Trusted Expertise for Regulatory Excellence
Meeting SEC, Sarbanes-Oxley (SOX), and related compliance standards requires precision and patience. At Reiff Valliant & Co., we bring extensive experience working with corporate legal teams to deliver solutions that align with the highest regulatory expectations.
Navigating the complexities of financial and operational compliance requires deep expertise and a methodical approach. SEC compliance focuses on transparent and accurate disclosures for investors, while Sarbanes-Oxley (SOX) emphasizes internal controls and accountability in financial reporting. At Reiff Valliant & Co., we specialize in designing solutions that align with these stringent standards while safeguarding your business and reputation.
Our Approach
Our team combines regulatory knowledge with a collaborative approach, ensuring compliance across all touchpoints. Here’s how we deliver results:
Regulatory Differentiation
Understanding the nuances between SEC disclosures, SOX internal controls, and additional frameworks like FINRA.
Collaborative Refinement
Partnering with corporate legal, compliance, and finance teams to align solutions.
Data Integrity Audits
Ensuring accuracy in financial data and operational processes.
Comprehensive Documentation
Supporting audits with detailed, transparent records.
Compliance Technology
Implementing tools to monitor, track, and maintain regulatory adherence.
Key Features
Our SEC, SOX, and Related Compliance services include
SOX Internal Controls
Testing and validating systems to meet the Sarbanes-Oxley Act’s financial accountability standards
SEC Compliance Support
Ensuring timely and accurate investor disclosures and filings
FINRA Guidelines
Assisting financial institutions with adherence to FINRA’s operational and ethical regulations
Ongoing Monitoring
Staying ahead of regulatory changes to ensure long-term compliance
Data Security Protocols
Fortifying systems to protect sensitive financial information
Audit Preparation
Streamlining the process with organized, accessible documentation
Why Choose Reiff Valliant & Co. for SEC & SOX Compliance?
At Reiff Valliant & Co., we recognize that compliance isn’t just about meeting deadlines—it’s about building trust and transparency. With expertise across SEC, SOX, FINRA, and related frameworks, we provide the guidance and tools you need to navigate even the most complex regulatory environments. Whether you’re preparing for an audit, improving internal controls, or ensuring ethical operations, we’re here to help.
Let’s create something extraordinary. From regulatory filings to internal processes, we’re here to support your compliance journey.