Regulatory and SOX Compliance

Regulatory expectations are rising-and public companies, or those preparing to go public, face intense scrutiny. Emerytus Advisors' Regulatory and SOX Compliance practice helps companies establish and execute compliance frameworks that satisfy auditors, boards, and regulators-without distracting from the pace of business.

We support SEC registrants, SOX filers, and IPO-bound companies in developing right-sized, scalable compliance programs. From SOX readiness to control testing and external auditor coordination, we offer the rigor of former Big Four professionals with the agility of a business partner. We don't just get you compliant-we make sure you stay there, efficiently.

With Emerytus, compliance becomes a catalyst for clarity, not a burden.

"Laws control the lesser man ... Right conduct controls the greater one." - Mark Twain

Common challenges

  • SOX 404(a) and 404(b) compliance programs
  • IPO and SPAC-readiness assessments
  • SEC and PCAOB expectations alignment
  • Control testing strategy and execution
  • COSO framework implementation
  • Auditor support and issue resolution

Ways we can help

  • SOX compliance roadmaps and program charters
  • Risk and control matrices (RCMs)
  • Testing workpapers and audit support files
  • Remediation and readiness plans
  • Documentation aligned to regulatory expectations
  • Management reporting and control certification packages