Everything Compliance

By: Thomas Fox
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  • Summary

  • What happens when the top commentators get together? They talk about Everything Compliance. Join the only Roundtable podcast in compliance, where our panel takes a deep dive into current events in the compliance scene. Listen in for the Rants and Shout Outs at the end of each episode.
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Economics Management Politics & Government
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Episodes
  • Episode 145, 8 Years Later: the Second Trump Administration

    Episode 145, 8 Years Later: the Second Trump Administration
    Nov 14 2024
    Welcome to this Special Edition of Everything Compliance. This podcast came into existence as a way 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. In this episode, we have the quintet of Matt Kelly, Jonathan Marks, Karen Woody, Jonathan Armstrong and Karen Moore. They all look at various angles of how the incoming Trump Administration use, abuse or disregard compliance going forward. 1. 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. 2. 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. 3. 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. 4. 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 5. Tom Fox shouts out the Indiana football team and their perfect record in 2024. 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
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    1 hr and 4 mins
  • Episode 144, The Q4, Great Women in Compliance Edition

    Episode 144, The Q4, Great Women in Compliance Edition
    Nov 7 2024
    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
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    1 hr and 6 mins
  • Episode 143, The North to South Episode

    Episode 143, The North to South Episode
    Oct 24 2024
    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
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    1 hr and 11 mins

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