Neutral PartnersOrlando, Florida
- What they do
- Compliance consulting
- Who they help
- Its website offers consulting for SOX, ISO 27001, SOC 2, HIPAA, PCI DSS and more.
- Standards
- Pricing
- Not published
SOX ICFR
Section 404 of the Sarbanes-Oxley Act requires management of a U.S. public company to assess and report each year on the effectiveness of internal control over financial reporting (ICFR), and, for accelerated and large accelerated filers, requires the company's external auditor to attest to that control environment under PCAOB Auditing Standard 2201.
Sections 302 and 906 add quarterly and annual certifications by the CEO and CFO. Most companies build their assessment on the COSO 2013 Internal Control Integrated Framework.
On paper, a company needs documented control narratives or matrices for each significant process, a risk assessment tying controls to financial statement assertions, evidence of management's testing, a formal evaluation of deficiencies, the management report included in the Form 10-K, and the sub-certification trail behind the 302 certifications.
Policies for financial close, journal entries, access, change management, and entity-level governance sit underneath all of it.
Share
Ad from the publisher
SOX
help
help
Consultants Assessors Quotes
Matched3 quotesone form
The Shortlist is Yoursfrom this directory
Comply the Modern WayFind help with SOX ICFR
01
Listings sourced
A card shows a public register or the date we read the firm’s website
02
Published prices where they exist
“Quote only” where we confirmed it, “Not published” where we have not
03
Up to three quotes, one form
Firms don’t see you until you choose
House ad. This slot is open to firms listed for this page.
Get help →Advertise here →
Who has to comply
SEC registrants filing annual reports. Section 404(a) management assessment applies to all filers after their first annual report. Section 404(b) auditor attestation applies to accelerated and large accelerated filers; non-accelerated filers and emerging growth companies are exempt from 404(b).
What the assessor asks to see
The auditor asks for the scoping and risk assessment, entity-level control documentation, process narratives and control matrices, IT general control documentation for in-scope systems, management's test plans and results, the deficiency evaluation and aggregation analysis, remediation status, service organization SOC 1 reports and complementary user entity controls, the financial close checklist and journal entry review evidence, and the certification and sub-certification trail.
Where the requirement sits: SOX 302, 404; 406 code of ethics; PCAOB AS 2201
AS 2201 amendments
The PCAOB lists a version of AS 2201 with amendments effective December 15, 2026, alongside the current standard effective for fiscal years beginning on or after December 15, 2024.
Who helps with SOX ICFR
A very large ecosystem of SOX advisory practices, internal audit co-sourcing firms, and GRC tool providers. Engagements typically cover scoping and risk assessment, control documentation, management testing, remediation tracking, and coordination with the external auditor; first-year public companies usually run a readiness project before their first 404(a) report.
Firms that name this framework in their own material. A listing is not a recommendation. Each firm can confirm its own.
Listed in random order, reshuffled each time the page loads. Firms that pay for a listing are shown at the top, labeled Sponsored.
Echelon CyberUSA
- What they do
- Compliance consulting
- Who they help
- Its website offers consulting for SOX, ISO 27001, SOC 2, HIPAA, CMMC and more.
- Standards
- Pricing
- Not published
VISTA InfoSecMumbai, India
- What they do
- Compliance consulting
- Who they help
- Its website offers consulting for SOX, ISO 27001, SOC 2, HIPAA, PCI DSS and more.
- Standards
- Pricing
- Not published
Pine Advisor SolutionsDenver, CO, USA
- What they do
- Compliance consulting
- Who they help
- Its website offers consulting for SOX, SEC 206(4)-7. Named as outsourced chief compliance officer by 10 SEC-registered investment advisers in 2023 to 2024 Form ADV filings.
- Standards
- Pricing
- Not published
CitsapHouston, TX, USA
- What they do
- Compliance consulting
- Who they help
- Its website offers consulting for SOX, SOC 2, CMMC, NIST 800-171, PCI DSS and more.
- Standards
- Pricing
- Not published
Control LogicsTampa, FL, USA
- What they do
- Compliance consulting
- Who they help
- Its website offers consulting for SOX, ISO 27001, SOC 2, HIPAA, GDPR and more.
- Standards
- Pricing
- Not published
Prodigy 13New York, NY, USA
- What they do
- Compliance consulting
- Who they help
- Its website offers consulting for SOX, HIPAA, PCI DSS, GDPR, FedRAMP and more.
- Standards
- Pricing
- Not published
Vertex11Ashburn, VA, USA
- What they do
- Compliance consulting
- Who they help
- Its website offers consulting for SOX, SOC 2, HIPAA, CMMC, GDPR and more.
- Standards
- Pricing
- Not published
Echelon Risk + CyberPittsburgh, PA, USA
- What they do
- Compliance consulting
- Who they help
- Its website offers consulting for SOX, CMMC, NIST 800-171, NIST CSF.
- Standards
- Pricing
- Not published
Meraki Innovatory IncMissouri City, Texas, USA
- What they do
- Compliance consulting
- Who they help
- Its website offers consulting for SOX, ISO 9001, ISO 45001, ISO 42001, ISO 13485 and more.
