Crafting a SOX program to deliver lasting benefits

Company type

Midsize, public

Industry

Technology

Solution areas

Corporate Governance, Strategic Projects

Challenge:

A public tech company on a fast track called RoseRyan to help create and implement their inaugural SOX program, from scoping and planning to design and testing of controls.
After acing the first SOX report, the client asked us to update and manage the SOX program as the company grew and became more complex.

Solution:

RoseRyan designed the SOX program to integrate with the client’s workflow. Through the next eight years, our pros built on this foundation, continually updating and simplifying the controls.
Working alongside the client, we developed deep knowledge of business operations and process pain points, yet maintained independence in testing.
We gave ad hoc recommendations at critical times; coordinated with auditors to improve the test approach, ensuring reliability and minimizing audit fees; and provided continuity during staff changes.
RoseRyan created a lean, easy-to-maintain SOX program that saved time and money while giving executives and investors sound information.

When the company went private and SOX compliance was no longer an obligation, they kept the program anyway. The RoseRyan team had turned a chore into a benefit—the cost savings, efficiencies, enhanced credibility and reliable statements were too good to give up.

Results:

A lean SOX program

Effective internal controls

Fewer controls than similar companies

Sound information for executives

Lowered cost of SOX

Compliance best practices

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