SOX 404A Compliance

Going public is not the end of your journey. In fact, it is only just the beginning. As an emerging growth company, you still need to meet SOX 404A compliance requirements.

But don’t worry! At A2Q2, we have the blueprint to put in place to help your company breeze through the process.


SOX 404A compliance is as vital to your emerging growth company as oxygen is vital to life – And the reason is this.

SOX 404A requires that you start implementing effective Internal Controls Over Financial Reporting (ICFR). It’s a necessary step to build and protect public trust by reinforcing the internal controls that sustain the accuracy and reliability of published financial information.

So, SOX 404A compliance is a necessity, and NOT a recommendation.

After finally going public, your journey as a public company has only just begun. At this point, what you need to boost and maintain growth is investor confidence, and what you need to get investor confidence is the validation that comes from trust.

So, you see… SOX 404A compliance is not for public benefit alone, but it’s also a mechanism to help you kick start your growth as a public company.

What is SOX Compliance


We understand how vital a step it is for your emerging growth company to be SOX 404A compliant. That is why at A2Q2, we have put special procedures and mechanisms in place to help you build and maintain scalable processes for your internal controls. With this, you will be able to demonstrate the effectiveness of your internal controls by SOX compliance standards.

So, to the question of how we can help me you be in compliance with SOX 404A? Here’s the answer!

  • Project management: Project management is key to your success. It allows you to determine your status and who’s committed, and helps keep the members of your team accountable, responsible, consulted, and informed.
  • Planning: Put timelines together.
  • Risk assessment: Conduct business and IT risk assessments to determine your materiality, significant accounts, locations, and all systems related to financial reporting.
  • COSO 2013 mapping: This is your entity level control that sets the tone and makes sure you have the key controls in various areas according to the COSO 2013 Internal Control Framework. 
  • Segregation of duties.
  • System user permissions: We conduct a user permission analysis early, so that you can make changes and not have to do it when you become an accelerated filer. It typically covers your HR information, equit, payroll, procurement, and banking systems.
  • SOC 1 Type 2 report review and controls mapping.
  • Train your process owners: We teach your process owners a mindset change. We coach them on how to work in a public company environment, and give them the tools they need to be successful.
  • Manage your external auditors: Make sure you’re coordinated. We make sure your external auditors know what’s happening, and teach you what they expect from you.

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