- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
The days of viewing culture as a hazy intangible are over, given regulator interest in using the efficiency of cultural programs as benchmarks for everything from indictment decisions to penalties. Corporate culture, says Jose Tabuena, needs to be subject to performance benchmarks, like anything else.
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A lack of supervision and internal controls at Morgan Stanley Smith Barney allowed four of its investment advisers to steal millions from customers before the behavior was detected, the SEC said in charging the firm.
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