Case Studies
Case Study #1
SOX Program Leadership - Large Accelerated Filer
Sox / Internal Controls
A rapidly growing pharmaceutical Large Accelerated Filer faced increasing compliance demands due to expansion through new products, customers, and acquisitions, requiring enhanced SOX internal control leadership and expertise. READ FULL STUDY >>
Case Study #2
Merger & ERP Implementation
ERP / Financial Transformation
A high-growth global manufacturing company in the electronics industry was merging with a public company (large accelerated filer) while simultaneously implementing a new ERP system, creating significant operational, reporting, and technical accounting challenges. READ FULL STUDY >>
Case Study #3
ERP System Implementation – Accounting Project Management
ERP / Financial Transformation
A privately held USA global manufacturing company of medical imaging products with approximately $1 billion in revenue and locations in the USA, Europe, Australia, and Japan was implementing an ERP system and required accounting expertise and project management leadership for planning, configuration, and testing both in the USA and Sydney, Australia. READ FULL STUDY >>
Case Study #4
Internal Controls Expertise & Project Planning
SOX / Internal Controls
An African company with approximately $12 billion in revenue and multiple subsidiaries wanted to provide in-house training to approximately 50 key accounting and audit executives and managers. The Company also required assistance developing a Company-wide internal control project implementation plan. READ FULL STUDY >>
Case Study #5
18 - Year SEC Reporting & SOX Leadership Engagement
SEC Reporting / Governance
An SEC-registered public company required additional leadership to design, implement, and monitor SOX internal controls, along with ongoing accounting and SEC reporting support. READ FULL STUDY >>
Case Study #6
Public Company IT Controls & Policy Implementation
IT Controls / Cybersecurity
A growing public company required enhanced IT policies, procedures, and a formal security and availability controls framework to address increasing operational and regulatory demands. READ FULL STUDY >>
Case Study #7
SOC 1 & SOC 2 Audit Leadership & Preparation
SOC Audit Execution & Readiness
Service organizations, including managed service providers (MSPs), required SOC 1 and SOC 2 reports to meet customer, regulatory, and operational assurance requirements, often needing guidance through initial adoption and ongoing compliance. READ FULL STUDY >>
Case Study #8
IT Controls - European Company
IT Controls / Cybersecurity
A privately owned European pharmaceutical company with over $3 billion in revenue and limited experience with SOX compliance in the USA required audit expertise to document IT controls relative to IT operations for a division being purchased by a US company. READ FULL STUDY
Case Study #9
Reconciliation, Remediation, & Control Stabilization $11B Public Bank
Remediation / Regulatory
A publicly traded bank with over $11 billion in assets experienced a breakdown in reconciliation procedures within outsourced transaction processing, resulting in control weaknesses, unreconciled balances, and regulatory scrutiny from state and FDIC examiners. READ FULL STUDY
Case Study #10
SOX and Internal Control Project Management Leadership Provided to an Energy Company
SOX / Internal Controls
A large public energy company with $6 billion in revenue and multiple subsidiaries was required to document and implement internal controls throughout the company and at various locations for Sarbanes Oxley (SOX) requirements. READ FULL STUDY
Case Study #11
Audit Expertise for a Regional Water Company
Audit Expertise / Transaction Leadership
A local public water company, with $77 million in revenue and $431 million in assets, acquired property and certain equipment pursuant to an acquisition agreement with a local municipality. Management required an independent consultant to perform steps to ensure certain aspects of the agreement were adhered to and reports provided were reliable. READ FULL STUDY
Case Study #12
Compliance Assistance Provided - Global Bank
Special Project / Regulatory
A worldwide bank with operations in Delaware required assistance with strategic planning and research efforts relating to compliance with the Community Reinvestment Act (CRA). The Delaware bank has assets approximating $28 billion and interest and other revenue of $2.8 million. READ FULL STUDY
Case Study #13
SOX Internal Control - Smaller Reporting Company (SRC)
SOX Internal Control
An SEC-registered public company on the verge of bankruptcy required outsourced internal control and compliance expertise to document management's monitoring of internal controls. The company had limited resources and accounting personnel and required an efficient approach to ongoing Sarbanes Oxley (SOX) Compliance efforts. READ FULL STUDY
Case Study #14
Controls - Large Public Company & Carve Out Transaction
Internal Control / Transaction Support Leadership
A large public company helicopter manufacturing division with limited accounting and compliance personnel was required by its corporate headquarters to document procedures for business processes and to identify financial reporting risks and controls in those processes. At the same time, management required accounting assistance in carving out a line of business for a sale transaction. READ FULL STUDY
Case Study #15
Implementation of ASC 606 - Revenue Recognition & ASC 326 - Credit Losses (CECL) Implementations - Regional Bank
Technical Accounting / Banking
A large regional bank and SEC reporting company required expertise to implement complex new accounting standards, including ASC 606 (Revenue Recognition) and later ASC 326 (Credit Losses Standard -CECL), impacting financial reporting, systems, and internal controls. READ FULL STUDY
Case Study #16
SOX Leadership - Smaller Reporting Company (SRC)
SOX Internal Control / IT Controls / Remediation
A public company and nationwide provider of full solution security services and revenue approximating $140 million required expertise and leadership to implement the COSO Framework. We assisted the company in documenting its risk assessment, enhanced business process documentation and controls, including IT and entity level controls, and assisted in developing ongoing monitoring plans and separate evaluations. READ FULL STUDY