Daniel Kline

Daniel Kline

NAVEX Global

Contact  |  RSS

Latest Publications

Share:

Addressing the New U.K. Senior Managers’ Regime with Proven Compliance Solutions

It’s less than a year to go until the U.K. Senior Managers Regime (SMR) comes into effect (the official date is March 7, 2016). The regime, part of the Financial Services (Banking Reform) Act 2013, aims to counter the toxic...more

6/11/2015 - Banking Reform Banking Sector Compliance Ethics Financial Conduct Authority Prudential Regulation Authority UK

Insights from the E.U.—Creating and Sustaining a Strong Organisational Culture

Earlier this month I had the opportunity to moderate three roundtables across Europe—in Copenhagen, Paris and London—where more than 30 leading ethics and compliance executives discussed their challenges and opportunities...more

4/2/2015 - Anti-Retaliation Provisions Benchmarks Compliance Corporate Culture Corporate Management Ethics EU Hotlines Training Transparency

Proving the Business Value of a Strong Organisational Culture: Four Keys to Serco’s Success

We’re thrilled to have U.K.-based Robert Smith, Director Assurance at Serco Group PLC (Serco), a NAVEX Global client, share his thoughts on how he and his team are helping Serco build and sustain a strong organisational...more

3/17/2015 - Code of Conduct Corporate Culture Ethics Leadership Performance Reviews Reputation Management Risk Management

OECD Slams France for Lacklustre Bribery & Corruption Enforcement

International pressure is mounting for France to boost their anti-bribery and corruption efforts, but French organisations face the most serious risks—and have the greatest need for strong compliance programmes—today....more

2/27/2015 - Anti-Bribery Anti-Corruption Compliance Enforcement France OECD

New Year, New Focus on Enforcement: The U.K. Strengthens Anti-Bribery and Corruption Enforcement

U.K. regulators have started 2015 with a bang, promising increased cooperation among regulatory agencies, and tougher enforcement of financial crimes, with an emphasis on anti-bribery and corruption efforts....more

2/6/2015 - Anti-Bribery Board of Directors Compliance Corruption Due Diligence Enforcement Actions Financial Crimes Third-Party UK Whistleblower Hotlines Whistleblower Protection Policies

2015 Trends: #4 Maybe One Size Does Fit All: Moving Toward a Uniform, Global Model for Compliance

We asked industry experts, colleagues and compliance officers what they believe will be the top issues impacting workplace ethics and corporate compliance programs in 2015. We gathered their best thinking and prepared our...more

1/14/2015 - Chief Compliance Officers Compliance Corporate Culture Corporate Social Responsibility Ethics

Whistleblowers Gone Global – International Implications of the Dodd-Frank Whistleblower Programmes

Organisations in the U.K. breathed a collective sigh of relief this summer when the commission formed by the Bank of England and the U.K. Financial Conduct Authority (FCA) recommended against the implementation of U.S.-style...more

12/16/2014 - Dodd-Frank Financial Conduct Authority Popular SEC UK Whistleblowers

Creating a Speak-Up Culture in the E.U.: Five Key Challenges Compliance Professionals Are Tackling

This autumn, I moderated two roundtables—one in Stockholm and one in Geneva—on the challenges of creating a speak-up culture. With nearly two dozen senior ethics and compliance professionals in attendance, it made for a very...more

10/24/2014 - Chief Compliance Officers Corporate Culture Ethics EU Risk Assessment Risk Management

Reflecting on the E.U. Ethics & Compliance Landscape: One Year After Opening Our U.K. Office

The growing shift in the E.U. away from piecemeal ethics and compliance programme components and towards a more comprehensive approach is an important and exciting evolution to witness....more

10/13/2014 - Chief Compliance Officers Compliance Ethics UK

Ireland Takes Big Step in Protecting Whistleblowers

Earlier this year, the Protected Disclosures Act 2014 was enacted in Ireland to protect whistleblowers across all sectors of the Irish economy. Transparency International Ireland has lobbied for whistleblower legislation in...more

10/1/2014 - Chief Compliance Officers Employer Liability Issues Ethics Ireland Training Transparency Whistleblower Protection Policies Whistleblowers

U.K. Commission Says “No” to Bounties for Whistleblowers

The United Kingdom’s Parliament has been considering offering whistleblower bounties similar to those offered under the U.S. Dodd-Frank Wall Street Reform and Consumer Protection Act. A commission formed by the Bank of...more

8/20/2014 - Dodd-Frank UK Whistleblower Awards Whistleblowers

Know What You Don’t Know: New EU AML Directive Requires Stringent Third Party & Customer Due Diligence

Over the past couple of years, the European Commission has been working on updating its nine-year-old Third EU Anti-Money Laundering (AML) Directive to accommodate new international standards and to address previous...more

7/30/2014 - Anti-Money Laundering Compliance Due Diligence EU European Commission

Defining, Enforcing and Preventing Conduct Risk

An international focus on defining, preventing, and understanding the concept of “conduct risk” has become problematic for financial services organisations in the UK and beyond—in part because the term is not yet clearly...more

7/17/2014 - Corporate Governance Corporate Social Responsibility FCA OECD UK

Hear it From Employees First: Why Managers Should Encourage Whistleblowers

“I have never understood why hospital managers don't crawl, on bended knee, from one end of their trust to the other, begging staff to tell them what's going on, what's wrong and what needs fixing,” says Roy Lilley, former UK...more

6/12/2014 - Chief Compliance Officers Compliance Corporate Culture Whistleblowers

EU Institutions: More Talk Than Action On Anti-Corruption Efforts?

Last month, anti-corruption watchdog Transparency International released its first-ever corruption and integrity risks report. Titled “EU Integrity System (EUIS) Report” the report focused specifically on EU institutions,...more

5/9/2014 - Anti-Corruption Ethics EU

Deferred Prosecution Agreements in the UK: The New Frontier for Employers

Deferred prosecution agreements (DPAs) are a relatively new law-enforcement tool in the UK, only becoming effective this past February under the Crime & Courts Act 2013. In the opening of his speech at the Annual...more

4/30/2014 - Deferred Prosecution Agreements SFO UK

16 Results
|
View per page
Page: of 1

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:

Sign up to create your digest using LinkedIn*

*With LinkedIn, you don't need to create a separate login to manage your free JD Supra account, and we can make suggestions based on your needs and interests. We will not post anything on LinkedIn in your name. Or, sign up using your email address.
×