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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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  • Uncovering FCPA Violations: Millicom's Complex Case Involving Drug Cartel Funds

    Uncovering FCPA Violations: Millicom's Complex Case Involving Drug Cartel Funds
    2025/11/19
    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 the intricate details of a recent FCPA enforcement action against Millicom Cellular, a Luxembourg-based telecommunications company with operations in Guatemala. The discussion uncovers how Millicom's joint venture, Comunicaciones Celulares (CommCell), became embroiled in bribery and corruption involving duffel bags of drug cartel cash used to pay off Guatemalan officials. Despite the DOJ’s earlier pause on FCPA enforcement, the emergence of narco-trafficking aspects led to a re-opened investigation and significant penalties for Millicom. Key points include the timeline of the case, the lack of Millicom's operational control and visibility, and the broader implications for due diligence in dealing with joint ventures and cross-border operations in high-risk regions. Key Highlights · Details of the FCPA Enforcement Action · Millicom's Joint Venture in Guatemala · Self-Disclosure and DOJ's Response · Timeline of Events and Corruption Details · Drug Trafficking and Bribery Connections · Implications and Compliance Lessons Resources Matt 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 Award, all for podcast excellence. Learn more about your ad choices. Visit megaphone.fm/adchoices
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    24 分
  • The Atlanta Hawks Scandal: Lessons in Financial Misconduct

    The Atlanta Hawks Scandal: Lessons in Financial Misconduct
    2025/11/12
    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 the basics of fraud prevention with headlines torn from the NBA and a FinServ enforcement action. The embezzlement scandal at the Atlanta Hawks has drawn attention to critical weaknesses in corporate governance and internal control systems, serving as a cautionary tale for organizations everywhere. They view the scandal as a glaring example of the consequences of neglecting internal controls and the segregation of duties, where an executive, Leslie Jones, exploited their finance role to embezzle funds for personal indulgences. His experience underscores the value of routine audits, which, despite their perceived monotony, are essential for uncovering fraud. Meanwhile, Matt is equally concerned, focusing on the need for robust internal controls and the principle of least privilege, warning against granting excessive access to employees to prevent misuse of power and safeguard organizational integrity. Key Highlights · Lessons from Atlanta Hawks Fraud Case · Least Privilege Access for Preventing Financial Fraud · Financial Data Examination for Fraud Detection · Executives' Lavish Misconduct: Lessons in Ethics Resources Matt 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 Award, all for podcast excellence. Learn more about your ad choices. Visit megaphone.fm/adchoices
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    26 分
  • Incentives in Compliance: Structuring Effective Compensation Plans

    Incentives in Compliance: Structuring Effective Compensation Plans
    2025/11/05
    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 into the intricacies of integrating incentives into corporate compliance programs. Matt shares insights from a recent webinar and blog posts, discussing how companies can encourage ethical behavior through executive compensation plans, performance bonuses, and other incentive schemes. The conversation covers the Justice Department's guidelines on executive compensation, the nuances of designing these programs to align with industry-specific risks, and the implications for different levels of management. They also explore the challenges of setting meaningful compliance metrics and achieving a balance between compliance incentives and overall business objectives in various sectors. Key Highlights · The Role of Incentives in Compliance Programs · Structuring Executive Compensation for Compliance · Challenges and Nuances in Incentive Programs · Incentives for Different Business Models · Compensation Types and Ethical Behavior Resources Matt 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 Award, all for podcast excellence. Learn more about your ad choices. Visit megaphone.fm/adchoices
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    24 分
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