Sarbanes-Oxley Compliance
Foreside’s Sarbanes-Oxley (SOX) professionals interact with recognized service providers, audit firms and advisers, and continuously monitor emerging regulatory requirements to ensure your funds remain compliant.
Foreside’s Sarbanes-Oxley Services
With a variety of SOX services, we can meet your specific needs. Foreside can:
- Provide a qualified professional to serve as Principal Financial Officer or Principal Executive Officer of your fund
- Establish, maintain and/or supervise fund disclosure controls and procedures
- Review and certify Form N-CSR, Form N-Q and SOX Sections 302 and 906
- Attend Board meetings and present materials to the Board and/or audit committee
- Participate in valuation committee meetings
- Establish internal and external controls over financial reporting and sub-certifications
- Oversee the fund’s budgeting process, including the procedures and authorizations under which the fund administrator makes payments
- Perform a due diligence review of fund service providers’ operations
- Review the fund service providers’ policies to ensure compliance with Board policies
- Serve as liaison to the fund’s auditor and audit committee
- Provide representation at SEC examinations
- Review all shareholder communications
- Consult with other certifying officers as necessary
- Assist with contract negotiations
