Sarbanes-Oxley advisory

For all Securities & Exchange Commission (SEC) registered organisations - whether subsidiaries of US domestic registrants or foreign private investors - that need to comply with the requirements of section 404 of the Sarbanes-Oxley Act, PwC provides a range of services to help you achieve compliance.

Our advisory services include supporting the project management process, technical support, determining the risk assessment and scoping activities, assisting in documentation and evaluation efforts, training, quality assurance and review.

How we can support you
More about this service

Potential issues

• You seek to build further expertise or skills in-house to plan and deliver a major controls project
• While you have decided to undertake the project in-house, you need technical support and guidance in the face of emerging legislation
• Your initial attempts at documenting and evaluating controls have produced inconsistent, often poor quality results and your staff need support
• You want to know how to derive the greatest value from your efforts
• You want to understand what constitutes best practice in this area and learn from other projects, and access the experience of a firm with many SEC registrants

How we can support you

• A properly planned and executed project will increase the likelihood of achieving compliance within the timescales set
• Involvement of experts in documenting controls will improve the quality of your documentation and increase the potential for deriving value from the process
• Alignment now with your auditors, or a company that will be involved in attestation, reduces the likelihood of reportable conditions at the point of attestation
• Involvement of an external firm helps to release internal resources to concentrate on your ‘business as usual’ activities
• Involvement of experienced outside resources will help you understand the issues more quickly, and will help properly embed this legislation within your business

PwC's Sarbox advisory services include

• Project management activities
• Technical support - scoping, documentation, evaluation, reporting
• Risk assessment
• Change management
• Training - delivery and materials
• Assessing the control environment
• Documentation support
• Design and execution of solutions
• Quality assurance and review activities
• Process improvement