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Sarbanes-Oxley (SOX) 404 Consulting and Compliance

An efficient and robust Sarbanes-Oxley 404 program can help you deliver the transparency the public seeks.

Our professionals are ready to help you achieve Sarbanes-Oxley (SOX) 404 compliance objectives and deliver both shareholder value and public confidence.

What’s on your mind?

  • Availability of in-house skills to efficiently perform the mandatory internal controls testing
  • Designing controls to address identified deficiencies
  • Finding the right technology to assist with compliance
  • Staying current with ever increasing SOX 404 requirements
  • Managing costs of SOX 404 compliance

A unique approach

Our CliftonLarsonAllen (CLA) SOX practitioners include former chief audit executives, chief financial officers, and controllers — so we have personal experience with the internal control risks inherent in the financial reporting process. We isolate the risks and identify the controls that impact the integrity of your financial statements. Our experience with internal controls design, the PCAOB (Public Company Accounting Oversight Board), and external audit firm requirements helps minimize waste in the controls testing process while also helping to increase efficiency.

We will work with you to put the right program in place the first time. Our SOX professionals use a risk-based approach tailored to your organization's business and financial reporting process. Our efficient process identifies, documents, and tests the key controls needed to be compliant with the Sarbanes-Oxley Act of 2002. Our philosophy is to create a flexible, scalable, and cross-functional method that enables you to use internal resources based on your SOX 404 program objectives.

SOX compliance and consulting services

We implement a top-down risk assessment process using PCAOB’s Auditing Standard No. 5 approach, and develop the related SOX 404 program scope of work based on materiality standards appropriate for your business. This includes:

  • Identifying and documenting entity-level, business, and IT processes
  • Determining key risks and controls, testing them, and documenting results
  • Assisting with remediation efforts to address any control deficiencies
  • Sharing leading practices
  • Benchmarking and streamlining current SOX 404 process to add efficiencies into the process
  • Adapting the SOX process to reflect ongoing organizational changes, including acquisitions or divestitures
  • Provide staffing as needed through co-sourcing with your internal audit function or outsourcing for risk management and compliance activities