SOx Compliance Is Closer Than You Think!

Becoming Sarbanes-Oxley compliant can be an expensive, time-consuming, painful distraction for small publicly traded companies. But it doesn’t have to be that way. Rose Financial Services provides an economical, efficient and focused solution.

See our Chart below for answers to some of your questions.

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Do I need a large internal accounting department?

No.  RFS trained professionals provide the full range of accounting functions at our shared services center or at your offices.

Your internal accounting department can be scaled down considerably resulting in cost savings, improved controls and relief from staffing and maintaining personnel and systems.

Section 404 requires extensive testing of internal controls. How can RFS help?

RFS has extensively documented the flow of transactions.  Our template will become the basis for your company’s procedures.  We’ve always adhered to a comprehensive set of internal controls and segregation of duties.

Companies can take the shortest and most cost effective route to Sox compliance by utilizing our well established policies and procedures.  Our clients have confidence that they will be able to maintain compliance year after year.

Does my CFO lose control?

Your CFO actually gains more control because RFS works under their guidance to meet your requirements.

CFO time is spent more productively focused on high value items, rather than routine tasks and compliance issues.

SOx compliance is very complex.  Can your staff handle it?

All RFS accounting personnel are degreed professionals and are either CPAs or on a CPA career track.  We have many publicly traded companies among our clientele and our staff is very familiar with SEC reporting requirements.

Your search for qualified accountants is over.  Our solution provides for back up staff, cross training, and redundancy.  Sick days, extended leaves, or even relocations are no longer a problem for you with a full time department at your disposal.

Can RFS assist with our audit?

RFS will help keep audit costs down through audit preparation and assistance.  We can even have most of the audit tasks performed at our location.

Working with RFS will provide lower costs and efficient use of CFO time.  RFS eases the difficulties surrounding SOx compliance for companies that have limited time and resources.


“Thank you for providing professional, responsive and value-added service that has exceeded our expectations.”
CFO of Public Biotech Firm

This company came to us as a publicly traded biotech firm. They had a set back with the FDA (Federal Drug Administration) which caused significant troubles. The company downsized by over 80%.

During the downsizing the company hired a bookkeeper, however they were not able to keep up with public (SEC) filing requirements. They decided to outsource their accounting to RFS. They are still with us today and are back in growth mode.

Financial Result: RFS assisted this biotech firm in restructuring for future growth while maintaining their SEC filing requirements.

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