Regulatory compliance and governance

Purpose of AssignmentCorporate 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.
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Regulatory Compliance and Governance
Grading Guide
LAW/531 Version 12
Business Law
Copyright
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Regulatory Compliance and
Governance Grading Guide
LAW/531 Version 12
Edited in accordance with University of Phoenix® editorial standards and practices.
2
Regulatory Compliance and
Governance Grading Guide
LAW/531 Version 12
Individual Assignment: 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?
Resources Required
Legal Environment of Business: Online Commerce, Business Ethics, and Global Issues: Ch. 16 (pp. 364 -368),
22 and 23
Grading Guide
Content
Met
Partially
Met
Not Met
Total
Available
Total
Earned
4
#/4
Partially
Met
Not Met
Comments:
Reviewed the pertinent sections of The
Sarbanes-Oxley Act (SOX) Act. For purposes
of this proposal to the board, only reviewed
the compliance provisions of SOX (Sections
302, 401, 404, 409, and 802).
Proposal to the board outlined the compliance
project necessary to implement SOX.
The paper is a maximum of 1,050 words in
length.
Writing Guidelines
The paper—including tables and graphs,
headings, title page, and reference page—is
consistent with APA formatting guidelines and
meets course-level requirements.
Intellectual property is recognized with in-text
citations and a reference page.
Paragraph and sentence transitions are
present, logical, and maintain the flow
throughout the paper.
Met
Comments:
3
Regulatory Compliance and
Governance Grading Guide
LAW/531 Version 12
Writing Guidelines
Met
Partially
Met
Not Met
Total
Available
Total
Earned
1
#/1
5
#/5
Sentences are complete, clear, and concise.
Rules of grammar and usage are followed
including spelling and punctuation.
Assignment Total
Additional comments:
#
Comments:
4

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