Compliance

Sarbanes Oxley / J-SOX (Including IT Processes)

Federal Sentencing Guidelines Assessment and/or Implementation

Pre-Employment Screening

Hotline / Helpline Implementation

Policies & Procedures

Ethics & Compliance Training & Education Program Assessments

Business Process Improvement

Cost of Compliance Reviews

Investigation Methodology

Information & Communications Privacy

Contract Compliance (Royalty / Licensing)

Privacy Rules Development & Assesment

FACTA Red Flag Guidelines

Sarbanes-Oxley

For all Securities & Exchange Commission (SEC) registered organizations, including subsidiaries of US domestic registrants & foreign private investors, that need to comply with the requirements of section 404 of the Sarbanes-Oxley Act, Lyndon Group provides a range of services to help you achieve compliance. Our services include project management, determining the risk assessment and scoping activities, technical support, documentation and evaluation efforts, training, quality assurance, and review evaluation and remediation of control deficiencies. Backed by best practices and established frameworks, Lyndon Group has the right experience, methodologies and tools to help your organization comply with Section 404 of the Sarbanes-Oxley Act.

Lyndon Group’s Sarbanes-Oxley Benefits Beyond Compliance:

We approach Sarbanes-Oxley initiatives from a risk based and business process perspective. We understand that business transactions that affect financial reporting are not limited to accounting and finance but also include operations. This allows us to provide the client with added-value by identifying not only internal control gaps, but also business process/systems improvements and best practices that can offset, and in some cases exceed, the investment in compliance initiatives.

We will provide your executive team, as well as operating activities, the independent expertise you need to comply with Sarbanes-Oxley & our approach is designed to address multiple business challenges and industry-specific control aspects.

We do not perform external audit work. Because conflicting interests do not compromise our independence, we have greater collaboration with our clients' external auditors. When Lyndon Group is engaged to assess and test your internal controls, there is a clear separation between your assessment and your auditor's attestation, giving you and your executive team the independent expertise you need to comply.

Our Sarbanes-Oxley specialists work closely with clients and their external auditors to design and execute compliance programs that suit their internal control environments, impending milestones, and program priorities.

Our team is comprised of seasoned consultants who combine their operational finance and public accounting/consulting experience to offer both business and audit viewpoints.

Implementation:

Lyndon Group’s implementation approach is adaptable and flexible to respond to organizational and regulatory change that helps companies achieve compliance through:

Measurable, effective and efficient internal control assessment, monitoring and reporting processes

The integration of the financial reporting and internal control processes

The adoption of technology to enable compliance with Sarbanes Oxley and to support financial and internal control reporting processes

The designation of process owners and participants, with clearly articulated roles and responsibilities and assigned accountability

Sustainability:

Lyndon Group’s comprehensive approach to long-term sustainability:

Reduce the cost of long term compliance

Optimize controls and related processes

Integrate financial reporting and internal control processes

Streamline management’s quarterly certification of financial results and controls

Redirect compliance efforts toward risk intelligence and away from risk aversion

Improve accountability throughout the organization

Readiness:

Our Sarbanes-Oxley specialists can work with you to develop “readiness projects” in preparation for external auditors to perform the attest function on your company’s internal controls in accordance with section 404 of the Sarbanes Oxley act. Through our experience working directly with the Big 4 and regional audit firms, we can provide you with invaluable insights to ensure your company’s internal control processes are sound and your documentation is complete.

Entity-level Programs and Controls:

We can help you assess corporate policies and procedures, risk assessment processes, controls to monitor the results of operations, assignment of authority and responsibility, fraud prevention efforts, and other company-wide programs applicable to all locations and business units. These programs and controls have a pervasive effect on the organization and can have significant consequences on the overall assessment of the effectiveness of internal control over financial reporting.

Sarbanes-Oxley Information Technology:

Because information technology is now recognized as critical for achieving the goals of the Sarbanes-Oxley Act, our IT professionals are skilled at quickly assessing the Sarbanes-Oxley-related IT implications specific to your organization. Visit our Information Technology page for more information.