2024 68:26


    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 Jay.r.rosen@gmail.com •       Karen Woody – 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, who is an experienced data privacy/data protection lawyer in London.  •       Jonathan Marks can be reached at jtmarks@gmail.com. The host and producer, ranter (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 Compliance Podcast Network.  Learn more about your ad choices. Visit megaphone.fm/adchoices

    Episode 130, The End of SPACs edition

    Play Episode Listen Later Mar 7, 2024 60:31


    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 mkelly@radicalcompliance.com • Karen Woody is one of the top academic experts on the SEC. Woody can be reached at kwoody@wlu.edu • Special Guest Karen Moore is an Adjunct professor at the Fordham School of Law. She can be reached at kmoore51@fordham.edu • Jonathan Marks can be reached at jtmarks@gmail.com • Jay Rosen can be reached at Jay.r.rosen@gmail.com The host, producer, ranter (and sometimes 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 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 tfox@tfoxlaw.com. Everything Compliance is a part of the Compliance Podcast Network.  Learn more about your ad choices. Visit megaphone.fm/adchoices

    Episode 129, The Tribute to Navalny Edition

    Play Episode Listen Later Feb 22, 2024 50:44


    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 Jay.r.rosen@gmail.com •       Karen Woody – 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, who is an experienced data privacy/data protection lawyer with Cordery in London. Armstrong can be reached at jonathan.armstrong@corderycompliance.com •       Jonathan Marks can be reached at jtmarks@gmail.com. The host and producer, ranter (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 Compliance Podcast Network.  Learn more about your ad choices. Visit megaphone.fm/adchoices

    Episode 128, The Frozen Edition

    Play Episode Listen Later Feb 1, 2024 60:16


    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 JRosen@affiliatedmonitors.com Karen Woody is one of the top academic experts on the SEC. Woody can be reached at kwoody@wlu.edu Matt Kelly is the Founder and CEO of Radical Compliance. Kelly can be reached at mkelly@radicalcompliance.com Jonathan Armstrong is our UK colleague, who is an experienced data privacy/data protection lawyer with Cordery in London. Armstrong can be reached at jonathan.armstrong@corderycompliance.com Jonathan Marks can be reached at jtmarks@gmail.com. The host, producer, ranter (and sometimes 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 Compliance Podcast Network. Learn more about your ad choices. Visit megaphone.fm/adchoices

    Episode 127, The Awesome Edition

    Play Episode Listen Later Jan 18, 2024 61:27


    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 JRosen@affiliatedmonitors.com Karen Woody – 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, who is an experienced data privacy/data protection lawyer with Cordery in London. Armstrong can be reached at armstrong@corderycompliance.com Jonathan Marks can be reached at jtmarks@gmail.com. The host, producer, ranter (and sometimes 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 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

    Episode 126, The Corporate Governance Edition

    Play Episode Listen Later Dec 6, 2023 71:36


    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 JRosen@affiliatedmonitors.com •  Karen Woody – 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, who is an experienced data privacy/data protection lawyer with Cordery in London. Armstrong can be reached at jonathan.armstrong@corderycompliance.com • Jonathan Marks can be reached at jtmarks@gmail.com. • 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 tfox@tfoxlaw.com. Everything Compliance is a part of the Compliance Podcast Network.  Learn more about your ad choices. Visit megaphone.fm/adchoices

    Episode 125 -The Post-Thanksgiving Edition

    Play Episode Listen Later Nov 30, 2023 62:46


    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 JRosen@affiliatedmonitors.com •       Karen Woody – 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, who is an experienced data privacy/data protection lawyer with Cordery in London. Armstrong can be reached at jonathan.armstrong@corderycompliance.com •       Jonathan Marks can be reached at jtmarks@gmail.com. The host and producer, ranter (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 Compliance Podcast Network.  Learn more about your ad choices. Visit megaphone.fm/adchoices

    Episode 124, The Albemarle Edition

    Play Episode Listen Later Oct 12, 2023 61:23


    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 JRosen@affiliatedmonitors.com •       Karen Woody – 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, who is an experienced data privacy/data protection lawyer with Cordery in London. Armstrong can be reached at jonathan.armstrong@corderycompliance.com •       Jonathan Marks can be reached at jtmarks@gmail.com. •       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 tfox@tfoxlaw.com. Everything Compliance is a part of the Compliance Podcast Network.  Learn more about your ad choices. Visit megaphone.fm/adchoices

