Navigating SOX 404(a): Balance Risk and Budget Goals

Start time:
December 13, 2023 10:00 AM PT
1 hour
Olivia Schultz, Moss Adams, (206) 302-6347
Cost to attend:

Compliance with the Sarbanes-Oxley Act (SOX) Section 404(a) is critical for companies transitioning to public ownership or those that recently made this transition.

Regardless of where your company is in addressing SOX compliance, how you develop and manage internal controls can have a significant impact on your organization’s success.

Join us for our webcast, Navigating SOX 404(a): Balance Risk and Budget Goals. We’ll share the SOX 404(a) compliance approach designed around specific risk tolerance, operational objectives, and budget considerations that have been successfully used by hundreds of IPO and emerging growth companies.



Pamela Esparza, CPA, Senior Manager, Moss Adams

Pamela has helped clients meet their auditing and consulting compliance needs since 2014. She specializes in business risk management and helps clients streamline their SOX 404 compliance efforts, evaluate their internal controls over financial reporting, and manage their compliance as regulation and guidance changes.

Ernesto Mero, Manager, Moss Adams

Ernesto is a seasoned professional with a proven track record in delivering high-quality consulting and accounting services to clients since 2015. His expertise lies in the areas of SOX compliance services and internal audit, where he has successfully assisted clients in conducting enterprise risk assessments, implementing SOX frameworks, addressing material weaknesses, and improving processes through thorough analysis and reengineering.

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CPE Information

Program Level:
Auditing: 1
Delivery Method:
Learning Objectives:

After completing this training, participants will be able to explain the approach that’s helped hundreds of companies successfully achieve their SOX 404(a) compliance goals​; differentiate between the key requirements of SOX 404(a) and 404(b) and provide considerations for transitioning to a 404(b) environment​; discuss common transition pitfalls as well as factors that can benefit teams responsible for updating or implementing a SOX 404(a) compliance strategies; and ​include recent and emerging changes impactful to SOX compliance in ongoing dialogue.

Refund Policy:

For more information about administrative policies regarding CPE, refunds or complaints, please contact Olivia Schultz at (206) 302-6347 or send them an email.

Moss Adams is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State Boards of Accountancy have the final authority on the acceptance of individual course for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website:

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