Independent SOX 404, ITGC & Audit Readiness
We serve as an independent 3rd Line of Defense for Boards and Audit Committees, delivering turnkey SOX 404 compliance, ICFR control matrices, and CISA-led ITGC testing for De-SPAC targets, Microcap issuers, and growth companies.
Book a free exploration ↗Effective Oversight Requires Independent Control Testing, Not Just Self-Reporting
When navigating a De-SPAC transaction, public uplisting, or SEC reporting cycle, Audit Committees cannot rely solely on management self-reporting. Without documented ICFR frameworks and independent internal control testing, issuers face immediate exposure to filing delays (Form 12b-25), public Material Weaknesses, and heightened regulatory scrutiny.
We act as a direct, objective line of sight for the Audit Committee. Without interfering with your existing deal advisors or external financial auditors, we design your Risk Control Matrices, test IT General Controls (ITGCs), and manage post-close SOX 404 compliance. We deliver clear, unfiltered audit-readiness evaluations so directors fulfill their fiduciary responsibilities with complete confidence.
Issuers We Support
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De-SPAC Targets & Combined Entities
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Audit Committees for Public Companies & Microcaps
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Pre-IPO & Reg A+ Growth Boards
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Governance & Risk Committees
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Private Equity & Investor-Appointed Boards
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Family Office & Growth Enterprise Boards
Our Engagement Approach
Tailored specifically to emerging public issuers, De-SPAC targets, and microcaps depending on your regulatory timeline and board objectives:
Independent Governance & ERA
Execution of comprehensive Enterprise Risk Assessments (ERA) to establish foundational risk visibility for board governance.
SOX 404(a) Management Testing
Full design and testing of ICFR control matrices (RCM) to ensure management testing compliance and disclosure accuracy.
CISA-Led ITGC & Cyber Risk
Technical evaluations of IT General Controls, application access controls, and cybersecurity risk structures.
Audit Committee Representation
Independent 3rd Line of Defense representation and direct executive reporting at Audit Committee meetings.
Audit-Ready Documentation
Deficiency remediation plans, workpaper preparation, and executive summaries built to withstand PCAOB inspection.
PCAOB Auditor Liaison
Direct support coordinating with external auditors for continuous compliance monitoring and seamless year-end close.
Choose Your Compliance & Audit Readiness Level
Turnkey IA
Outsourced Internal Audit
SOX 404
ICFR & ITGC Compliance
Audit Prep
PCAOB & Close Support
How We Help Reporting Issuers
Turnkey design, documentation, and management testing of internal controls over financial reporting to meet SEC Item 308 mandates.
Independent 3rd Line of Defense representation, quarterly reporting decks, and unfiltered risk visibility for Audit Chairs.
Comprehensive Enterprise Risk Assessments mapping operational, financial, and regulatory exposure before public listing.
Full-scope outsourced internal audit function executing continuous control testing without the lag of hiring full-time staff.
CISA-led evaluations of IT General Controls, access management, and system security to prevent IT-driven audit deficiencies.
Rapid-response accounting support during compressed filing windows (Form 12b-25) to clear audit backlogs and pass PCAOB scrutiny.
Complete Confidence Under Scrutiny
Protect your Board from SEC filing delays (Form 12b-25), public Material Weaknesses, and audit deficiencies with independent, audit-tested control infrastructure.
Book your free 30-minute exploration ↗