Unit 4: Shaping Corporate Ethics: Law and Policy – Q & A

(Links to an external site.)

Answer the questions above in good form (without copying the questions–use your own descriptive headings or sentence openers). Remember to cite your sources. A “0” will be recorded this week if you don’t.

Also, be sure to respond to at least ONE of your colleagues’ posts this week. (2 are not required this week)

If there are any comments to YOUR post that ask a question, or differ with your response, please address them, or you will be docked points.

…therefore, to be fair to your colleagues, refrain from posting any questions or negative comments on Monday, the last day this discussion thread is open…

Corporations, Laws, Auditors & Whistle-blowing

This is a 2 part question.

Part I. How does SOX Section 806 impact whistleblowing?

Part 2. Dodd-Frank Wall Street Reform and Consumer Protection Act
a. List Dodd-Frank’s main provisions (Hint: they go beyond whistleblowing)
b. State Dodd-Frank’s limits on whistle-blowing awards to the following:
> An internal accountant or auditor
> An auditor of a public company
> An employee of an audit firm who observes issues with its firm’s auditing of a public company

c. Give an example of how a corporation might comply with Dodd-Frank in form…but not in substance.