SEC Related Services

We serve as external auditors to more than 30 financial institutions registered under the Securities Act of 1934. As a registrant, bank-holding companies provide periodic reports to the SEC, and banks without holding companies report to their primary Federal banking regulator. This in-depth experience demonstrates our expertise in assisting non-audit clients with various SEC matters:

Assistance with Preparation of 10-Qs and 10-Ks

We assist a number of non-audit clients with the preparation or review of their SEC filings. Team members routinely assist our non-audit financial institution clients’ disclosure committees. We provide these services to accelerated filers and smaller reporting companies.

SOX 404 Documentation and Testing

Having audited a number of accelerated filers, our team uses this knowledge to assist non-audit clients with the requirements of Sarbanes-Oxley Section 404 to document and test internal controls. Our professionals can assist you with the entire process, including identifying significant accounts, mapping financial statements to processes, performing systems walk-throughs, documenting systems, identifying and testing key controls as well as remediation where necessary.