Strategies to Improve SOX 404 Compliance

Start time:
May 16, 2024 10:00 AM PT
1 hour
Olivia Schultz, Moss Adams, 206-302-6347
Cost to attend:

Every public company must adhere to the Sarbanes-Oxley Act Section 404 (SOX 404) compliance requirements, but SOX 404(b) also requires submitting an opinion on the internal controls themselves, not just the financial statements. This can lead to confusion and duplicated efforts for both auditors and management.

Join us for our webcast, Strategies to Improve SOX 404 Compliance, to learn more about various SOX compliance approaches depending on an organization’s size, maturity, and auditor requirements.



Matt Doxtator, Senior Manager, Moss Adams

Matt has provided outsourced management consulting and internal audit services across multiple industries since 2005. In addition to serving clients in public accounting and consulting, he’s held Sarbanes–Oxley Act (SOX) and internal audit leadership positions for organizations subject to SOX 404(b) requirements. Matt has been involved with every aspect of the SOX 404 compliance and internal audit processes, including planning, analysis, testing, reporting, and project management, and he has managed significant SOX 404 assessment projects from initial implementation to final reporting.

Francisco Sarmiento, Partner, Moss Adams

Francisco has been in public accounting since 2002. He specializes in SOX 404 compliance, enterprise risk management, internal audit, and forensic accounting for domestic and multinational companies in various industries. He assists clients implement their risk-mitigation strategies through process enhancements and efficiency reviews, internal audits, and management of the client’s SOX 404 compliance program.

Registration Form

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CPE Information

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

After completing this training, participants will be able to identify the phases of SOX 404 compliance and the cost impact of the related activities; discuss various SOX compliance approaches and describe their strengths and limitations; identify opportunities to reduce SOX compliance costs, increase efficiency, and lessen impact on personnel; and summarize various strategies to improve SOX compliance depending on organization size, maturity, and auditor requirements.

Refund Policy:

For more information about administrative policies regarding CPE, refunds or complaints, please contact Olivia Schultz at 206-302-6347 or send her 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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