『Compliance into the Weeds』のカバーアート

Compliance into the Weeds

Compliance into the Weeds

著者： Tom Fox
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 What happens when two compliance aficionados get together to talk all things compliance, risk management and ERM? You get Tom Fox, the Voice of Compliance and Matt Kelly, the Coolest Guy in Compliance, going into the weeds of a topic each week. Each week, you can take a deep dive with two of the top writers, thinkers and prognosticators in compliance. マネジメント マネジメント・リーダーシップ 政治・政府 経済学
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  • Sanctions Compliance Failures: Lessons from Harman International and Interactive Brokers

    Sanctions Compliance Failures: Lessons from Harman International and Interactive Brokers
    2025/07/23
    The award winning, 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. Looking for some hard-hitting insights on compliance? Look no further than Compliance into the Weeds! In this episode of Compliance into the Weeds, Tom Fox and Matt Kelly discuss a couple of recent sanctions OFAC enforcement involving Harman International and Interactive Brokers and the lessons they provide for the compliance professional. Tom and Matt dive into the facts of both cases; finding under-resourced sanctions compliance programs in both companies, highlighting key issues such as inadequate personnel, misconfigured compliance tools, and failure to conduct proper risk assessments. Despite self-disclosure and cooperation, both companies faced significant fines and were required to implement extensive remediation measures. The discussion emphasizes the increasing importance of robust sanctions compliance programs in mitigating risks and avoiding enforcement actions. Key Highlights · Sanctions Enforcement Cases Overview · Harman International's Compliance Failures · Interactive Brokers' Compliance Issues · Lessons and Final Thoughts Resources Matt Kelly in Radical Compliance Tom Instagram Facebook YouTube Twitter LinkedIn A multi-award winning podcast, Compliance into the Weeds was most recently honored as one of a Top 25 Regulatory Compliance Podcast and a Top 10 Business Law Podcast, and a Top 12 Risk Management Podcast. Compliance into the Weeds has been conferred a Davey, Communicator and w3 Awards for podcast excellence. Learn more about your ad choices. Visit megaphone.fm/adchoices
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    26 分
  • Agentic Misalignment and AI Ethics: Analyzing AI Behavior Under Pressure

    Agentic Misalignment and AI Ethics: Analyzing AI Behavior Under Pressure
    2025/07/16
    The award-winning Compliance into the Weeds is the only weekly podcast that takes a deep dive into a compliance-related topic, literally going into the weeds to explore a subject more fully. Seeking insightful perspectives on compliance? Look no further than Compliance into the Weeds! In this episode of Compliance into the Weeds, Tom Fox and Matt Kelly discuss a recent Anthropic report that highlights “agentic misalignment in AI systems.” The discussion addresses the unsettling, independent, and unethical behaviors exhibited by AI systems in extreme scenarios. The conversation explores the implications for corporate risk management, AI governance, and compliance, drawing parallels between AI behavior and human behavior using concepts such as the fraud triangle. The episode also explores how traditional anti-fraud mechanisms may be adapted for monitoring AI agents while reflecting on lessons from science fiction portrayals of AI ethics and risks. Key highlights: AI’s Unethical Behaviors Comparing AI to Human Behavior Fraud Triangle, the Anti-Fraud Triangle, and AI Science Fiction Parallels Resources: Matt Kelly in Radical Compliance Tom Instagram Facebook YouTube Twitter LinkedIn A multi-award-winning podcast, Compliance into the Weeds was most recently honored as one of the Top 25 Regulatory Compliance Podcasts, a Top 10 Business Law Podcast, and a Top 12 Risk Management Podcast. Compliance into the Weeds has been conferred the Davey, Communicator, and W3 Awards for podcast excellence. Learn more about your ad choices. Visit megaphone.fm/adchoices
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    29 分
  • Boeing’s New Safety Initiatives and Compliance Reforms

    Boeing’s New Safety Initiatives and Compliance Reforms
    2025/07/03
    The award-winning Compliance into the Weeds is the only weekly podcast that takes a deep dive into a compliance-related topic, literally going into the weeds to explore a subject more fully. Are you seeking insightful perspectives on compliance? Look no further than Compliance into the Weeds! In this episode of Compliance into the Weeds, Tom Fox and Matt Kelly discuss Boeing’s recent safety initiatives and reforms, as outlined in their annual aerospace safety report. They explore Boeing’s efforts to improve its speak-up culture, internal reporting systems, and the introduction of an expansive Safety Champions Program. The episode explores the procedural changes Boeing has implemented, including the handling of third-party reports and increased transparency for employees. Additionally, they examine the challenges and necessities of manager training in fostering an ethical corporate culture. The conversation concludes with insights on the recent Federal District Court hearing regarding Boeing’s non-prosecution agreement and the implications for transparency and accountability. Key highlights: Speak Up Culture Enhancements Ambassador Program Expansion Manager Training and Corporate Culture Court Hearing on Boeing’s Non-Prosecution Agreement Resources: Matt Kelly in Radical Compliance Tom Instagram Facebook YouTube Twitter LinkedIn A multi-award-winning podcast, Compliance into the Weeds, was most recently honored as one of the Top 25 Regulatory Compliance Podcasts, a Top 10 Business Law Podcast, and a Top 12 Risk Management Podcast. Learn more about your ad choices. Visit megaphone.fm/adchoices
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    21 分

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