Skip to main content
search

Industries

  • Financial Services

01.

The Challenge

Specialty finance client required initial SOX compliance advisory assistance as a Foreign Private Issuer following a U.S. listing.

To ensure compliance with the Sarbanes-Oxley Act (SOX), the client engaged RGP to scope the project, conduct process walkthroughs, develop controls documentation, address known control remediation needs, train management, and facilitate the process for initial SOX compliance.

02.

What We Did

RGP assembled a team of experienced consultants with expertise in risk, compliance, and SOX year-one readiness. The team conducted a financial statement risk assessment to define the scope, performed process walkthroughs to identify risks and controls, and developed process narratives and risk/control matrices. RGP also created a controls design gap log, recommended actions to address control gaps, and supported Segregation of Duties (SOD) analysis and SOC1 reviews. Additionally, RGP advised the client on implementing a sub-certification process to achieve initial SOX compliance with Section 302.

03.

Our Impact

RGP helped the client remediate material weaknesses, address control gaps, and meet SOX Section 302 requirements, laying the groundwork for Section 404 compliance.

case studies

Explore Related Work

Privacy Overview
RGP logo

This website uses cookies so that we can provide you with the best user experience possible. Cookie information is stored in your browser and performs functions such as recognizing you when you return to our website and helping our team to understand which sections of the website you find most interesting and useful.

Strictly Necessary Cookies

Strictly Necessary Cookie should be enabled at all times so that we can save your preferences for cookie settings.

If you disable this cookie, we will not be able to save your preferences. This means that every time you visit this website you will need to enable or disable cookies again.

HotJar, 6Sense & Google

This website uses Google Analytics, HotJar and 6Sense to collect anonymous information such as the number of visitors to the site, and the most popular pages.

Keeping this cookie enabled helps us to improve our website.