Regulatory Compliance and Governance

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


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


Format your paper consistent with APA guidelines.

Click the Assignment Files tab to submit your assignment as a

Microsoft® Word document.

SupportingMaterial:Regulatory Compliance and Governance Grading

GuideLegal Environment of Business, Ch. 23: Consumer

ProtectionLegal Environment of Business, Ch. 22: Antitrust Law and

Unfair Trade PracticesLegal Environment of Business, Ch. 16:

Corporations and Corporate Governance

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