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

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: #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

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

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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