Oscar Season and Internal Controls
Compliance into the Weeds31 Jan 2024

Oscar Season and Internal Controls

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 more fully explore a subject. Looking for some hard-hitting insights on compliance? Look no further than Compliance into the Weeds! In this episode, Tom and Matt take a deep dive into a payments and internal controls miasma involving actors Tom Holland and Tom Hollander. The recent incident involving British actor Tom Hollander, who accidentally received a payment intended for Tom Holland due to a mix-up at their shared talent agency, has brought to light the critical importance of robust accounting controls for payments. Tom emphasizes the need for a second set of eyes to oversee payments and ensure they are going to the correct recipients. He suggests that smaller organizations can implement human review controls, while larger ones may need to rely on technology such as robotic process automation. Matt is highlighting the potential legal and regulatory consequences of sending payments to the wrong recipients. He stresses the need for organizations to demonstrate to regulators that errors are rare and accidental and that they have effective assurance processes in place. Join Tom Fox and Matt Kelly as they delve deeper into this topic in the latest episode of Compliance into the Weeds. Key Highlights: Payment Mix-up Highlights Importance of Internal Controls Error Prevention and Correction in Payments Mitigating Compliance Risks with Internal Controls Resources: Matt on Radical Compliance Tom Instagram Facebook YouTube Twitter LinkedIn Learn more about your ad choices. Visit megaphone.fm/adchoices

Episoder(427)

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

Surveying Retaliation Against Compliance Officers

Surveying Retaliation Against Compliance Officers

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...

15 Apr 17min

Duty Owed vs. Material Nonpublic Information: Prediction Markets and Compliance

Duty Owed vs. Material Nonpublic Information: Prediction Markets and Compliance

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...

8 Apr 24min

AI-Driven SOC Audits and the Growing Trust Gap

AI-Driven SOC Audits and the Growing Trust Gap

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...

1 Apr 23min

Balt and TradeStation: Lessons for the Compliance Professional

Balt and TradeStation: Lessons for the Compliance Professional

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...

25 Mar 27min

McKinsey’s Lilli AI Hack: What It Signals for AI Governance, Security and Disclosure

McKinsey’s Lilli AI Hack: What It Signals for AI Governance, Security and Disclosure

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...

18 Mar 19min

Carrots and Sticks in Washington: Antitrust Whistleblowers and an FCPA SOL Extension

Carrots and Sticks in Washington: Antitrust Whistleblowers and an FCPA SOL Extension

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...

11 Mar 19min

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