The continuous business development, corporate reorganizations and/or demergers companies are very frequent. The company in scope has decided to split from the Group Company and to be quoted on the American Market. The company must comply with American legislative obligations and therefore have to be compliant with the SOX Regulation.
Taking a tailored approach to meet the unique needs of each of our clients, we supported the client to reach the compliance level required from the SOX Regulation. We therefore carried out an assessment to verify the level of SOX maturity in relation to the processes in scope (access management, change management, IT Operation). We defined and shared with the Company actions to manage remediations according to the gaps identified during a SOX assessment.
Our actions included:
- Designing of IT General Control Matrix
- Supporting the Client in identify the test strategy and the ownership of the control
- Supporting the Client in the interviews process related to the SOX parameters
- Analysing the evidences related to the IT General Control to verify the design and completeness and the correctness of the control operativity
- Gap analysis and identification of the remediation activities