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SEC Services
“Recognizing achievements and challenges while laying the groundwork for future goals.”
Guidewell International is registered with the Public Company Accounting Oversight Board (PCAOB) in the United States, allowing us to offer audit and assurance services to US public companies (such as SEC issuers) and broker-dealers.
Our team works independently with audit committees and management to develop tailored audit plans, ensuring objective evaluations in today’s complex regulatory environment.
Public Audits for SEC Regulations
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We empower entities aiming for SEC registration, ensure significantly reduced turnaround times, and offer seamless and efficient services to navigate the complexities of SEC regulations, which is particularly beneficial for new companies.
- Development Stage Support: Assisting companies with compliance filings like S-1, F-1, and Reg-A filings.
- Diverse Company Assistance: Supporting publicly traded, mid-sized, and emerging-growth companies in Form 10K filings.
- Periodic Filing Reviews: Review of periodic filings such as Form 10Q.
- SEC Inquiry Assistance: Helping with responses to SEC comment letters and addressing inquiries.
- Audit Engagement Roles: Playing significant roles in audit engagements, even supporting multinational corporations’ parent entity auditors in adhering to PCAOB standards.
- Efficient Late Filling Assistance: Assisting in late filings like Form 10 and helping in achieving financial compliance if past deadlines were missed.
Sarbanes Oxley Compliance
SOX compliance, mandated by the Sarbanes-Oxley Act 2002, is a crucial annual requirement for US-based publicly traded companies. It involves the establishment of financial reporting standards, ensuring data security, monitoring breaches, maintaining electronic records for auditing, and demonstrating strict adherence to compliance requirements.
The Act simultaneously established the Public Company Accounting Oversight Board (PCAOB) to oversee audits of public companies operating under federal securities laws and registered broker-dealers with the Securities and Exchange Commission (SEC).
SOX compliance is a four-step process
- Designing, implementing, and testing internal controls
- Composing an annual statement on internal controls and their adequacy, signed by management and audited by a third party
- Providing Audited Financial Statements to the SEC
- Reporting significant changes to the public
Our Services
- Audit Report on Internal Controls by the Independent Auditor (Section 404)
- Attestation Report on Internal Control (Section 404)
PCAOB Inspection & Peer Review
PCAOB Inspection
Guidwell has successfully completed multiple PCAOB inspections in the past, thereby ensuring it complies with professional standards.
PCAOB inspections aim to assess the firm’s compliance with PCAOB standards, along with other regulatory and professional requirements applicable to its quality control system. The review also covers in depth examination of selected high risk areas to verify adherence to established standards and rules.
Peer Review
ICAI conducts firm’s Peer Review, this process checks the quality and effectiveness of firm’s audit and attestation services, ensuring compliance to technical standards and maintain top-notch professionalism.