Compliance into the Weeds-Episode 25

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 the continued issues around pre-taliation. We connect these enforcement actions to broader issues involving the COSO 2013 Framework, the DOJ mandated expertise in compliance, a speak-up culture and remedial actions. For additional information, check out Matt's blog posts on these topics: Lessons Galore in New SEC Internal Controls Case; and SEC Dings BlackRock for Pre-Taliation Clauses. Learn more about your ad choices. Visit megaphone.fm/adchoices

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Episoder(447)

Amex AML Enforcement: Credit Card Risk, SAR Failures, and Board Accountability

Amex AML Enforcement: Credit Card Risk, SAR Failures, and Board Accountability

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New Fraud Section Guidelines

New Fraud Section Guidelines

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Southern Glazer’s NPA: How Remediation and ECCP Alignment Drove a Favorable Settlement

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Whistleblower Resolution Delays Is Justice Denied

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Governing Agentic AI: DFS Cyber Risk Assessments, EU AI Act Accountability, and the Inventory Problem

Governing Agentic AI: DFS Cyber Risk Assessments, EU AI Act Accountability, and the Inventory Problem

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16 Sep 27min

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Clippers Salary-Cap Circumvention: Sham Endorsements, Contract Red Flags, and Compliance Lessons

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Broken Execution in Day-to-Day Compliance Operations – The BAE Enforcement Action

Broken Execution in Day-to-Day Compliance Operations – The BAE Enforcement Action

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AI for Compliance: Lessons from Teaching Cohorts⁠

AI for Compliance: Lessons from Teaching Cohorts⁠

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26 Aug 24min

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