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CSOX auditing, SOX Auditing and Financial Regulatory Compliance Auditing

ERE provides third party, impartial expertise in SOX auditing, CSOX auditing, and IT security compliance auditing for all standards and policies. We identify:

Compliance violations for specific control points.
Compare results with a client’s third party auditor’s SOX compliance checklist or other standard’s checklist.
Correlate security risks with compliance requirements for CSOX, Sarbanes Oxley and other standards.
Triage and prioritize compliance violations and security risks.
Specify mitigation steps for each compliance violation and security risk.

The scope of ERE Financial regulatory audits encompass:

Bill 198
SEC rule 17-a
Sarbanes Oxley

CSOX Auditing
ERE Bill 198 auditing service or CSOX auditing service assists executives and managers of corporations traded on Canadian stock exchanges to identify and mitigate liability. Both corporations and employees are now potentially exposed to law suits launched by shareholders who claim they have been misled.

SOX Auditing
The ISACA prescriptive document for IT security compliance for Sarbanes Oxley specifies many audit control points. Third party auditors often mandate compliance to these control points to their clients. ERE has experience and expertise with auditing to these control points, both with one time and 7/24 compliance audit services. For assistance to our clients we provide a SOX compliance checklist. Please see more about our 7/24 Compliance Monitoring Service.

Audit Report

The ERE audit report is clear, easy to understand, call to action oriented, and has directed content for both non technical executives and for the very technical operations team.

Knowledge Transfer

Extensive knowledge transfer before, during and post audit, assists the client to lever the maximum return on investment in the audit report.

Audit Methodology

The ERE standardized audit methodology ensures the client’s expectations are clearly, accurately set before commencement of the audit, and that their expectations are then met by the work product of the audit report.