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GAAP and SEC Compliance

Whether you’re a start-up or an established company, staying current with U.S. generally accepted accounting principles (GAAP) as well as the complex requirements of the Securities and Exchange Commission (SEC) and other regulatory agencies gets more difficult every day. Often, there’s a gap between advanced reporting requirements and a company’s ability to comply efficiently, accurately and on time.

Annual Review, Financial Report and Annual Report

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  • Reporting:  Whether you’re filing an initial public offering or a periodic report with the SEC, the role of your accounting firm is to audit and verify your financial statements – not prepare them. We help you research, prepare and document your filings according to the latest principles and guidance to minimize inefficient post-review rework including:
  • Restatements: Correcting mistakes can be time-consuming and costly. We help you fix mistakes quickly and efficiently. We help investigate the error, help correct it according to prescribed accounting principles and help prepare all necessary reports. We also advise you on processes to avoid recurrences.
  • SEC Comment Letters: SEC inquiries often focus on the accounting or disclosure of complex transactions. We help you research, compose and document responses that adhere to current accounting principles and guidance and that incorporate Big Four expertise.
  • Internal Investigations: Whether initiated by you or your board of directors, internal investigations require an unbiased perspective and the experience to concentrate inquiries on the right areas. We help you research the issues and document all findings. As needed, we recommend processes to correct the current situation and avoid recurrences. We also advise you if outside counsel should be engaged.
  • Sarbanes-Oxley 404: Even with the implementation of more standardized processes, conducting a full-scale evaluation of internal controls as required by Section 404 is still a challenge for many smaller companies. We employ our Big Four experience and impartial perspective to carry out an efficient review that maximizes resources and focuses on the key factors that will provide a reasonable assessment of your company’s internal controls. As necessary, we recommend alternatives or process improvements. We also help complete all the documentation requirements that can be relied upon by your accounting firm.