Client stories
Notes from finance leaders who worked through readiness assessments, evidence folders, and remediation with our team.
SOX Readiness Assessment
The readiness assessment caught that our monthly JE review existed on paper but the reviewer never saw the full unposted batch. Fixing that before year-end saved us a painful finding.
Mei-Ling Chen — Controller, electronics manufacturer, New Taipei
Fieldwork weeks were intense for our AP team; we should have blocked calendars earlier.
Control Documentation Review
Their documentation review flagged missing timestamps on three key controls we had assumed were fine. We rewrote the folders in two weeks and the external auditors reused the workpapers.
David Huang — Internal Audit Manager, listed group subsidiary
Management Assertion Workshops
We used the assertion workshop with our audit committee. Members finally asked concrete questions about estimate reviews instead of nodding through slides.
Rachel Lin — CFO, consumer goods company
Gap Remediation Support
Remediation support meant sitting with payroll and redesigning the dual-approval path, not sending another PDF of recommendations. The control now matches how the team actually works.
James Wu — Finance Director, logistics firm
Control Testing Walkthroughs
Testing walkthroughs produced samples our Big Four team accepted with only minor follow-ups. The control ID filing system alone was worth the engagement.
Anita Chang — SOX Program Lead, semiconductor supplier
Extended story: first-year scope at an electronics manufacturer
A New Taipei controller engaged us eight months before year-end fieldwork. The parent had added SOX requirements after a US listing. Existing narratives described ideal approval paths that AP staff no longer followed after an ERP change.
During the readiness assessment we walked revenue, purchasing, and close with the actual owners. Twelve design gaps were ranked; four related to journal-entry review authority. Remediation weeks redesigned the review checklist and rebuilt evidence folders by control ID. External auditors reused the interim testing samples with only minor follow-ups.
The constraint that mattered most was calendar access: AP needed protected mornings for walkthroughs. Once those were booked, the rest of the engagement moved on schedule.
Extended story: documentation cleanup before busy season
An internal audit manager at a listed subsidiary asked for a documentation review only — no full readiness assessment. We examined thirty-eight control folders and flagged missing timestamps, reviewer titles that no longer matched HR records, and frequency mismatches on three daily controls evidenced monthly.
The team spent two weeks rewriting folders. They declined remediation support for segregation-of-duties issues in a three-person close team; we documented compensating reviews instead and noted residual risk for management. That honesty kept the work usable when the external auditor arrived.