    Episode 123, the Spanish Kiss Edition

    Play Episode Listen Later Sep 7, 2023 68:05


    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 Karen Woody, with Tom Fox hosting. We conclude with our always popular and fan fav Shout Outs and Rants. 1. Matt Kelly looks a the new SEC requirement for companies to improve their risk assessments and attendant processes. He rants about the US Federal Courts not allowing television cameras and says we need the Trump trials televised in federal courts.  2. Karen Woody reviews Opinion Release 23-01. She shouts out to the Barbie movie.    3. Tom Fox shouts out to Megan Rapinoe for great professional career and her social activism while a member of the USWNT.  4. Jay Rosen looks at the imbroglio surrounding the Spanish National football team after its Women's World Cup win. Rosen shouts out SOCAR, the South Orange County Compliance and Ethics Roundtable.  5. Jonathan Armstrong considers the NATS air traffic debacle and operational resilience. He shouts out Sgt. Garry Saville who lost his life helping a person in distress.  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 JRosen@affiliatedmonitors.com •       Karen Woody – 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, who is an experienced data privacy/data protection lawyer with Cordery in London. Armstrong can be reached at jonathan.armstrong@corderycompliance.com •       Jonathan Marks can be reached at jtmarks@gmail.com. The host and producer, ranter (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 Compliance Podcast Network.  Learn more about your ad choices. Visit megaphone.fm/adchoices

    Episode 122, The Auditors Edition

    Play Episode Listen Later Aug 24, 2023 66:05


    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 podcast talk show. In this episode, the quartet of Jay Rosen, Jonathan Marks, Matt Kelly, and Karen Woody, with Tom Fox hosting, consider various topics that caught their collective interest and conclude with the fan favorite Shout Outs and Rants section. 1. Matt Kelly looks at the PCAOB proposal requiring auditors to look into fraud, compliance, and legal issues during an audit. Matt balances the charges against former Harvard professor Francesca Gino, who is charged with falsifying research. 2. Karen Woody looks at whether, when a corporation says litigation is ‘without merit', this creates a securities law violation if it later loses at trial. Karen shouts out to the Women's World Cup. 3. Tom Fox shouts out to Montana District Court Judge Kathy Seely for her opinion in Held v. Montana and Mary Shirley for her book Level Up. 4. Jay Rosen unpacks the recent push for an International Anti-Corruption Court. Rosen shouts out penalty kicks as the ultimate approach for ending a tie game, particularly as practiced in the Women's World Cup. 5. Jonathan Marks considers key issues facing auditors in 2023. Marks shout out to both fruit and baseball in extolling the Savannah Bananas. 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 JRosen@affiliatedmonitors.com •       Karen Woody – 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, who is an experienced data privacy/data protection lawyer with Cordery in London. Armstrong can be reached at jonathan.armstrong@corderycompliance.com •       Jonathan Marks can be reached at jtmarks@gmail.com. The host and producer, ranter (and sometimes 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 Compliance Podcast Network.  Learn more about your ad choices. Visit megaphone.fm/adchoices

    Episode 121, with Kristy Grant-Hart Sitting in

    Play Episode Listen Later Jun 29, 2023 66:05


    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 podcast talk show. In this episode, we have the quartet of Jay Rosen, Matt Kelly, and, as special guest Kristy Grant-Hart, with Tom Fox sitting in on this episode and considering various topics which caught our collective interest and concluded with our fan-fav Shout Outs and Rants section. 1. Matt Kelly looks at the controversy at Harvard surrounding Francesca Gino. He rants about Sam Alito and his paid trip by a billionaire who later had a case at the Supreme Court. 2. Special guest Kristy Grant-Hart looks at the new UK law on preventing fraud. Kristy rants about the DOJ taking until 2023 to build a criminal conviction database for public use when her firm built one in 2007. 3. Tom Fox looks at the Impeach proceedings and upcoming Senate trial for disgraced Texas Attorney General Ken Paxton. He shouts out to John Aceti, a 93-year-old Kerrville resident who just published his 8th book, his autobiography. 4. Jay Rosen unpacks the Ja Morant scandal and hopes Morant can get help to get his life in order. Rosen rants about NE Patriots player Jack Jones who chastised Ja Morant for his gun waving and then was caught going through airport security with packed guns. The members of Everything Compliance are: •       Jay Rosen– Jay is Vice President, Business Development Corporate Monitoring at Affiliated Monitors. Rosen can be reached at JRosen@affiliatedmonitors.com •       Karen Woody – 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, who is an experienced data privacy/data protection lawyer with Cordery in London. Armstrong can be reached at jonathan.armstrong@corderycompliance.com •       Jonathan Marks can be reached at jtmarks@gmail.com. •       Special Guest Kristy Grant-Hart is the founder of Spark Consulting.  The host and producer, ranter (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 Compliance Podcast Network.  Learn more about your ad choices. Visit megaphone.fm/adchoices