- Standards
- Pricing
- Not published
My ISO ConsultantsCrestline, CA, USA
- What they do
- Compliance consulting
- Who they help
- Its website offers consulting for SOX, SOC 2, ISO 9001, HIPAA, CMMC and more.
- Standards
- Pricing
- Not published
UniSense AdvisoryGurugram, Haryana, India
- What they do
- Compliance consulting
- Who they help
- Its website offers consulting for SOX, ISO 27001, HIPAA, GDPR, NIST CSF and more.
- Standards
- Pricing
- Not published
Veave Technologies Pvt. Ltd.Bangalore, Karnataka, India
- What they do
- Compliance consulting
- Who they help
- Its website offers consulting for SOX, ISO 27001, SOC 2, ISO 9001, HIPAA and more.
- Standards
- Pricing
- Not published
BD EmersonRichmond, VA, USA
- What they do
- Compliance consulting
- Who they help
- Its website offers consulting for SOX, SOC 2, CMMC, NIST 800-171, PCI DSS and more.
- Standards
- Pricing
- Not published
Cyber Defense AdvisorsTampa, FL, USA
- What they do
- Compliance consulting
- Who they help
- Its website offers consulting for SOX, SOC 2, HIPAA, CMMC, PCI DSS and more.
- Standards
- Pricing
- Not published
ArcherHall (formerly Vestige Ltd)USA, multiple offices
- What they do
- Compliance consulting
- Who they help
- Its website offers consulting for SOX, ISO 27001, SOC 2, HIPAA, CMMC and more.
- Standards
- Pricing
- Not published
Secured IT SolutionsNevada, USA
- What they do
- Compliance consulting
- Who they help
- Its website offers consulting for SOX, ISO 27001, HIPAA, CMMC, PCI DSS and more.
- Standards
- Pricing
- Not published
Netrix GlobalUSA
- What they do
- Compliance consulting
- Who they help
- Its website offers consulting for SOX, ISO 27001, SOC 2, HIPAA, CMMC and more.
- Standards
- Pricing
- Not published
Cantey Tech ConsultingNorth Charleston, SC, USA
- What they do
- Compliance consulting
- Who they help
- Its website offers consulting for SOX, ISO 27001, HIPAA, CMMC, NIST 800-171 and more.
- Standards
- Pricing
- Not published
CompassMSPWest Hartford, CT, USA
- What they do
- Compliance consulting
- Who they help
- Its website offers consulting for SOX, ISO 27001, SOC 2, HIPAA, CMMC and more.
- Standards
- Pricing
- Not published
Daymark Solutions Inc.Burlington, MA, USA
- What they do
- Compliance consulting
- Who they help
- Its website offers consulting for SOX, ISO 27001, HIPAA, CMMC, NIST 800-171 and more.
- Standards
- Pricing
- Not published
Justice IT ConsultingBurleson, TX, USA
- What they do
- Compliance consulting
- Who they help
- Its website offers consulting for SOX, HIPAA, CMMC, DFARS, GLBA / FTC Safeguards.
- Standards
- Pricing
- Not published
MalleumOttawa, ON, Canada
- What they do
- Compliance consulting
- Who they help
- Its website offers consulting for SOX, ISO 27001, SOC 2, HIPAA, CMMC and more.
- Standards
- Pricing
- Not published
Mirai SecuritySeattle, WA, USA
- What they do
- Compliance consulting
- Who they help
- Its website offers consulting for SOX, ISO 27001, SOC 2, HIPAA, CMMC and more.
- Standards
- Pricing
- Not published
NovacoastWichita, KS, USA
- What they do
- Compliance consulting
- Who they help
- Its website offers consulting for SOX, ISO 27001, HIPAA, CMMC, NIST 800-171 and more.
- Standards
- Pricing
- Not published
NuViewPortsmouth, NH, USA
- What they do
- Compliance consulting
- Who they help
- Its website offers consulting for SOX, ISO 27001, SOC 2, HIPAA, CMMC and more.
- Standards
- Pricing
- Not published
Systems EngineeringPortland, ME, USA
- What they do
- Compliance consulting
- Who they help
- Its website offers consulting for SOX, HIPAA, CMMC, NIST 800-171, PCI DSS and more.
- Standards
- Pricing
- Not published
ThriveonEden Prairie, MN, USA
- What they do
- Compliance consulting
- Who they help
- Its website offers consulting for SOX, SOC 2, HIPAA, CMMC, NIST 800-171 and more.
- Standards
- Pricing
- Not published
46SolutionsLexington, KY, USA
- What they do
- Compliance consulting
- Who they help
- Its website offers consulting for SOX, HIPAA, PCI DSS, GLBA / FTC Safeguards.
- Standards
- Pricing
- Not published
Alvarez Technology GroupSalinas, California, USA
- What they do
- Compliance consulting
- Who they help
- Its website offers consulting for SOX, CMMC, PCI DSS.
- Standards
- Pricing
- Not published
Tego Data SystemsRaleigh, NC, USA
- What they do
- Compliance consulting
- Who they help
- Its website offers consulting for SOX, ISO 27001, SOC 2, CMMC, NIST 800-171 and more.
