SOx Compliance

Regulatory compliance doesn’t have to be regarded as another checklist exercise to keep the regulators happy. Many business leaders have started to leverage regulation to build better processes, controls and efficiencies that help business performance and generate results.

Our experience has shown that organisations managing Sarbanes-Oxley compliance can tweak their programmes to create more efficiencies, reduce manual tasks and bring greater accountability across the business.

Many organisations continue to face challenges around the quality of their existing SOx framework, while the evolving regulatory environment brings new requirements. We understand that resource may not have the capacity to react to changes set by PCAOB (Public Company Accounting Oversight Board) and SEC (U.S Securities and Exchange Commission) and sometimes require an additional pair of hands to re-engineer the framework and / or perform controls testing.

How we can support you

  • Training and awareness
  • UK SOx readiness programme
  • SOx frameworks
  • Project management (PMO)
  • SOx/ICFR scoping
  • Process mapping
  • Documenting standard operating procedures
  • Controls testing
  • Diagnostics and remediation
  • Certification

Examples of our work

SOx preparation service - for an online technology business planning to list in the USA. This involved holding training sessions, documenting process maps, performing ICFR scoping and creating Risk & control matrices "RACMs".

Controls Testing service - for an oil and mining company obtaining section 404 certification. This involved understanding the current controls testing approach and methodology and recommending a new approach that reduced the need to test unnecessary controls.

Contact Us

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