Introduction to Regulation and Compliance

Introduction to Regulation and Compliance
Compliance Assignment
(Due 72 hours after week 7 live session)
30 points
In your responses, rely upon and refer to the course reading materials, class lectures, and class
notes, as applicable. Do not conduct any outside research or consult any resources other than
those discussed in the course or included in the syllabus. Your responses should be in Times
New Roman 12-point font, double-spaced, with page numbers. Citations do not need to take
any particular style or format; however, they should be placed in footnotes. There are no
required page minimum or maximum lengths. Page approximations are provided as a point of
reference only.
Grading Rubric for Each Part
I. Demonstrates Content Knowledge (8 points)
• Identifies and explains key regulatory and compliance considerations
• Creates analytical framework to address the identified issues
• Recognizes any nuances or complexities and thoughtfully addresses them
• Reaches conclusions while recognizing aspects that are open or unresolved
• Identifies pertinent follow-up questions and/or recommendations
II. Demonstrates Analytical and Writing Skills (2 points)
• Writing is clear, concise, organized, and easy to understand
• Response has a clear introduction and a thoughtful conclusion
• Analysis is logically developed and presented
• Response is free of grammar and usage errors
• Response follows requested format
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