Sarbanes-Oxley Compliance (SOX)

Leading experts in SOX Compliance. It’s what we do every day.

Sarbanes-Oxley Compliance (SOX)

Protiviti has been a long standing and recognised global thought leader in SOX and Committee of Sponsoring Organisations (COSO) compliance. Our publications, benchmarking studies and global seminars are widely recognised in the marketplace and continually provide the latest regulatory and industry trends. Our clients benefit by having access to leaders with deep industry and subject matter expertise for whom SOX compliance is a principal focus.

We have served hundreds of clients with their SOX compliance needs that range from program builds to turn-key execution, to rationalisation and transformation.

Sarbanes-Oxley Compliance (SOX)

Public Company Readiness – Year One SOX

Establish a roadmap to comply with SOX 404 by right sizing your SOX program and infusing leading practices to build an effective, efficient, and sustainable control framework and program.

SOX Diagnostic

Assess your SOX compliance program to rationalise your controls and validate your overall approach. Our diagnostic services build upon years of SOX compliance activities and the application of SEC and PCAOB guidance.

Ongoing SOX Compliance

Assess the effectiveness of your SOX program to ensure it adjusts to the changing needs of your organisation. Conduct training and awareness for executives, process, and control owners. Establish a controls-mindset in the organisation.

IT SOX

Understand how technology impacts your control environment and identify optimisation opportunities by evaluating control design and operating effectiveness of application and IT general controls, as well as the impact of major technology projects (e.g., ERP implementations).

SOX Transformation & Innovation

Test faster and more accurately by leveraging our testing accelerators, proprietary data-driven control testing tools, and Control Testing and Innovation Center services, as well as our network of global delivery centers.

J-SOX

Our J-SOX compliance teams help Japanese public companies improve the efficiency of their internal controls over financial reporting process.

UK Corporate Reform

Prepare for the forthcoming UK SOX requirement through establishing internal control programs and complying with regulatory requirements.

Our approach

Efficiency. Effectiveness. Sustainability.

Protiviti assists companies in designing SOX programs that deliver upon compliance objectives, without putting undue strain on the organisation. We are experts and have years of proven SOX experience, working with organisations ranging from newly public to the largest global organisations. Our global network of SOX specialists continually monitors developments and changes within the landscape. Protiviti's approach

Risk Assessment, Scoping & Project Management
Walkthrough & Control Design Assessment
Testing of Operating Effectiveness
Aggregation & Evaluation of Deficiencies
Monitoring and Validation of Remediation Activities
Reporting of Results to Management
External Auditor Liaison

Efficiency. Effectiveness. Sustainability.

Leadership

Keith Kawashima

Keith Kawashima is a Managing Director and has over 30 years of experience in finance and accounting including 20+ years with Protiviti / Arthur Andersen's Internal Audit practice and 10+ years industry experience in both Finance and Operations prior to joining ...

Esther Delgado

Esther is a Managing Director specialising in the provision of risk management, internal controls and assurance. She has assisted a number of organisations with their risk management and internal audit offering, including organisations across diverse industries. Prior ...

Sukhdev Bal

Sukhdev is a Managing Director within the London office Internal Audit and Financial Control practice. His combination of industry and consulting experience has enabled him to provide balanced and practical value added solutions to his clients’ problems. He has in ...

Yasumi Taniguchi

Yasumi Taniguchi is Managing Director of Protiviti Japan and leads Japan practices. As a founding member of Protiviti Japan, she led the delivery of the country’s Enterprise Risk Management and Internal Audit and Financial Advisory solutions. Yasumi spent over 15 years ...

Key partners

We partner with leading software companies to provide direction and deliver an automated testing approach with speed and convenience.

NEWSLETTER

Setting the 2024 Audit Committee Agenda

Compared to prior years, our suggested 2024 audit committee agenda has taken a bit of a turn due to ongoing and recent market and regulatory developments.A complex business environment: The 2024 audit committee agenda includes important enterprise,...

PODCAST

Podcast | The Evolution of SOX: Tech Adoption and Cost Focus Amid Business Changes, Cyber and ESG Mandates

In this episode, we dive into SOX compliance – specifically, the findings of and key takeaways from Protiviti’s latest Sarbanes-Oxley Compliance Survey. The results of our research are featured in our just-released report, The Evolution of SOX: Tech...

BLOG

Why Auditors Rarely Find Fraud

In today’s world where corporate scandals often make front page news, fraud prevention and detection are becoming a priority for management and decision-makers. An alarming fact reported by the Association of Certified Fraud Examiners (“ACFE”)...

PODCAST

Podcast | Opportunities for greater efficiencies in SOX programs may have a familiar ring to them

Protiviti Managing Directors Clint McPherson and Seth Schrank discuss opportunities to pursue procedural and structural changes in SOX compliance programs, most notably through the use of third-party delivery centers to handle the highly defined and...

BLOG

The Sarbanes-Oxley Act: Its Legacy Looking Back and Impact Going Forward

Twenty years ago, the effects of the Enron era were enormous. Confidence in the capital markets and in financial reporting and corporate governance in general had deteriorated to a dangerously low level. Shareholder losses were staggering. People’s...

NEWSLETTER

Setting the 2023 Audit Committee Agenda

As in prior years, our suggested 2023 audit committee agenda includes important enterprise, process and technology issues and financial reporting and disclosure issues. In addition to discussing these agenda items, we have offered questions for audit...

NEWSLETTER

Assessment Questions for Audit Committees to Consider

As they self-assess their performance periodically, audit committees may find useful the illustrative questions we have made available in our Assessment Questions for Audit Committees to Consider. Committee members should periodically assess the...