Sarbanes-Oxley Services

Our Specialist

 
+65 6594 7803
wttay@RSMSingapore.sg
 

Compliance with the Sarbanes-Oxley Act of 2002 (SOX Act) is a major concern and top priority of listed companies who file annual reports with the Securities Exchange Committee (SEC) or companies that are subsidiaries of US SEC-registered companies.

Our Sarbanes-Oxley (SOX) division specialises in helping companies with their SOX compliance efforts. We offer value added customised solutions that allow our clients’ SOX compliance efforts to be more hassle-free and cost-effective. Our service goes beyond assisting clients to comply with the SOX Act. Our people serve as the clients’ SOX compliance team, providing an involvement in the SOX compliance effort to the extent that is comfortable for the client. The client can be assured that resources are properly managed and its SOX compliance effort is heading towards the right direction.

Besides Singapore, we are also well positioned to serve clients with operations in China. In addition to our own offices in Shanghai, Beijing, Suzhou, Shenzhen and Chengdu with 280 staff, we can also count on our strategic alliances with significant CPA practices in Shanghai, Guangzhou and Qingdao, which have a total headcount of 1,000 staff.

In the region, an RSM Centre for Risk Assurance Services was established and based in Australia. The Centre ensures proactive coordination of offices within the Asia Pacific region and provides strategic guidance and technical support for services performed by the offices. The Centre also aims to foster excellence in the quality of our services to clients.

We offer the following SOX services:


Outsourcing SOX Compliance Efforts

We assist clients to organise and manage the full spectrum of their SOX compliance efforts and provide regular and timely update on the status of compliance efforts.


Co-sourcing SOX Compliance Efforts

We work with certain key management personnel and clients’ staff to manage the full spectrum of the clients’ SOX compliance efforts, including provision of training where required.


Assist in Specific Phases of SOX Compliance Efforts

Depending on the clients’ needs, our services include:

  • Documentation of internal controls over financial reporting
  • Evaluation of design effectiveness of internal controls over financial reporting
  • Review on operating effectiveness of internal controls over financial reporting

Preliminary SAS 70 Readiness Review

Depending on the clients’ needs, our services include:

  • Assisting in identification of the process focus areas that are subjective to SAS 70 attestation
  • Assisting in development of the control objectives
  • Documentation of processes and internal controls, including General IT Controls
  • Evaluation of design effectiveness of internal controls, including General IT Controls, over financial reporting
  • Review on operating effectiveness of internal controls, including General IT Controls, over financial reporting
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