FIN370 wk2 team paper

FIN370 wk2 team paper - Ethics and Compliance Paper Running...

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Ethics and Compliance Paper Running head: Ethics and Compliance Paper Ethics and Compliance Paper Team B Aaron Bullock FIN/370 – Finance For Business Instructor Joe Brennan March 10, 2008 1
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Ethics and Compliance Paper Introduction The SEC (Security and Exchange Commission), helps protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation. "The SEC oversees the key participants in the securities world, including securities exchanges, securities brokers and dealers, investment advisors, and mutual funds" ( www.sec.gov ). As more and more first-time investors turn to the markets to help secure their futures, pay for their homes, and send their children to college, the SEC investor protection mission is more compelling than ever. Pepsi Co. is a very large and complex organization. According to Indra Nooyi, Chief Executive Officer of Pepsico products, “ethics and integrity are the foundation of Pepsi's past success and the keys for their future” (
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FIN370 wk2 team paper - Ethics and Compliance Paper Running...

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