What are you looking for?
Categories

Everything Compliance – Episode 130, The End of SPACs Edition

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 Caitlin 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 Aguilar. 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.

Categories

Everything Compliance – Episode 129, The Tribute to Navalny Edition

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. 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.
  2. 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.
  3. 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.
  4. Jonathan Marks discusses the state criminal charges in the FirstEnergy corruption scandal but then evolves into an epic rant, which he continues in Shout Outs and Rants about failures in corporate governance, internal controls, and gun violence in America. He really outdid himself this week.
  5. Jay Rosen looks at the dearth of DOJ-mandated monitorships and proposes a new concept, the self-monitorship. He shouts out the movie Love on the Spectrum and the Bill Bradley interview.
  6. Tom Fox shouts out to Ben Affleck for his DunKing Super Bowl commercial.

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, 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.

Categories

Everything Compliance – Episode 128, The Frozen Edition

Welcome to the only roundtable podcast in compliance as we celebrate our second century of shows. In this episode, we have 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.

Categories

Everything Compliance – Episode 127, The Awesome Edition

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.

  1. 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.
  2. Tom Fox shouts out to the University of Michigan for winning the College Football National Championship.
  1. 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.
  1. 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.
  1. 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.

Categories

Everything Compliance – Episode 126, The Corporate Governance Edition

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 Jarkesy 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.

Categories

Everything Compliance – Episode 125 – The Post – Thanksgiving Edition

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 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 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.

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.

Categories

Everything Compliance – The Albemarle Edition

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.

Categories

Everything Compliance – Episode 123, The Spanish Kiss Edition

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 at 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. Graham 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.

Categories

Everything Compliance – Episode 122, The Auditors Edition

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.

Categories

Everything Compliance – Episode 121, with Kristy Grant-Hart Sitting in

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 –our UK colleague, 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.