Sarbanes-Oxley & J-SOX Compliance

Our compliance and risk professionals help businesses comply with the governing laws of the Sarbanes-Oxley Act (SOX) and the Financial Instruments and Exchange Laws (J-SOX).

Kaiser Services

Kaiser's SOX & J-SOX Compliance Experience

While many companies struggle with the complicated legislation comprising the U.S. Sarbanes-Oxley Act and the Japanese Financial Instruments and Exchange Laws, our seasoned and credentialed experts have the in-depth SOX/J-SOX knowledge and experience to help organizations implement and maintain successful compliance initiatives.


Our SOX/J-SOX teams include Certified Public Accountants (CPAs), Certified Internal Auditors (CIAs), Certified Information Systems Auditors (CISAs), Certified Sarbanes-Oxley Professionals (CSOXPs), and many others. We utilize our years of hands-on experiences working with clients across various industries to expedite regulatory compliance, strengthen internal control environments, simplify the implementation of best practices, and reduce the cost and complexity of ongoing compliance programs while adhering to current and evolving standards.

Why Rely on Kaiser Consulting's SOX/J-SOX Methodologies?

The skilled professionals who create and refine our SOX/J-SOX methodologies are the same Kaiser Consulting professionals who lead and manage our SOX/J-SOX engagements. Since the enactment of these complex pieces of legislation, our team has consistently developed, amended, and streamlined our techniques to function efficiently and deliver effective compliance results for clients of all sizes operating in all industries.

SOX/J-SOX SERVICES

We custom build valuable Sarbanes-Oxley Act (SOX) and Financial Instruments and Exchange Laws (J-SOX) compliance solutions to meet each client’s needs by adapting our methodologies to your circumstances.

Our SOX/J-SOX services include:

  • Project planning and management
  • Documentation of processes and controls, both business process and IT General Controls
  • Identification of key controls and missing controls
  • Testing and evaluation of the design effectiveness of controls
  • Development and execution of test plans for operating effectiveness
  • Optimization of controls by identifying and eliminating duplicate or redundant controls
  • Paperless electronic documentation of risk control matrices, test plans and all testing evidence, including documentation of review and approvals of all e-documents
  • Remediation and recommendations related to control gaps
  • Monitoring and reporting project results
  • Assist with responses to audit committees, governing boards, and external auditors  

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