Shanti Atkins

Shanti Atkins

NAVEX Global

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Think High Stakes Whistleblowing is Just a U.S. Phenomenon? Think Again.

Today the SEC announced that it will pay $30 million to a whistleblower in the largest award ever doled out by the agency. This news is monumental and will send shock waves around the financial world—along with gut...more

9/22/2014 - Chief Compliance Officers Compliance EU Popular Risk Assessment Risk Management SEC Whistleblower Awards Whistleblowers

Speak Up or Pay Up: Lessons from GM

The now infamous General Motors mea culpa, which followed the automotive giant’s recall of almost six million cars, has brought the importance of a “speak up culture” front and center. As part of the company’s long road to...more

7/12/2014 - Anti-Retaliation Provisions Automobile Recall Compliance Corporate Culture Corporate Governance General Motors Whistleblowers

You’ve Got a Problem, Bro – Tinder, Silicon Valley and Resolution 62

A co-founder and now former employee at Tinder has sued the dating app startup and its leaders for sexual harassment and discrimination. It’s a messy (and familiar) story of an office romance between senior execs gone...more

7/3/2014 - C-Suite Executives Cyber Culture Discrimination Diversity Employer Liability Issues Former Employee Gender Discrimination Resolution 62 Sexual Harassment Silicon Valley Tinder

Retaliation Exposure Tipping Point? Supreme Court Extends SOX Whistleblower Protections to Private Company Employees

The Supreme Court in Lawson vs FMR, LLC (delivered March 4, 2014 after a 6-3 vote) has ruled that employees of private companies engaged by public companies are covered by the whistleblower protections of Sarbanes Oxley Act...more

3/10/2014 - Contractors FMR LLC Lawson v FMR Retaliation Sarbanes-Oxley SCOTUS Subcontractors Whistleblower Protection Policies Whistleblowers

Exhibit A: The Perils of Outdated Policies

Well structured, updated policies can be a first line of defense against employment related litigation and regulatory investigations. However, an organization’s policies can quickly turn from defensive tactic to litigation...more

3/7/2014 - Civil Rights Act Compliance EEOC Title VII

Reading between the Headlines: A Lesson in Risk Mitigation from Edward Snowden

Whistleblowing has become a highly charged term, stirring up emotive rhetoric ranging from “ethical hero” to “treasonous traitor” with very little substantive evaluation of the real impact on the corporation and the broader...more

2/17/2014 - Compliance Dodd-Frank Edward Snowden EEOC NSA Reporting Requirements Retaliation Risk Mitigation Whistleblowers

2014 Trends: #10 Expanding Use of DPAs and NPAs

The day has arrived. Today we’ll cover our last trend to watch in 2014: DPA and NPA use expanding. Since they were first used in 2000, the U.S. DOJ has disclosed 257 Deferred Prosecution Agreements (DPAs) and Non-Prosecution...more

2/12/2014 - Compliance Deferred Prosecution Agreements DOJ Enforcement Actions Non-Prosecution Agreements SEC

2014 Trends: #9 Proving the ROI of Ethics and Compliance

The final trend we’ll cover as part of our Top 10 Trends series will appear next week (we’re hosting a webinar on all ten trends next Thursday), but today we'll cover #9 - a topic critical to the ethics and compliance...more

2/10/2014 - Chief Compliance Officers Compliance Ethics

2014 Trends: #8 Refocus on the Importance of Leadership and Culture

We’re approaching the end of our Top Ten Trends series, and today we’ll tackle leadership issues. Leadership has always been vital to defining organizational culture and setting a positive, productive tone. In the absence of...more

2/7/2014 - Corporate Culture Corporate Governance

2014 Trends: #7 Have Perceptions of Gender and Leadership Turned a Corner?

Our second post this week highlights the seventh trend from our whitepaper on the ethics and compliance trends to watch in 2014. We thought we’d pose this as a question because of the relatively quick shift in business...more

1/29/2014 - Corporate Governance Diversity Sheryl Sandberg

2014 Trends: #6 The Arrival of Next Generation Codes & Communication Strategies

Moving down our list of ethics and compliance trends to watch in 2014, trend number 6 focuses on the evolution of corporate Code of Conduct and communication within your organization....more

1/29/2014

2014 Trends: #5 Top Ten Privacy and Related Ethics & Compliance Issues

Trend number 5 is on the docket today as we move down our list of ethics and compliance trends to watch in 2014. Privacy issues have led the headlines for years but their intersection with ethics and compliance is coming to...more

