SOX 404 Compliance

The strength of any company’s public offering comes, in large part, from the strength of its controls. That’s why Section 404 of the Sarbanes-Oxley Act of 2002—which addresses internal controls—is of critical importance to established public companies as well as companies planning to go public.

We can provide interpretation, implementation, and ongoing assessment of your internal controls as they pertain to SOX 404—and beyond helping you stay in compliance, we’ll provide a solid foundation of operational controls that will support your future growth and keep your overall compliance costs in check. By documenting and maintaining your internal control structure, systems, and procedures for financial reporting, you’ll benefit from an improved ability to capture revenue, manage costs, make use of technology, and detect risks before they become problems.

Our Approach

We take a collaborative approach, providing independent assistance to your audit committee to align all parties with a stake in your internal controls attestation with your approach and gain their assurance. And you’ll have the flexibility to modify the scope of your engagement as you become more comfortable with the regulatory environment.

Our services cover all phases of SOX 404 compliance:

  • Risk assessment
  • Documentation and gap analysis
  • Test preparation and operational effectiveness testing
  • Close-out and reporting

You want your service provider to approach your engagement with a responsive focus on your business needs and to deploy a practical methodology that will help you accomplish your long-term goals. We divide our approach into three phases that address operational, compliance, and financial reporting controls:

  • Project planning and risk assessment
  • Documentation and analysis
  • Monitoring and reporting

When you work with us, you benefit from a strong local service team backed by national and global resources. You’ll work with senior-level staff who have specific expertise in internal controls, compliance, and transactional filings, and we receive up-to-date information directly from the SEC through partners who have held SEC fellowships and sat on SEC committees.

Contact us today to learn more about our SOX 404 compliance approach, our professionals, and how we can help you reap the benefits of a streamlined accounting package.

Insights


Webcast
Join us as we review the results of the second annual State of the SOX and Internal Controls Market Survey, sponsored by Moss Adams, Workiva, and SOX & Internal Controls Professional Group. The survey addresses SOX data compliance and internal control processes, costs associated with compliance, and respondents’ top ranked challenges.

Article
Learn about the top five characteristics a CFO should look for when selecting a valuation professional to conduct a fair value measurement.

Report
The survey questions focused on the state of SOX and internal control processes, costs associated with compliance, and the top challenges as ranked by the respondents.

Webcast
In this webcast, we look at specific areas of SOX compliance you can leverage to build value, such as transforming the accounts receivable requirements into a tool for checking credit, monitoring fraud, and reducing the costs of restatement.

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