Ensuring SEC Compliance
The SEC requires public corporations to make
certain reports and disclosures on a regular basis. These disclosures promote transparency about the
companies’ financial condition and business practices
so investors can make educated decisions. We consistently monitor the SEC and other regulatory activity for changes
in SEC policies and procedures. This constant monitoring gives us a broad range of experience from a risk and
compliance perspective to help our clients comply with the most current SEC regulatory guidelines.
Our Exchange Act reporting services range from a complete outsourced solution to merely providing support to your
internal team’s efforts. We put you on our calendar so that you begin the process of preparing SEC reports
well in advance of the deadline. We leverage our internal technology systems and process driven organization to
manage each step of the reporting process. We also offer alternative billing arrangements covering all SEC reporting
so that you can stay within your budget and know exactly what your compliance costs will be.
We routinely assist our clients in complying with their Exchange Act obligations including the preparation and/or
review of the following reports and other documents.
- Form 10-K annual report
- Form 10-Q quarterly report
- Form 8-K quarterly report
- Form 20-F annual report of foreign private issuer
- Form 6-K report of foreign private issuer
- SEC Forms 3, 4 and 5
- Schedule 13D and 13G
- Rule 144 relating to selling restricted and control securities
- Respond to SEC comments on Exchange Act reports
- Prospectus supplements to incorporate Exchange Act reports
- Proxy and information statements and annual and special meetings
Sarbanes-Oxley Compliance
The Sarbanes-Oxley (SOX) Act of 2002 was passed by Congress with the aim of protecting investors from fraudulent
corporate accounting practices. The SOX Act brought about strict requirements for disclosure with its key provisions
outlined in sections 302 and 404. These sections respectively mandate senior management to confirm the veracity of
any financial statements and that internal controls are in place to mitigate inaccuracy. In addition to the
financial reporting component, the SOX Act mandates that safeguards are in place regarding electronic record
keeping. This section is meant to define how a company’s records should be stored and for how long, as well as
to eliminate possible falsification.
The provisions of the Sarbanes-Oxley Act can be very expensive and time consuming for companies to fully implement.
Not to mention that integrating new technologies can also pose a serious hurdle for a company, particularly emerging
growth companies. To remain in compliance and properly execute your responsibilities it often takes the
highly-focused attention of a SOX attorney.