1/24/2014 - Compliance Confidential Information Data Protection Legal Ethics Privacy Laws Social Media Policy Surveillance Technology Transfer Agreements

2014 Trends: #4 Insider Trading and the Return of Organizational Culpability

Our coverage of the Top 10 Ethics and Compliance Trends to Watch in 2014 continues today as we tackle the issue of insider trading and its relationship with ethics and compliance. ...more

1/23/2014 - Enforcement Actions Hedge Funds Insider Trading SEC

2014 Trends: #3 Whistleblowing and Retaliation: Both on the Rise

A continuation of our recent coverage on ethics and compliance trends to watch in 2014, we’re taking a deeper look at whistleblowing and retaliation trends today. ...more

1/22/2014 - Compliance Dodd-Frank EEOC Ethics FCA Retaliation Whistleblowers

Doing Deals like a Girl (& the Rewards of Open Corporate Culture)

It turns out girls may do deals better than boys. New research shows: the more women on corporate boards, the more successful their mergers and acquisitions. It is more nuanced than the flip title of my post suggests (yes,...more

1/17/2014 - Corporate Culture Diversity

2014 Trends: #2 Navigating the Myriad Anti-Corruption and Bribery Laws

Earlier last week we began discussing the top ten trends in ethics and compliance we identified for 2014. Third party risk as the ethics and compliance “Achilles heel” dominated the conversation in our first trend. In this...more

1/13/2014 - Anti-Bribery Anti-Corruption Compliance Ethics

2014 Trends: #1 Third party risk – still the ethics and compliance ‘Achilles heel’

As we embark on 2014, we’ve pulled together key ethics and compliance industry trends with an eye towards planning for the year ahead. To help, we’ve asked industry experts, our colleagues at NAVEX Global and ethics...more

1/9/2014 - Compliance DOJ Due Diligence Ethics OECD Third-Party Risk

Ethics Aren’t About Limiting Risk

Designed right, an ethics and compliance program is not just about limiting risk. You’re setting your sights too low. In fact with that narrow mindset, you’re likely setting your organization up for failure, or at least...more

11/14/2013 - Compliance Corporate Culture Ethics Risk Management

Training is expendable, until it’s not – PART II

Recently we took time to recall not only why we should listen to what the flight attendant is telling us about the safety features on our aircraft, but also what 2009’s Miracle on the Hudson tells us about corporate...more

10/8/2013 - Aircraft Compliance Training

Training is expendable, until it’s not – PART I

September is the season for conferences, getting on the plane to get to them, listening to the flight attendant as they explain how the seatbelt works, what to do in the case of a loss of cabin pressure, and where the...more

9/25/2013 - Airlines Safety Training Training

Could Sexual Harassment Training Have Saved Bob Filner?

San Diego Mayor Bob Filner is facing escalating sexual harassment accusations from 13 of his own female employees – each, I’m sure, with their own tales to tell. And while these types of accusations occur in all types...more

8/14/2013 - Bob Filner Compliance Harassment Sexual Harassment Training

Fifth Circuit Narrowly Construes the Definition of a Whistleblower under Dodd Frank

Underscoring the Importance of Robust Internal Reporting Programs - Since the passage of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank) in 2010, the compliance, finance and legal communities...more

7/24/2013 - Anti-Retaliation Provisions Dodd-Frank Retaliation SEC Whistleblower Protection Policies Whistleblowers

What the DOMA Decision Means for Your Workplace

Unless you are on a news media embargo, you have probably heard the news by now. The United States Supreme Court today issued a watershed ruling regarding the Defense of Marriage Act (DOMA), the law barring the federal...more

6/27/2013 - Anti-Harassment Policies Discrimination DOMA Due Process Equal Protection Same-Sex Marriage SCOTUS Sexual Orientation Discrimination US v Windsor

Top 4 Workplace Harassment Trends

Though sexual harassment is one of the most common forms of workplace discrimination, the trends employers are seeing in harassment claims are anything but typical. To stay ahead of the curve, employers need to keep...more

5/30/2013 - EEOC Harassment Hostile Environment Mobile Devices Sexual Harassment Social Media Temporary Employees

Lessons from Ralph Lauren: Designing Better Ways to Manage Third Party Risk

Trying to avoid the unusually strict import controls in Argentina and facilitate faster clearance of its products through customs, a subsidiary of Ralph Lauren Corp. was found to have bribed local officials between 2005 and...more

5/21/2013 - Bribery Compliance DOJ FCPA Fines Morgan Stanley Non-Prosecution Agreements Ralph Lauren SEC Third-Party

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