- Standards
- Pricing
- Not published
Cyber Security Solutions (CSS)Tampa, FL, USA
- What they do
- Compliance consulting
- Who they help
- Its website offers consulting for SOX, ISO 27001, SOC 2, HIPAA, CMMC and more.
- Standards
- Pricing
- Not published
Craft Compliance
- What they do
- Compliance consulting
- Who they help
- Its website offers consulting for SOX, SOC 2, HIPAA.
- Standards
- Pricing
- Not published
Accent ConsultingLafayette, Indiana, USA
- What they do
- Compliance consulting
- Who they help
- Its website offers consulting for SOX, HIPAA, CMMC, PCI DSS, NIST CSF and more.
- Standards
- Pricing
- Not published
Hoop5 NetworksEscondido, CA, USA
- What they do
- Compliance consulting
- Who they help
- Its website offers consulting for SOX, SOC 2, HIPAA, CMMC, NIST 800-171 and more.
- Standards
- Pricing
- Not published
Atlas One Security, Inc.Pasadena, California, USA
- What they do
- Compliance consulting
- Who they help
- Its website offers consulting for SOX, ISO 27001, NIST CSF.
- Standards
- Pricing
- Not published
RiveronDallas, Texas, USA
- What they do
- Compliance consulting
- Who they help
- Its website offers consulting for SOX, ISO 27001, SOC 2, HIPAA, CMMC and more.
- Standards
- Pricing
- Not published
Jones ITSan Francisco, CA, USA
- What they do
- Compliance consulting
- Who they help
- Its website offers consulting for SOX, ISO 27001, SOC 2, HIPAA, CMMC and more.
- Standards
- Pricing
- Not published
Dopkins & Company, LlpBuffalo, New York, USA
- What they do
- Compliance consulting
- Who they help
- Its website offers consulting for SOX.
- Standards
- Pricing
- Not published
ITASC SolutionsCalifornia, USA
- What they do
- Compliance consulting
- Who they help
- Its website offers consulting for SOX, ISO 27001, SOC 2, HIPAA, PCI DSS and more.
- Standards
- Pricing
- Not published
Who assesses SOX ICFR
Management performs the 404(a) assessment. The 404(b) attestation must be issued by a public accounting firm registered with the PCAOB, applying AS 2201 as part of the integrated audit. Accredited by Public Company Accounting Oversight Board (registration and inspection of audit firms), under SEC oversight.
Public register of assessors: pcaobus.org ↗
Listed in random order, reshuffled each time the page loads. Firms that pay for a listing are shown at the top, labeled Sponsored.
Deloitte & Touche LLPOn the public register
- What they do
- Assessor
- Which standards
- On the public register for SOX ICFR.
- Standards
- Pricing
- Not published
Ernst & Young LLPOn the public register
- What they do
- Assessor
- Which standards
- On the public register for SOX ICFR.
- Standards
- Pricing
- Not published
KPMG LLPOn the public register
- What they do
- Assessor
- Which standards
- On the public register for SOX ICFR.
- Standards
- Pricing
- Not published
PricewaterhouseCoopers LLPOn the public register
- What they do
- Assessor
- Which standards
- On the public register for SOX ICFR.
- Standards
- Pricing
- Not published
Tools for SOX ICFR
Tools that name this framework in their own material.
Grouped by type. Inside each group the order is random, reshuffled each time the page loads.
GRC and compliance automation10 tools
Controls, evidence and audit workflows, with a policy module inside.
Diligent Policy ManagerDiligent (Diligent One; ex-HighBond/Galvanize)GRC suite (policy module)Quote onlyScytaleCompliance automation platform with a compliance-expert serviceNot publishedCompylAI GRC and compliance automation platformNot publishedOptroEnterprise GRC platformNot publishedRegScaleContinuous controls monitoring and compliance automation platformNot publishedSAI360Chicago, IL, United StatesCompliance management platform for ethics, risk and regulatory complianceQuote onlyVComplyPalo Alto, CA, United StatesGRC and compliance automation platformPrice publishedPathlockDenver, CO, United StatesCompliance-centric identity governance and GRC platformNot publishedArcherUnited StatesGRC platform for enterprise risk, compliance and auditQuote onlysmartGRCWroclaw, PolandAI agent platform for SAP access governancePrice published
Related reading
- Trends in Public Company Material Weaknesses: Insights from Recent SEC DataAnalysis of 8,000-plus filings showing which control areas fail most often and how rarely material weaknesses are remediated first time.Baker Tilly
- Material Weakness in Internal Controls: The Real ImpactsDistinguishes a deficiency from a significant deficiency and a material weakness, and sets out what disclosure of each actually costs a company.EisnerAmper
Independent third-party explainers, chosen by hand. Not affiliated with this site and not paid placements. All links are nofollow.
Need a hand implementing it?
Find a Consultant for SOX ICFR
Tell us what you need done and we will point you to firms that do this work. Your details go to a firm only when you choose it.
Not sure where to start?
Get Help with SOX ICFR
Tell us what you are trying to put in place. We will point you to the right tool, a consultant who can implement it, or both.