Public Company Services
The choice made in the selection process of engaging an audit firm is an important decision.
Registrant reporting compliance of securities can be a demanding process. Understanding and
navigating through the registration process and through SEC guidelines requires an experience
that is not easily attained and a skill set that is not readily available. My firm can work with you
to ensure that all options and decisions are well thought out and filings are completed accurately,
timely, and in accordance with Securities and Exchange Commission (SEC) and Financial
Accounting Standards Board (FASB) regulations.
Attestation (audit and review) of filings:
• Registration of a public offering of securities under the Securities Act of 1933 (including,
but not limited to, initial public offerings and secondary offerings);
• Registration and reporting under the Securities Exchange Act of 1934 (including, but not
limited to, annual and quarterly reporting);
• Interpretation and implementation of regulations governing various filing forms
(Regulations S-X, S-K, and S-B, Staff Accounting Bulletins, Codification of Financial
Reporting Policies, and industry guides).;
• Researching and resolving SEC issues through communications with the SEC's Division of
Corporation Finance (including the office of the Chief Accountant).
In addition, with the Public Company Accounting Oversight Board (PCAOB) and Sarbanes-
Oxley requirements, companies are hiring consultants to assist with the internal requirements for
financial statement preparation, as audit firms are precluded from providing these services.
• Financial statements: Assistance with preparation of GAAP basis, full disclosure financial
statements for audit;
• Audit readiness preparation
• 10-K & 10-Q preparation;
• Contract CFO
• Sarbanes-Oxley compliance:
o Internal control assessment, design, & system implementation;
o Remediation of deficiencies in internal controls;
o Management assessment & reporting.