Services
NI 52-109 / SOX Certification
Ensuring transparency, accuracy, and timeliness of your disclosures
Canadian National Instrument 52-109 Certification of Disclosure in Issuers’ Annual and Interim Filings (NI 52-109), and the US Sarbanes-Oxley Act (SOX), require the CEO and CFO of publicly traded companies to personally certify the design and operating effectiveness of their company’s disclosure controls and internal controls over financial reporting.
Cost-effective compliance
POWELLDORIAN provides assistance with all stages of the certification process and understands every phase of the compliance process. Our team has assisted publicly traded companies with all aspects of documenting and testing disclosure controls and procedures and internal controls over financial reporting.
In developing a certification compliance process, our professionals work closely with your organization to design a cost-effective, practical framework and compliance program. We will also train your employees to maintain documentation and processes to support certification and ensure a sustainable certification process.
Relying on our extensive experience in risk assessment and internal audit, our professionals adopt a risk-based, top down approach to ensure focus is placed on high risk areas and key controls. We employ easy to use, in-house developed documentation templates and processes enabling efficient ongoing maintenance.
Wherever you are in your certification project, PowellDorian will work with your management team and other key stakeholders to implement a robust, sustainable process for evaluating internal controls on a regular basis. Using internationally recognized control frameworks and best practices, we can assist you in meeting your compliance requirements and providing the assurance your stakeholders need over transparency, accountability, and timeliness of information.
What we can do for you
PowellDorian’s professionals have assisted clients in the following ways and can do the same for you:
- Project management
- Financial reporting and disclosure risk assessments and key risk identification
- Process and control mapping, template design and documentation
- Testing design of disclosure and financial reporting controls
- Testing operating effectiveness of disclosure and financial reporting controls
- Testing of information technology controls related to financial reporting
- Development of policies and procedures around disclosures and control over financial reporting
- Review and assessment of governance structure, policy, control environment and “tone at the top”
- Ongoing assessment, compliance development and testing
We’re here to help
POWELLDORIAN’s ability to develop customized, cost-effective, and practical solutions, and our experience in training and knowledge transfer will enable your employees to efficiently maintain your compliance program and certification initiatives.
Contact us and schedule a complimentary meeting to learn how you can implement a successful certification compliance program, or call 1.778.588.7210 to discuss the specific needs of your organization.
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Warren Newton, MBA, CIA Vice President, Internal Audit & Advisory Services |
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+1.778.588.7259 |
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