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Sarbanes-Oxley 404 compliance

Sarbanes-Oxley compliance requirements have elevated the role and responsibility of audit companies while taking aim at the c-suite with tough new rules that call for increased accountability from top company executives. Corporate disclosure, compliance oversight, controls monitoring, company training, and—the practice of public accounting—all have been impacted by Sarbanes-Oxley. Most companies face a compliance concern related to SARBOX rule 404. That rule requires management to assess the effectiveness of the company's internal controls over financial reporting and include its findings in the company's annual report to shareholders.

If this is your situation

  • You’ve identified potential controls issues that require remediation and additional manpower to test your controls.
  • You require additional technical knowledge to plan and deliver a major controls project.
  • Your initial attempts at documenting and evaluating controls have produced inconsistent, often poor quality results and your staff needs 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.

How PwC can help you

For all Securities & Exchange Commission (SEC) registered organisations 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 project management assistance, technical support, determining the risk assessment and scoping activities, assisting in documentation and evaluation efforts, training, quality assurance, and review. For non-audit clients, PwC we can also provide direct assistance in the evaluation and remediation of controls.

  • Project management
  • Technical support including scoping, documentation, evaluation, and reporting
  • Risk assessment
  • Change management
  • Training and training materials
  • Control environment assistance
  • Documentation support
  • Design and execution of solutions
  • Quality assurance and review activities
  • Process improvement

Contact us

Thomas Magill

Thomas Magill

Country Managing Partner, PwC Slovenia

Primož Kovačič

Primož Kovačič

Partner and Assurance Leader, PwC Slovenia

Damjan Ahčin

Damjan Ahčin

Assurance Director, PwC Slovenia

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