Compliance into the Weeds is the only weekly podcast which takes a deep dive into a compliance related topic, literally going into the weeds to more fully explore a subject. In this episode Matt and Tom go into the weeds to look at compliance issues relevant to the next administration. Some of the issues we consider are: 

 Resources

See Matt’s blog posts on Radical Compliance- The Biden Administration and Compliance

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Compliance into the Weeds is the only weekly podcast which takes a deep dive into a compliance related topic, literally going into the weeds to more fully explore a subject. In this episode Matt and Tom go into the weeds to look at the turbulence brought to the compliance profession and compliance job market. Some of the issues we consider are: 

Resources

See Matt’s blog posts on Radical Compliance- Compliance and Career Turbulence

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Compliance into the Weeds is the only weekly podcast which takes a deep dive into a compliance related topic, literally going into the weeds to more fully explore a subject. In this episode Matt and Tom go into the weeds to look at the recent FCPA enforcement action involving the US banking and finance entity Goldman Sachs. Some of the issues we consider are: 

Resources

See Matt’s blog posts on Radical Compliance- Goldman Sachs, FCPA and Internal Controls

See Tom’s exploration on the FCPA Compliance and Ethics Blog

Part 1-Introduction

Part 2-Control Failures

Part 3-Fines and Penalties

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Compliance into the Weeds is the only weekly podcast which takes a deep dive into a compliance related topic, literally going into the weeds to more fully explore a subject. In this episode Matt and Tom go into the weeds to look at the recent FCPA enforcement action involving the Brazilian megalith, J&F Investments. Some of the issues we consider are: 

 Resources

See Matt’s blog posts on Radical Compliance-JBS, Internal Controls and the FPCA

See Tom’s exploration the FCPA Compliance and Ethics Blog

Part 1-Introduction

Part 2-The Bribery Schemes

Part 3-The SEC Order

Part 4-The Plea Agreement

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Compliance into the Weeds is the only weekly podcast which takes a deep dive into a compliance related topic, literally going into the weeds to more fully explore a subject. In this episode Matt and Tom go into the weeds to look at the recent fine of $400 million against Citibank for its poor risk management processes. Some of the issues we consider are:

·      Four areas of concern(1) Poor ERM; (2) Poor compliance; (3) Poor internal controls; and (4) Data governance.

·      How the OCC Order is an audit road map.

·      What does that mean for compliance on the Board?

·      Did the OCC push out Michael Corbat?

·      Focus on the ERM Blueprint.  

Resources

See Matt’s blog posts on Radical Compliance-Citigroup’s Governance Issues, Part 1 and Citigroup, Part 2-Better ERM Program

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Compliance into the Weeds is the only weekly podcast which takes a deep dive into a compliance related topic, literally going into the weeds to more fully explore a subject. In this episode Matt and Tom go into the weeds to look at the recent fine of $920 million against JPMorgan for spoofing. Some of the issues we consider are:

Resources

See Matt’s blog posts on Radical Compliance-JPMorgan’s Compliance Benefit

See also, David Michaels piece in the Wall Street Journal, JPMorgan’s Probe Revived by Regulators Data Mining

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Compliance into the Weeds is the only weekly podcast which takes a deep dive into a compliance related topic, literally going into the weeds to more fully explore a subject. In this episode Matt and Tom go into the weeds to look at some of the compliance issues that collaboration tools raise in the WFH era. Some of the issues we consider are:

Resources

See Matt’s blog posts on Radical Compliance-Compliance Risks and Collaboration Tools

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Compliance into the Weeds is the only weekly podcast which takes a deep dive into a compliance related topic, literally going into the weeds to more fully explore a subject. In this episode Matt and Tom go into the weeds to look at the recent initiative of the Department of Education to go after Princeton University for diversity training which Trump says is “Anti-American propaganda” and the release of the FinCen papers. Some of the issues we consider are: 

Resources

See Matt’s blog posts on Radical Compliance

Boom: The FinCen Files are Here

Trump Administration Targets Princeton for Diversity

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Compliance into the Weeds is the only weekly podcast which takes a deep dive into a compliance related topic, literally going into the weeds to more fully explore a subject. In this episode Matt and Tom go into the weeds to look the recently announced Herbalife FCPA enforcement action. Some of the issues we consider are: 

Resources

See Matt’s blog posts on Radical Compliance

Herbalife Pays $123M on FCPA Charges 

See Tom’s 3-part blog post series on the FCPA Compliance and Ethics Blog

The Herbalife FCPA Enforcement Action, Part 1

The Herbalife FCPA Enforcement Action, Part 2

The Herbalife FCPA Enforcement Action, Part 3

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Compliance into the Weeds is the only weekly podcast which takes a deep dive into a compliance related topic, literally going into the weeds to more fully explore a subject. In this episode Matt and Tom go into the weeds to look at two recent pronouncements by FinCen on customer and PEP due diligence. We ask the question: Is the Guidance so vague as to actually hurt the efforts of a compliance practitioner.  

Resources

See Matt’s blog posts on Radical Compliance

Regulators Talk PEPs and Due Diligence

FinCen Gives Guidance, Says Little

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