The US has required companies to report on internal financial controls for many years, following the Sarbanes-Oxley Act of 2002 (SOX).

RSM’s SOX services allow your organisation to tackle SOX compliance effectively to gain value from the programme. 

The Act:

  • Requires companies to document a management assessment of their internal controls over financial reporting; and
  • requires a company’s independent auditor to attest to the effectiveness of its internal control over financial reporting in accordance with the standards set out by the PCAOB (Public Company Accounting Oversight Board). 

Our SOX services lift the burden from your internal staff and allow us not only to identify financial reporting risks, but also develop the most efficient way to address your controls needs. We provide a tailored approach that meets your specific SOX compliance needs, through implementation, year 1, and ongoing compliance, in order to assess the effectiveness of your internal controls.

By adopting a risk-based approach to the scoping, delivery and evaluation of your internal financial reporting compliance programme, we can support you in driving down costs, enhancing your effectiveness, and providing additional value. We can support you in:

  • Getting you ready for SOX – our team undertakes readiness assessments of our corporate clients to determine how prepared they are to implement a compliance programme. Our assessments seek to highlight any issues that may prevent the establishment of a successful SOX 404 compliance programme.

  • Project support to your implementation and compliance programme – We are experienced in the end-to-end process of meeting SOX. Our team provides project management, scoping, delivery and evaluation of outcomes. Our experience helps you avoid the pitfalls, minimise the inevitable impact on the business, and manage the cost of compliance.

  • Reviewing your SOX compliance –  we undertake compliance reviews to determine whether a company is meeting the core requirements of the Sarbanes-Oxley Act. We can also assess whether management has an adequate and clear framework for evaluating the effectiveness of the company’s internal financial reporting controls.

To discover how we could help your organisation achieve compliance and optimise its internal controls, please contact Jed Turnbull or Shingo Soga

Keep up-to-date with the latest insights and events


Are you addressing your organisation's governance, risk and compliance issues?

Find out more