Compliance into the Weeds-Episode 29
In this episode, Matt Kelly and myself take a deep dive into the Department of Justice (DOJ) recent release, entitled “Evaluation of Corporate Compliance Programs” (Evaluation), which went up on the F...
21 Feb 201741min
Compliance into the Weeds-Episode 27
In this episode, Matt and I take a look at the sorry story of Chris Correa, the St. Louis Cardinal executive convicted of hacking into the Houston Astros computer system, which expanded last month whe...
9 Feb 201717min
Compliance into the Weeds-Episode 25
In this episode Matt Kelly and I take a deep dive into a couple of recent SEC enforcement actions. The first involved L-3 Technologies and accounting irregularities. The second involves BlackRock and ...
18 Jan 201721min
Compliance into the Weeds-Episode 24
In this episode Matt Kelly and myself take a deep dive into the compliance weeds by looking at a paper written by then SEC General Counsel James Doty (later head of the PCAOB) in 2007 where he propose...
11 Jan 201725min
Compliance into the Weeds-Episode 23
In this episode Matt Kelly and I take a deep dive into 6 compliance issues you should keep an eye on in 2017. They include the Wal-Mart FCPA resolution, the future of the FCPA Pilot Program, the SEC W...
5 Jan 201723min
Compliance into the Weeds-Episode 22
In this episode Matt Kelly and I take deep dive into the United Airlines SEC enforcement action for violation of internal controls around its reinstitution of a route from Newark to South Carolina at ...
14 Des 201621min
