SOX404Lite Compliance Program
For small publicly traded companies needing SEC compliance with Section
404(a) of the Sarbanes-Oxley Act of 2002
Includes the methodology and templates you need for Compliance with Section 404(a) of the Sarbanes Oxley Act of 2002. Typical installation timetables are 4 weeks in "development stage" companies and up to 16 weeks for operating companies. Here is what you get:
Phase 1 - Develop Project Plan, Gather Data and Analyze Risk
During Phase One of the SOX404Lite Program you will use our templates to develop and document an Implementation Plan. This plan will serve as a road map and timetable for a complete internal control implementation process.
Phase 2 - Design and Implement "Risk-Specific" Policies, Procedures, and Controls
During Phase 2 of the SOX404Lite program you will use our templates to document the design of your internal control system over financial reporting for both entity-level and risk specific control objectives.
"Risk-Specific" templates are included.
Phase 3 - Documentation of your "Risk-Specific" Control System
In Phase 3 you will use our control matrices and your work product from
phases 1 and 2 and document the design of your "risk-specific" controls.
Phase 4 - Test and Remediate
You will use our
templates (which include detailed testing procedures) to document your
testing and remediation process.
Phase 5 - Project Conclusion
A detailed Project
Conclusion Memorandum is printed from our templates that describes the
process used for evaluation and your final assessment of the adequacy of
your internal controls over financial reporting along with any required
remediation and other findings.
- Project Conclusion Memorandum
- Section 8A or 9A report
The SOX404Lite Premium template set provides the minimum evaluation and documentation necessary for compliance with Section 404(a) of the Sarbanes-Oxley Act of 2002.
Included with the SOX404Lite Base template set is 10 hours of consulting with our CPA's and Management Advisors.
Also included is access to our online SOX education library and video training.
Template Table
|
Partial List of Product Includes: |
|
|
Internal Controls Implementation Plan
|
X
|
| Project Planning Memorandum |
X
|
| COSO Questionnaire |
X
|
| Entity-level Controls Matrix |
X
|
| Significant Accounts ID Matrix |
X
|
| Significant Process Identification Matrix |
X
|
| SOX 404 Implementation Matrix |
X
|
| Cash management and
treasury |
X
|
| A/P, cash disbursements, and expenses |
X
|
| Equity, Options and
Warrants |
X
|
| Accounts receivable and
revenue recognition |
X |
| Debt and related
financing components |
X |
| Assets -
templates for fixed assets, depreciation, intangible assets, and
other assets |
X |
| Financial statement close and reporting policies and procedures |
X
|
| Financial statement close and reporting control matrix |
X
|
| IT for Accounting and
Operations |
X
|
| Director Code of Conduct |
X |
| Code of Ethics for all
Officers |
X |
| Employee Code of Ethics |
X |
| Audit Committee Charter |
X |
| Nominating Committee
Charter |
X |
| Corporate Governance
Charter |
X |
| Compensation Committee
Charter |
X |
| Audit Committee
Self-Assessment Questionnaire |
X |
| Project Conclusion Memorandum |
X |
| Section 8A or 9A report |
X |
| 10 hours of technical
support |
X |
| more... |
X
|
-
Developed by CPAs specializing in small public company audits
-
Online Access to our educational and video library
-
Designed to satisfy your investors, board, regulators, auditors,
and management
-
Download, Customize, Document, and Done - we provide the tools and
teach you how
-
Options - Outsource
your
section 404(a) compliance (part or all) to us
-
Startup and Development Stage entities call us
for a quote
-
Have questions? Call us at 888-215-0671 ext. 83
|
