FINC430-1

1. For the selected company, and using an outline of the principal requirements of the Sarbanes-Oxley Act, prepare an analysis of the company’s compliance and reporting activities. This analysis should be based on a careful review of the Form 10K report, proxy statement, and other information and analysis. What is your assessment of the strengths and weaknesses of the company’s reporting and compliance activities.

Please see the attached file. This is the example of the answer to this question. You don’t need to fill in entire table. This table contains the items what to look for. Try to make some conclusions about Form 10K report, proxy statement, and other information and to find some interesting facts about the company’s compliance and reporting activities.

2. Examine the selected company’s corporate governance system (normally the policies and other information are available at the company’s website). Evaluate the quality of the corporate governance system compared to CalPers or other standards. What are the strengths and weaknesses of the corporate governance system?  What recommendations can you offer?

CalPERS is California Public Employees’ Retirement System.  CalPers is well known for setting up the standards of corporate governance and the role of director.

Please look the following link. You may want also to click on the Tags on the top of the screen to see other pages of this document.

Harvard Law School Forum on Corporate Governance and Financial Regulation

https://corpgov.law.harvard.edu/2016/04/19/changes-to-calpers-global-governance-principles/

I also attached the example of the answer to this question. This example contains the table with the standards. Your task is to examine some elements of your company’s corporate governance.

3. What are the most important things that you learned from the study of this weeks readings and assignments? Remember to always include appropriate references.