MAR & SOX Compliance

Ensuring Regulatory Adherence and Internal Control Excellence. Stay confident in your organization's financial and operational integrity with our expert guidance.

  • MAR/SOX Compliance Assurance
  • Proactive Compliance Assurance
  • Value-Driven Security
  • Transparent Reporting
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Accorp's Guide to SOX Audit Success

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Process of SOX Compliance

Annual Risk Assessment and Business Process Documentation

Planning for Risk Assessment: Conducting comprehensive risk assessments on an annual basis to identify potential vulnerabilities.

Documentation Updates: Continuously updating business process documentation to reflect changes in operations and potential risks.

New Process Risk Identification: Identifying risks and controls for new processes or activities introduced within the organization.

Walkthroughs, Documentation, and Control Evaluation

Supporting Auditor Walkthroughs: Assisting auditors during walkthroughs of internal control processes, ensuring a thorough understanding.

Documentation Review: Providing support for updates to control documentation, ensuring accuracy and completeness.

Segregation of Duties (SOD): Evaluating segregation of duties and identifying any potential conflicts.

Control Design and Effectiveness Testing

Testing Control Design: Assessing the design of controls to ensure they are well-structured and capable of addressing identified risks.

Testing Control Effectiveness: Evaluating the operating effectiveness of controls to ensure they function as intended.

Internal Controls Assessment: Conducting control design and effectiveness testing for management’s internal controls assessment.

External Auditor Reliance: Providing support for controls relied upon by external auditors.

Remediation and Issue Resolution

Issue Identification: Identifying outstanding issues or control deficiencies through testing and evaluation.

Remediation Planning: Assisting in the development of remediation plans to address identified issues.

Implementing Remediation: Collaborating to implement remediation measures, ensuring control deficiencies are resolved effectively.

Re-evaluation and Reporting

Risk Re-evaluation: Revisiting risk assessments to assess changes and compare them to previous phases.

Results Presentation: Reviewing and presenting results and findings to management and audit committees for informed decision-making.

Our Clients


Accorp was instrumental in our MAR journey. Their expertise led to efficient compliance and a robust risk management framework.

Emily Anderson, Finance Controller, Australia

Accorp made SOX compliance smooth and valuable. Their attention to detail and collaboration were impressive. Highly recommended.

Carlos Rodriguez, Financial Analyst, Brazil

Accorp rescued us from the complexities of SOX compliance. Their experts provided a well-structured plan, proactive remediation, and cost optimization. Now, SOX is an opportunity for business enhancement.

Sophie Dupont, Audit Manager, France

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Who is obligated to adhere to MAR and SOX regulations?**
MAR (Market Abuse Regulation) is typically applicable to entities listed on European Union (EU) regulated markets, while SOX (Sarbanes-Oxley Act) primarily applies to publicly traded companies in the United States. However, the specifics of compliance may vary depending on the organization's structure, operations, and international presence.
What are the repercussions of failing to comply with MAR and SOX requirements?**
Non-compliance with MAR can result in significant fines and reputational damage. SOX non-compliance may lead to legal actions, financial penalties, or delisting from stock exchanges, impacting an organization's credibility and shareholder trust.
What entails a SOX compliance audit?**
A SOX compliance audit involves an independent evaluation of a company's internal controls, financial reporting processes, and adherence to SOX regulations. It ensures that financial information is accurate and reliable and aims to prevent fraudulent activities.
How frequently should organizations conduct SOX compliance audits?**
SOX compliance audits should be carried out annually by an independent auditor. This annual engagement is separate from internal audits to maintain objectivity and should be planned in advance, with results included in the annual financial reports for stakeholders.
Could you explain what internal controls are?**
Internal controls refer to the policies, procedures, and mechanisms put in place by an organization to safeguard its assets, maintain accurate financial records, and ensure compliance with regulations. They include measures to prevent fraud, ensure data security, and promote sound financial practices.
What are the key differences between MAR and SOX compliance?**
MAR primarily focuses on preventing market abuse, insider trading, and market manipulation within the EU's financial markets. SOX, on the other hand, concentrates on enhancing the accuracy and reliability of financial disclosures by publicly traded U.S. companies, emphasizing internal controls and corporate governance.
Is MAR applicable to non-EU companies trading on EU-regulated markets?**
Yes, non-EU companies listed on EU-regulated markets are subject to MAR regulations, ensuring a level playing field for all market participants and maintaining market integrity.
Can organizations be exempt from SOX compliance if they are not publicly traded?**
Generally, privately held companies are not subject to SOX compliance. However, if a private company plans to go public or is acquired by a publicly traded entity, it will likely need to comply with SOX regulations.

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