Wk 6 – Apply: Regulatory Compliance and Protection of Investors and ConsumersWk 6 – Apply:...

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Wk 6 – Apply: Regulatory Compliance and Protection of Investors and Consumers

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Resources
- U.S. Securities and Exchange Commission (SEC)
- U.S. Environmental Protection Agency (U.S. EPA)
- Occupational Safety and Health Administration (OSHA)
- U.S. Consumer Product Safety Commission (CPSC)
Scenario:Your solar panel manufacturing and installation company, Solar Co. Inc., is in the process of "going public," has underwritten its Initial Public Offering (IPO), and filed its registration statement with the U.S. Securities and Exchange Commission. Your current executive team has asked you to create a plan ensuring compliance with a variety of regulations that will apply to Solar Co. as the company goes public and continues to expand.

Writea discussion in no more than 175 wordsabout each of the four federalagencies listed above in which you:
- Explain the role and function of the agency.
- Identify at least two significant regulations enforced by each agency relevant to Solar Co.'s business (totaling eight regulations).
- Provide recommendations for Solar Co. to ensure compliance with each of the regulations including specific action items to be taken by employees and management.
Submit your assignment.

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http://www.sec.gov/

http://www.epa.gov/

http://www.osha.gov/

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Saloni · Accepted Answer

US Securities and Exchange Commission
Roles and Function -
· The main function of SEC is to supervise organizations and individuals in the securities market together with brokerage firms, investment funds, investment advisors, dealers and securities exchange. SEC ensures all market related information is disclosed so that a fair deal is maintained protecting against fraud. 
· Declaration of all information to the investors which is related to the stock market and company’s financial performance and statements .
· To scrutinize cases and summon civil suits and administrative proceedings to ensure compliance.
· To provide economic and quantitative analysis and support in imposition of proceeding and settlement of negotiations. 
· To synergise U.S. securities regulation with federal state and foreign authorities.
Regulations
· Declaration of quarterly, annually and current financial statement like balance sheets, statement of cash flow, statement of stakeholder equity of the business and operating work.
· Proper disclosure of business risk, ,management team, executive compensation and principal stockholder. 
Recommendations
An efficient management and company resources with utmost dedication should work on the periodic reports (financial results, business risk, company management and principal stakeholders) should be established . It is expensive process which is compulsory to be registered under Securities and Exchange Commission. The company required details should be so transparent that investors have proper understanding of the business and its operation.
US Environmental Protection Agency
Role and Functions
· Implementing environmental law written by the Congress.
· To protect human health and the environment by scientifically studying different projects to make decisions to clean the community.

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Wk 6 – Apply: Regulatory Compliance and Protection of Investors and Consumers

Wk 6 – Apply: Regulatory Compliance and Protection of Investors and Consumers

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