Compliance into the Weeds-Episode 22

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 the insistence of the then Chairman of the New York and New Jersey Port Authority David Sampson in exchange for a concession to expand its physical facilities at the Newark airport. We review the background facts, as set out in the SEC Cease and Desist Order and the Justice Department Non-prosecution. We take a look at the internal controls violation of the former UA CEO for violating the company's Code of Conduct, the finding of a lack of internal controls around its route reinstitution protocol and finally discuss the problem of senior management override of internal controls. For more information on this enforcement action, check out Matt's blog post on this matter, entitled, "This Weird United Airlines Case Just Happened" and my blog post entitled, "The Chairman's Flight and the US Corrupt Practices Act". Learn more about your ad choices. Visit megaphone.fm/adchoices

Denne episoden er hentet fra en åpen RSS-feed og er ikke publisert av Podme. Den kan derfor inneholde annonser.

Episoder(433)

Bosch and the Foreign Direct Product Rule: Lessons from the Export Controls and NSD Settlement

Bosch and the Foreign Direct Product Rule: Lessons from the Export Controls and NSD Settlement

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 it in greater depth. Looking fo...

24 Jun 27min

OFAC’s Warning Shot: FTI Consulting Fined for Indirect Dealings with Sanctioned Bank

OFAC’s Warning Shot: FTI Consulting Fined for Indirect Dealings with Sanctioned Bank

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 it in greater depth. Looking fo...

17 Jun 20min

Why the Compliance Job Market Feels Frozen

Why the Compliance Job Market Feels Frozen

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 it in greater depth. Looking fo...

3 Jun 23min

An SEC Rollback and a Tribute to Barney Frank

An SEC Rollback and a Tribute to Barney Frank

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 it more fully. Looking for some...

27 Mai 23min

The DOJ Trainwreck and the Rising Risk Calculus for Compliance and Self-Disclosure

The DOJ Trainwreck and the Rising Risk Calculus for Compliance and Self-Disclosure

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 it more fully. Looking for some...

13 Mai 26min

Ohio State and Improper Requests by a President

Ohio State and Improper Requests by a President

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 the subject more fully. Looking...

6 Mai 23min

Navigating DOJ's Evolving Self-Disclosure Strategies

Navigating DOJ's Evolving Self-Disclosure Strategies

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 the subject more fully. Looking...

29 Apr 23min

Banking Regulators Cut Model Risk Guidance: Implications for Compliance, Audit, and AML Oversight

Banking Regulators Cut Model Risk Guidance: Implications for Compliance, Audit, and AML Oversight

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 it more fully, and looking for ...

22 Apr 23min

Populært innen Business og økonomi

stopp-verden
lydartikler-fra-aftenposten
dine-penger-pengeradet
rss-penger-polser-og-politikk
e24-podden
rss-borsmorgen-okonominyhetene
rss-skravla-gar
rss-pa-konto
utbytte
pengepodden-2
finansredaksjonen
livet-pa-veien-med-jan-erik-larssen
morgenkaffen-med-finansavisen
lederpodden
okonomiamatorene
liberal-halvtime
pengesnakk
stormkast-med-valebrokk-stordalen
tid-er-penger-en-podcast-med-peter-warren
rss-politisk-preik