Regulatory Compliance Question Paper
Regulatory Compliance Question Paper
Regulatory Compliance Question Paper
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Regulatory Compliance and Governance
Purpose of Assignment
Corporate fraud has cost businesses and its shareholders millions of dollars and has been the source of legislation and regulations attempting to provide oversight and guidance to corporate boards, executives, and practitioners. Think about how these laws have changed the practices of corporate executives and, in light of the Enron scandal et al., has it been enough?
Assignment Steps
Resources: Legal Environment of Business: Online Commerce, Business Ethics, and Global Issues: Ch. 16 (pp. 364 -368), 22, and 23.
Scenario: The Sarbanes-Oxley Act (SOX) has been in effect since 2002 and has cost businesses millions of dollars in personnel and administrative costs. Your company is in the process of “going public,” has underwritten its Initial Public Offering (IPO), and filed its registration statement with the Securities Exchange Commission. Your current executive team has asked you to create a plan ensuring SOX compliance is followed once you become a publicly traded company.
Review the pertinent sections of The Sarbanes-Oxley Act (SOX) Act. For purposes of this proposal to the board, only concern yourself with the compliance provisions of SOX (Sections 302, 401, 404, 409, and 802).
Create a maximum 1,050-word proposal to the board outling the compliance project necessary to implement SOX.
Cite a minimum of one reference for the five content areas taken from a business or legal resource. One resource must be from the University Library.
Format your paper consistent with APA guidelines.
Click the Assignment Files tab to submit your assignment as a Microsoft® Word document.
Assignment Policies
Description
Class-
Please read all of the information about the assignments below:
FORMAT FOR ALL ASSIGNMENTS
The assignments are to be done in Microsoft Word with Times New Roman 12- point font. Each assignment should use the modified APA 6th edition format. The assignment templates are set up in this modified format. The reference page should be in the APA format for every reference. The word requirement for the assignments are specifically stated in the guidelines of the assignment. The word count is from the first word of the introductory paragraph to the last word of the conclusion paragraph. FYI.
REFERENCE REQUIREMENTS
1- There should be a cited reference for each section of a paper as there are conclusion statements in each section (to meet the grading criteria) so the conclusion should be supported by a reference as the assignments are evidence-based research, clinical papers.
2- Word Count- The word count is done from the first word of the introductory paragraph to the last word of the conclusion. The word count must be within the minimum and maximum word limit stated in the assignment instructions. A 10% – point reduction will be made in the total points for the assignment.
Week 1 and 5 assignments should have SIX studies. Week 5 assignment is a compilation of sections from the week 1, 2 & 3 assignments.
Weeks 2 and 3 need to have at least THREE studies in the form of research studies. Please make sure that you look at the instructions for the assignment as well as the grading rubric. I have also provided templates for ALL assignments. It is in your best interest to use these as it will guide you so that you do not make common formatting errors.
APA FORMAT FOR ASSIGNMENT
Please utilize the resources in the STUDENT SUCCESS CENTER if you have difficulty with APA 6th Edition format, grammar, sentence structure, punctuation or tense structure.
SUBMISSION OF ASSIGNMENTS
Always submit the assignment in the drop box for that assignment. I cannot accept any assignment as an attachment to an email sent to my college email. Attaching it to a posting to the Questions to Instructor Forum or the Individual Forum is also not accepted.
I cannot grade any assignment unless it is placed into the drop box by the student per university policy.
Turn-It-In / Lopes Write
This is to be used for the assignments for these three weeks (2, 3 & 5) and it is NOT required for Week 1. All assignments will be placed through Turn It In first and then submitted in the drop box on the course shell. No assignments will be accepted as attachments to emails as this is not the university policy.
Grading Rubric-
The rubric for each assignment is found in the upper right- hand corner of the assignment page under the Forum Tab. Compare the requirements of the rubric with your paper prior to submission into the drop box so you will receive full credit for all graded criteria of the paper.
Late Assignment-
Any assignment that is late will have 10% deducted each day it is late. This is a 5- week class. It is imperative that you ask for help if you are having difficulty with an assignment.
You need to contact me as soon as possible if an assignment will be late prior to the submission deadline.