    Pop Culture and Compliance: Succession, Ted Lasso and The Office Edition

    Play Episode Listen Later Jun 15, 2023 66:05


    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 podcast talk show. In this episode, we have the quartet of Jay Rosen, Jonathan Marks, Matt Kelly, and from across the pond, Jonathan Armstrong, with Tom Fox sitting in on this episode. We consider the world of pop culture as it relates to compliance by looking at Succession, Ted Lasso, and The Office, and conclude with fan-fav Shout Outs and Rants section. 1. Matt Kelly at the eternal optimism of Ted Lasso and discusses The Richmond Way. He cites a 2018 blog post, The Best Compliance on Television. He shouts out the new Spiderman movie, Spiderman Across the Spider-verse. 2. Jonathan Marks looks at Succession, focusing on the conduct of Shiv Roy. Marks shouts out to Kody Clemens for getting a walk-off hit while his father is in the stands. 3. Tom Fox also looks at Succession and divines three lessons for the compliance professional. He shouts out to the 9th Circuit Court of Appeals to allow a lawsuit to move forward, which alleges rock lyrics can cause emotional distress. 4. Jay Rosen explains why America needs Ted Lasso. Rosen shouts out to the month of June for having the best sports month each year. 5. Jonathan Armstrong reviews the UK version of The Office. He shouts out to all those helicopter pilots hovering outside the London courtroom where Prince Harry is giving testimony in his libel suit. The members of Everything Compliance are: •       Jay Rosen– Jay is Vice President, Business Development Corporate Monitoring at Affiliated Monitors. Rosen can be reached at JRosen@affiliatedmonitors.com •       Karen Woody – 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, who is an experienced data privacy/data protection lawyer with Cordery in London. Armstrong can be reached at jonathan.armstrong@corderycompliance.com •       Jonathan Marks is Partner, Firm Practice Leader - Global Forensic, Compliance & Integrity Services at Baker Tilly. Marks can be reached at jonathan.marks@bakertilly.com Learn more about your ad choices. Visit megaphone.fm/adchoices

    Episode 115, the Insider Trading (Or Not) Edition

    Play Episode Listen Later May 25, 2023 66:05


    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 podcast talk show. In this episode, we have the quartet of Karen Woody, Jonathan Marks, Matt Kelly, and from across the pond, Jonathan Armstrong. We consider a veritable potpourri of issues, including the sentence given to Joe Sullivan, insider trading, the COSO Fraud Risk Management Framework, and a new report on whistleblower best practices. We conclude with our fan-fav Shout Outs and Rants section. 1. Matt Kelly looks at the joint IIA/ACFE report on Building a Best-in-Class Whistleblower Hotline. He shouts out to Newton Minow, the first government official to say television was a ‘vast wasteland.' 2. Jonathan Marks discusses his work on the COSO Framework for Fraud Risk Management. He shouts out to BlueBell Ice Cream for creating the new flavor, Dr. Pepper Float. 3. Tom Fox shouts out to Mike Shannon, who played with the St. Louis Cardinals for over 10 years, went to 3 World Series, and then had a 60-year career as an announcer with the team. He is also the only MLB player whom Tom got an autograph from. 4. Karen Woody looks at recent insider trading cases involving the crypto world and asks if crypto is not a security, who can it be insider trading. Karen shouts out to the Netflix show ‘Jury Duty.' 5. Jonathan Armstrong considers the sentence handed down to former Uber executive Joe Sullivan, wonders about the Judge's admonition of no more leniency and asks what it means for GDPR enforcement. He shouts out to all those workers who got London ready for the coronation. The members of Everything Compliance are: •       Jay Rosen– Jay is Vice President, Business Development Corporate Monitoring at Affiliated Monitors. Rosen can be reached at JRosen@affiliatedmonitors.com •       Karen Woody – 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, who is an experienced data privacy/data protection lawyer with Cordery in London. Armstrong can be reached at jonathan.armstrong@corderycompliance.com •       Jonathan Marks is Partner, Firm Practice Leader - Global Forensic, Compliance & Integrity Services at Baker Tilly. Marks can be reached at jonathan.marks@bakertilly.com The host and producer, ranter (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 Compliance Podcast Network.  Learn more about your ad choices. Visit megaphone.fm/adchoices

