The Capstone Paper is used as a graduation requirement within the Master of Science in
Business Ethics and Compliance (MBEC) program. It is designed to incorporate aspects of each
of the nine courses having the student bring to bear the understanding of the ethics and
compliance environment and the institutional cultures and overlay those with the defining of a
problem and construction of solutions.
Background
You and three colleagues are seeking capital to start a new investment services company in
your state. The investors interested in your project are looking to mitigate risk and have asked
that you submit a detailed ethics and compliance plan before they will commit funding your
project.
As a recent graduate of the MBEC program, you are charged with developing the plan to present
to the investment group. They have given you five weeks to present your plan. You will reflect,
primarily, on the following courses as you prepare to write your plan/proposal:
Your four core courses:
1. Regulations and Regulators
2. Accounting & Ethics
3. The Culture of Ethics
4. Governance, Ethics & Compliance
Prepare a 15- 18-page essay outlining your approach to developing a comprehensive ethics and
compliance program. Integrate the following information into your essay:
1. Provide a concise introduction of the assigned industry and your proposed organization.
2. What are the key Federal, State, and/or local regulators and regulations governing your
assigned industry? Explain their key role and oversight functions.
3. How will these key regulations influence your organization?
4. Explain the roles and responsibilities of the compliance professional in your organization.
5. Explain the governance structure in your organization. How will your governing bodies
interface with compliance?
6. Examine the risk you foresee in your institution and explain what strategies you expect to
employ to mitigate that risk.
7. Explain your approach to establishing a culture of ethics given this highly competitive
environment.
8. Include a concise summarize of your essay.
Assignment Guidelines
1. APA Form and Style
a. Cover page
b. Abstract
c. Introduction
d. Topic Headings
e. In text citations
f. Summary
g. References
2. Essay length: Approximately 15-18 pages
3. References: Minimum 15 scholarly sources
4. Use appendices as applicable
5. Include graphs and charts within the body of your document, as applicable
*Submit a one- to two-page outline on how you are going to address the issue and the research
needed to complete this assignment. The outline must be in APA format. You may use any of the
three recommended samplluves from the APA guidelines