Audit Serve, Inc.

The Premier Audit, Security and SOX Consulting Company

Sarbanes-Oxley Ongoing Compliance 
SOX Consulting Services

Development of Risk Control Matrices

Development of Test Execution Procedures

Negotiation  of Summary of Audit Deficiencies submitted by External Auditors

Project Advisory Services to support Management's Assertions

SOX Restructuring

- Identify & remediate control gaps but previously identified
- Streamlining of controls and testing
- Reduction of SOX in-scope processes

Pre-established Teams to perform External Audit SOX Engagements

Section 404 Quarterly Testing Services

Audit Serve provides independent testing services using the existing control design established by 
your organization.  As part of the quarterly test, we can perform a control validation to ensure 
control have not changed prior to testing.                      

Section 404 IV & V Services

The external auditors interpretation of the 404 requirements has been changing each month.  
Audit Serve has been directly involved with two of the four major external audit firms and 
has the latest information regarding type and level of testing which is required along with the 
test documentation requirements.

The purpose of the IV&V review is to perform a 1 - 4 week review (depending on the size on 
the organization) to assess whether the following:

• Verify proper inclusion of in-scope financial processes, applications, databases and servers
• Verify proper scope of coverage for controls 
• Verify that controls have been adequately defined
• Validate adequacy of process used to perform control evaluations 
• Assess control remediation strategies and design
• Assess test procedures
• Assess the adequacy of testing to which includes sample period and size requirements
• Assess the adequacy of the test documentation

At the end of the engagement a presentation will made to management which 
will indicate project areas which have met and not met the requirements to support management
assertions of the controls used to generate the financial statements.  In addition, 
recommendations will be provided to allow for the project to meet the requirements of the
external auditors to secure an opinion which will not produce any material weaknesses.   
Audit Serve is also available to assist in the negotiation with the external auditors in order to
receive a favorable opinion.

Pre-Implementation Review of Sarbanes-Oxley Impacted Systems 

The purpose of this service is to provide management with an independent assessment of whether new 
systems will resolve Sarbanes-Oxley control issues identified in the replacement systems and whether
new Sarbanes-Oxley issues will arise from the implementation of the new system.

Contact Mitchell Levine to receive  a free proposal of services which includes: 
detailed project tasks, estimated labor costs and estimated travel expenses

Phone: (203) 972-3567 FAX: (203) 972-3367 email: information@auditserve.com
Audit Serve, Inc.
27 Pine Street, Suite 700
New Canaan, CT 06840  USA

Technical Articles | Conferences | Audit Programs | Audit Serve Seminars | Consulting Services | Audit Vision Newsletter | What's New | Contact US

This website has been optimized for Netscape and Internet Explorer 4.0 and above.  Your comments and suggestions are always welcome, please email webmaster@auditserve.com.
Copyright © 2000  All rights reserved.  27 Pine Street, Suite 700, New Canaan, CT 06840 USA.