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COMPLIANCE PAPER (85 pts)
• ASSIGNMENT OVERVIEW
Virtually all business activities conducted in the United States are regulated, not only by governmental entities, but by professional entities as well. Compliance with all federal, state, and local laws and ordinances is a prerequisite to the long term health and survival of any business. And compliance with industry and professional practice standards can be equally important, especially when mandated for accreditation and government contracts qualification. When a business fails to comply with all applicable laws, regulations and standards, the business and the individuals who manage it often face a variety of sanctions, from the loss of an operating license and/or program certification, to civil and criminal sanctions.
• STEPS FOR COMPLETING & SUBMITTING THE ASSIGNMENT
SELECT AN ARTICLE FOR YOUR PAPER
Using one of the websites below, or the UHD library, locate an article to read about a recent compliance breach, enforcement action, agency and/or court decision. Ideally, the article will address an alleged breach that occurred in the past two years. However, it can cover the results of an enforcement action concluding an investigation or prosecution of a breach that occurred more than a year ago. Pick an article about a business or an industry of interest to you.
Websites:
1. www.fcpablog.com
2. www.sec.gov (see “Latest News” section)
3. www.justice.gov (see “Justice News” section)
4. Wall Street Journal, New York Times — or other similar periodicals (search through UHD library website)
• WRITING THE PAPER
Using your selected article about an alleged legal/ethical compliance breach, answer the following 4 questions.
1. Identify the industry in which the compliance problem occurred or was alleged to have occurred.
2. What is the non-compliant behavior? When did happen? What laws or regulations were allegedly not followed?
3. What penalties and punishments resulted from this behavior?
4. Student’s Opinion about the Compliance Problem/Enforcement Action – give your opinion about the activities your article describes. What do you think about what happened, the company’s behavior, the government’s interventions, the impact on the industry and consumers and the public in general?
• REQUIREMENTS: CONTENT & FORMAT
Use Word doc format, length = approx. 2 double-spaced pages, cite the website/article you used. Turn in thru drop box.
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