Regulatory Compliance and Governance

? Resources: Legal Environment of Business: Online Commerce, Business Ethics, and Global Issues: Ch. 16 (pp. 364 -368), 22, and 23.
? Scenario: he Sarbanes-Oxley Act (SOX) has been in effect since 2002and 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).
? Assignment: Outline your proposal in the following research worksheet. For each section of SOX (Sections 302, 401, 404, 409, and 802), write a 50-100 word response to the board outlining the compliance requirements for implementation. You may answer below or on a separate sheet of paper. Please make sure your name is on your submission.
o 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
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WEEK6: REGULATORY COMPLIANCE AND GOVERNANCE
WORKSHEET
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: he Sarbanes-Oxley Act (SOX) has been in effect since 2002and 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).
?
Assignment: Outline your proposal in the following research worksheet. For each section
of SOX (Sections 302, 401, 404, 409, and 802), write a 50-100 word response to the board
outlining the compliance requirements for implementation. You may answer below or on a
separate sheet of paper. Please make sure your name is on your submission.
o
o
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.
Click the Assignment Files tab to submit your assignment as a Microsoft Word
document.
Section
302
401
404
409
802
Requirements
Items Necessary for
Implementation
Reference

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