    Episode 114, the Monaco, Polite & ECCP Edition

    Play Episode Listen Later Mar 16, 2023 67:05


    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 Tom Fox, Jonathan Marks, Matt Kelly and special guest Scott Garland from Affiliated Monitors, who discuss at the recent speeches by DAG Lisa Monaco and Kenneth Polite, announcing changes in the DOJ's Evaluation of Corporate Compliance Programs. We conclude with our fan fav Shout Outs and Rants section. Matt Kelly looks at the changes around clawbacks. He shouts out to the PCAOB for reminding folks that cryptocurrency ‘reserve reports' are not worth the paper they are printed on. Jonathan Marks considers what the two speeches and changes in the ECCP mean for corporate governance. He shouts out to US House of Representatives for overwhelmingly voting to investigate the origins of Covid-19. Tom Fox looks at the changes to incentives, both financial and non-financial in the 2023 ECCP. He rants about the Tennessee legislature attempt to ban Shakespeare, movies such as Tootie and Some Like It Hot, politicians such as George Santos; all in the guise of banning drag shows. Special Guest Scott Garland looks at the changes in the monitor selection process and what that means for the line attorney prosecuting a FCPA violation. He shouts out to the Department of Justice for their continued evolution in their thinking about compliance and compliance programs. 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 JRosen@affiliatedmonitors.com Karen Woody – 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, who is an experienced data privacy/data protection lawyer with Cordery in London. Armstrong can be reached at armstrong@corderycompliance.com Jonathan Marks is Partner, Firm Practice Leader - Global Forensic, Compliance & Integrity Services at Baker Tilly. Marks can be reached at marks@bakertilly.com The host and producer, ranter (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 Compliance Podcast Network. Learn more about your ad choices. Visit megaphone.fm/adchoices

    Episode 113 - The Replika AI Edition

    Play Episode Listen Later Feb 23, 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 JRosen@affiliatedmonitors.com •       Karen Woody – 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, who is an experienced data privacy/data protection lawyer with Cordery in London. Armstrong can be reached at jonathan.armstrong@corderycompliance.com •       Jonathan Marks is Partner, Firm Practice Leader - Global Forensic, Compliance & Integrity Services at Baker Tilly. Marks can be reached at jonathan.marks@bakertilly.com The host and producer, ranter (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 Compliance Podcast Network.  Learn more about your ad choices. Visit megaphone.fm/adchoices

    Episode 111-the Duty of Oversight Edition

    Play Episode Listen Later Feb 9, 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 JRosen@affiliatedmonitors.com •       Karen Woody – 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, who is an experienced data privacy/data protection lawyer with Cordery in London. Armstrong can be reached at jonathan.armstrong@corderycompliance.com •       Jonathan Marks is Partner, Firm Practice Leader - Global Forensic, Compliance & Integrity Services at Baker Tilly. Marks can be reached at jonathan.marks@bakertilly.com The host and producer, ranter (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 Compliance Podcast Network.  Learn more about your ad choices. Visit megaphone.fm/adchoices

    Episode 110, the Bayeux Tapestry Edition

    Play Episode Listen Later Jan 26, 2023 60:39


    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 JRosen@affiliatedmonitors.com •       Karen Woody – 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, who is an experienced data privacy/data protection lawyer with Cordery in London. Armstrong can be reached at jonathan.armstrong@corderycompliance.com •       Jonathan Marks is Partner, Firm Practice Leader - Global Forensic, Compliance & Integrity Services at Baker Tilly. Marks can be reached at jonathan.marks@bakertilly.com The host and producer, ranter (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 Compliance Podcast Network.  Learn more about your ad choices. Visit megaphone.fm/adchoices

    Episode 109, the New Year's Edition

    Play Episode Listen Later Jan 12, 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 JRosen@affiliatedmonitors.com •       Karen Woody – 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, who is an experienced data privacy/data protection lawyer with Cordery in London. Armstrong can be reached at jonathan.armstrong@corderycompliance.com •       Jonathan Marks is Partner, Firm Practice Leader - Global Forensic, Compliance & Integrity Services at Baker Tilly. Marks can be reached at jonathan.marks@bakertilly.com The host and producer, ranter (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 Compliance Podcast Network.  Learn more about your ad choices. Visit megaphone.fm/adchoices

    Episode 108 - the ABB Edition

    Play Episode Listen Later Dec 22, 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 JRosen@affiliatedmonitors.com •       Karen Woody – 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, who is an experienced data privacy/data protection lawyer with Cordery in London. Armstrong can be reached at jonathan.armstrong@corderycompliance.com •       Jonathan Marks is Partner, Firm Practice Leader - Global Forensic, Compliance & Integrity Services at Baker Tilly. Marks can be reached at jonathan.marks@bakertilly.com The host and producer, ranter (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 Compliance Podcast Network.  Learn more about your ad choices. Visit megaphone.fm/adchoices

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