Regulatory Compliance

Though Sarbanes-Oxley and banking industry regulations are nothing new, companies continue to struggle to meet compliance challenges in a complex marketplace while simultaneously focusing on moving business forward. Our dedicated Banking and Financial Services practice addresses the very specific needs of that highly-regulated industry, with a deep insight and tenured professionals who have sat in the seats of compliance and other industry executives. From Dodd Frank to formal consent orders, we’ve worked on all areas of banking compliance.


SolomonEdwards has been assisting our clients with Sarbanes-Oxley compliance since 2004, the first year that publicly-reporting companies needed to incorporate the new requirements of the legislation into their annual reporting cycle. The high cost of SOX compliance has become burdensome for some companies, and there is still ample opportunity to reduce compliance costs and improve quality for others. Alongside our clients, we were on the forefront, developing approaches for planning, documenting, testing and reporting on internal controls over financial reporting. We have continued to assist our clients with all aspects of SOX compliance activities, including control rationalization under Auditing Standard #5 and optimization and integration of technology for greater efficiency.


We assist our clients in all facets of their Sarbanes-Oxley compliance program, including:

  • Controls rationalization analysis
  • Controls testing and remediation
  • Evaluation of control design and effectiveness
  • Management reporting
  • Process and control documentation
  • Project planning and program management


Our team has the skill and expertise clients need to ensure that proper internal controls are in place to ensure full and complete SOX compliance year after year. Our core service capabilities encompass business advisory and professional staffing. We deliver our services to our clients across a spectrum of functional and industry verticals that enables us to provide the specific expertise and methodologies required to deliver outstanding results.