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MGMT 520 Week 7 DQ 2 SOX and Insider Trading


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Week 7: Doing Business – Discussion

SOX and Insider Trading (graded)

Review Problem 5 of Chapter 21, found on page 764 of your e-book. Let’s look at corporate malfeasance, both specifically as in the case of Mr. Winans, and more generally, at companies across the country. It seems as though there is an outbreak of corporate “bad ethics” that is translating into escalating costs for compliance and policing.

Along with the SEC and their policing and efforts at ending bad business practices that relate to the stock market, we also have the Sarbanes-Oxley Act, also known as SARBOX, or SOX, which is becoming a big buzzword in the business world. We will look at that here and in the other thread. As part of that discussion, start thinking about the different ways different officers of the company will look at and use or follow SOX (i.e., the CEO, CIO, and CFO).

To start this threaded discussion, let’s look at the conduct of Mr. Winans and his coconspirators. Was their conduct illegal under the Securities and Exchange Act and, more specifically, Section 10(b) and Rule 10b-5? If so, how? If their conduct was not illegal under Section 10(b) and Rule 10b-5, explain why not.

Was their conduct unethical? Why or why not?

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