Compliance Report
SELECT AN ARTICLE FOR YOUR PAPER & SUBMIT TO INSTRUCTOR FOR ARTICLE APPROVAL
Using one of the websites below (or other approved business website – check with your Instructor if in doubt), read about a recent (within the past 60 days) compliance breach, enforcement action, agency and/or court decision. Ideally, the article will address an alleged breach that occurred in the past 60 days. However, it can cover the results of a federal enforcement action concluding an investigation or prosecution of a breach that occurred months ago. Pick an article about a business in an industry of interest to you. The business must be a non-governmental entity. Stated another way, the business or entity cannot be owned and operated by a political subdivision such as a city, county, or by the state or federal governments. The laws or regulations discussed must be U.S. laws. The entity can be a publicly traded company, a private company, a large corporation or a small business. It cannot be a governmental entity. The laws or regulations discussed must be U.S. laws. Be sure to cite your article’s URL on the title page, and the date you last visited the weblink, so that your Instructor can locate the article. Test the link (open a new browser and paste link and go) before submitting the article for approval. If the link fails, you cannot receive approval. Failure to submit and receive approval of the article may result in points deducted from your report score.
Websites:
1. www.fcpablog.com
2. www.nytimes.com (select Business in the tool bar)
3. www.sec.gov (see “Latest News” section)
4. www.justice.gov (see “Justice News” section)
5. https://washingtonpost.com
6. Wall Street Journal (through UHD library periodicals)
7. The Economist (through UHD library periodicals)
8. other approved business periodical – send message requesting approval before going forward
This is not a law school paper on the details of the law allegedly violated. Additional research does not add points to your score. Additional articles will not add points to your grade. You may refer to our textbook if so desired.
Report Content & Format
The body of your report must be a minimum of 3-4 single-spaced pages (12 point Times Roman font, 1 inch margins for all margins). You may exceed the minimum length if needed. You may reference websites within your text (as opposed to creating a Works Cited page at the end). Any standard citation format is acceptable.
Title Page
The Report’s title page is separate from the body of the report and does not count in the minimum page count. It must contain the following information in the following format:
Student Name:
Course Name and CRN:
Report Submission Date:
Title of Article and Author of Article:
Weblink to Article:
Date Article Last Visited:
Format the body of the report with these subheadings and content:
Part 1: Recent Compliance Problem and Enforcement Action
Refer to the questions listed in Step 4 Part 1. Answer each question. If your article does not address an item, say so. Do not do additional research. No extra points are earned using additional articles. Use the required formatting. Do not repeat the question then provide the answer (as Q and A format). Rather, use the question’s letter designation, then answer the question in narrative form.
Part 2: My Opinions of the Recent Problem and Enforcement Action
This section is your opinion. You should base your opinion on what you have learned about the industry and company under scrutiny, the relevant laws and regulations mentioned in your article, the alleged non-compliant behavior, the resulting injuries/harm. What would be happening in this company or industry without these laws and regulations? This section is for your thoughts and opinions. You may refer to our textbook here if relevant.
Part 3: My Opinions of the Role of Compliance in Business
Refer to the questions listed in Step 4 Part 3. Answer each question. Use the required formatting. Do not repeat the question (as in Q and A format). Rather, use the question’s letter designation, then answer the question in narrative form.
