SOX (SARBANES-OXLEY) COMPLIANCE EVALUATION ✅ BUSINESS ✅ SERVICES

Stage 1: Initial Diagnosis and SOX Compliance Risk Assessment

Lawyer's Actions:

Analysis of the company's legal status to determine if it falls under SOX regulations (most commonly — a publicly traded company on a U.S. exchange).

Review of corporate structure, financial statements, internal policies, and IT systems.

Identification of high-risk areas of non-compliance (e.g., weak financial reporting controls or IT security).

Stage 2: Internal Control Audit According to SOX Section 404

Lawyer's Actions:

Verification of the effectiveness of internal controls over financial reporting.

Assessment of fraud detection and prevention procedures, as well as errors and inaccuracies.

Collaboration with the accounting department or external auditors to ensure alignment of legal and financial positions.

Stage 3: Preparation of Legal Recommendations and Documentation

Lawyer's Actions:

Development or updating of internal policies (compliance policies), including document retention policy (in accordance with Section 802).

Preparation of a management report on risks and proposed corrective measures.

Providing recommendations for training programs for management and employees, particularly regarding financial reporting responsibilities (Section 302).

Stage 4: Implementation Support and External Audit Preparation

Lawyer's Actions:

Consulting on implementation of new policies or IT system changes to ensure compliance.
Verification of readiness for independent auditor review (External Auditor Readiness).
Providing legal support during the audit and responding to regulator inquiries (e.g., SEC).

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SOX Compliance Assessment: Legal Support for US Businesses

Compliance with the Sarbanes-Oxley Act (SOX) is critical for companies operating in the US or planning to go public. The law establishes strict standards for financial reporting, internal controls, and corporate governance. Consultant offers comprehensive SOX compliance assessment services to help minimize risks and avoid serious penalties.

What's Included in SOX Compliance Assessment

Our legal service provides full compliance audit including:

Analysis of internal control policies and procedures;
Verification of compliance with SOX Sections 302 and 404 (internal financial controls and management disclosure requirements);
Risk assessment and remediation planning;
Preparation for external audits or IPO;
Preparation of legal opinions, memoranda, and supporting documents for board members or investors.

Why Legal Counsel is Essential for SOX Compliance

SOX non-compliance can result in multimillion-dollar fines, loss of investor confidence, and even criminal liability for executives. Legal support ensures:

Accurate interpretation of federal requirements;
Reduction of legal and financial risks;
Professional communication with auditors and regulators;
Protection of company interests during inspections or disputes;
Policy adaptation to legislative changes.

SOX Compliance Legal Support Process

Initial audit: Analysis of corporate structure, accounting, and IT management systems.
Recommendations: Development of step-by-step SOX compliance implementation plan.
Implementation: Legal support for internal policy, reporting, and documentation changes.
Ongoing support: Assistance with external audit preparation and continuous compliance monitoring.

Service Availability Conditions

Company registered in US or engaged in US capital market activities;
Planning initial public offering (IPO) or SEC reporting;
Need to verify or improve internal financial control systems;
Undergoing external audit requiring legal specialist support.

Our legal team has deep expertise in corporate law, financial controls, and compliance. We work with technology, financial, manufacturing, and service companies. By choosing Consultant, you get not just compliance verification but a reliable partner for sustainable growth.