Compliance in the context of corporate governance, risk management, and compliance

Compliance in the context of corporate governance, risk management, and compliance

Compliance in the context of corporate governance, risk management, and compliance

STEP 1.Learn about compliance in the context of corporate governance, risk management, and compliance (GRC).

Google GRC at http://en.wikipedia.org/wiki/Governance,_risk_management,_and_compliance.

Read the first page/section which defines the term “Governance, Risk Management, and Compliance.”Have you heard this term before?

For information on the compliance profession generally, check out the two websites below:

Go to www.glassdoor.com. In the Job Title box, type compliance; leave the Jobs box alone; in the Location box, type Houston. You should then see a list of jobs by title with salary ranges. This gives you an idea of what the compliance industry is all about. Other job websites include Careerbuilder.com and Indeed.com (type compliance in ‘what’ and Houston in ‘where’).

Visit www.corporatecompliance.org to learn about this professional organization. Select the tab “About SCCE” and read this. Then select the tab “FAQ” and look over the Questions.

STEP 2.  RECENT COMPLIANCE PROBLEM & ENFORCEMENT ACTION

  • Open the links and learn about the main laws used in current enforcement efforts by the U.S. government regulators:
    • the Foreign Corrupt Practices Act (https://www.justice.gov/criminal-fraud/foreign-corrupt-practices-act),
    • the False Claims Act (https://downloads.cms.gov/cmsgov/archived-downloads/smdl/downloads/smd032207att2.pdf),
    • the Securities Acts (https://www.sec.gov/ where you can read about recent litigation, new regulations, and other interesting topics).

STEP 3. SELECT AN ARTICLE FOR YOUR PAPER& SUBMIT TO INSTRUCTOR FOR ARTICLE APPROVAL

  • Review the Article Submission Approval checklist.
  • Followall of the instructions.
  • If it isnot approved, follow the instructor’s message.
    • Sometimes the instructor will ask you to resubmit the same article with a working link and the responses to the three questions
    • Sometimes the instructor is requesting a new article with a workinglink and responses to the three questions
    • REMEMBER: Donot wait until the deadline to submit an article for approval
  • Once your Instructor approves your article, you can start writing your paper.

STEP 4. WRITING THE PAPER

  • You MUST Organize your paper in the 3 parts below
    • Part 1: Recent Compliance Walmart Manages Ethics and Compliance ChallengesProblem and Enforcement Action
      • Must use A,B,C,D,E formatting
      • Do not use Q&A format. Do not retype the question in your paper.
      • If the article does not address the question, state that the article did not address this point.
    • Part 2: Student’s Opinion About the Recent Compliance Problem and Enforcement Action
      • This section does NOT have A, B, C,D,E formatting
      • This section is your opinion about the activities your article describes.
    • Part 3: Student’s Opinion About Compliance
      • Must use A, B, C,D,E formatting
      • Do not use Q&A format.
      • Do not retype the question in your paper.
      • If the article does not address the question, state that the article did not address this point.
  • IMPORTANT: Do not do additional research as you get no extra credit for it.
    • If your article does not address an item, say so.
    • No extra points are earned using additional articles.
    • You may refer to our textbook if so desired.
    • Use the required formatting for each section.
    • Do not repeat the question then provide the answer (as Q and A format).
    • Use the question’s letter designation (A, B, C, D, E), then answer the question in narrative form.

STEP 5.REPORT DOCUMENT REQUIREMENTS: CONTENT & FORMAT

  • Use Complete Sentences and Correct Writing Mechanics
    • Use complete sentences even when using bullet form.
    • Visit the writing lab or have your paper reviewed by a writing tutor (face to face meetings, drop box, or Zoom (online) reviews.
    •  To schedule an appointment, go to uhd.mywconline.com, or call 713.237.5400, or visit uhd.edu/northwest.
    • If you review your draft report with a writing tutor prior to submission, and you submit documentation of at least one tutor review, no points will be deducted for writing mechanics errors.
  • Report Content& Format
    • The body of your report must be a minimum of 3-4 single-spaced pages, excluding Title Page.
    • (12-point Times Roman font, 1-inch margins for all margins).
    • You may exceed the minimum length if needed, up to 6 pages of text and no more.
    • 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:

STEP 6:  REPORT SUBMISSION INSTRUCTIONS (Follow directions 100% or points will be deducted).

Name the report file (your last name)_(your first name)_(Report).Example: Smith_Bill_Report.  Do not use ( ).Savethe file type as a PDF.

Submit your report through the Blackboard assignment tool.Submitting through a message or to a UHD.edu email account will not count as submission. If you have difficulty uploading your report, contact your instructor immediately.

Also, be sure to submit in Blackboard’s REPORT assignment tool, NOT the Article Approval tool

NOTE the submission deadline on the Course Calendar. Please plan accordingly. Late submissions are acceptedwith a PENALTY untilas stated on the Calendar.

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Compliance in the context of corporate governance risk management and compliance

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