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Compliance...  

ICCE Consulting can assist you to fulfil your organisations regulatory obligations.  We  can  develop conprehensive compliance programs,  review existing controls for effectiveness and document compliance policies and procedures.  We can perform risk assessments, undertake implementation of  remediation actions, perform periodic compliance monitoring and conduct training sessions  to raise staff awareness  of compliance obligations and requirements.

Basel II

Financial institutions are faced with the continuing challenge  of collecting accurate, complete and consistent data  and managing  the risk of loss resulting from inadequate or failed internal processes, people and systems, or from external events.

We are  specialist in developing operational risk management programs for financial institutions, providing a gap analysis, identification of operational risk areas and key risk indicators, methodology to quantify key risks, process documentation and an implementation plan for compliance.

Sarbanes-Oxley

Section 404 of Sarbanes-Oxley (SOX) requires management of every company to include an evaluation of its internal controls over financial reporting in its annual report.   We understand the intracacies of Sarbanes-Oxley compliance,  have a pragmatic  approach to  SOX and can be of particular assistance to smaller businesses and non-accerelated filers.   We are completely independent and  so can provide an objective evaluation of the control environment without any conflict of interests.

We offer a comprehensive range of service levels including full implementation, project setup and management.  We plan and scope SOX work,  provide documentation, testing and remediation services, optimise your organisation's  internal control environment and improve your organisation's overall processes.We promote a risk-based approach to scoping control activities over financial reporting.  Our approach is sustainable,  allowing your organization to create a repeatable, integrated process from day one.

ICCE Consulting can also perform a preliminary assessment of your organisation's internal control environment to prepare your organisation  for SOX, measure your organisation's existing compliance strengths and weaknesses. 

SAS 70

Third party service organisations that  provide  IT and data processing services are required to demonstrate that adequate controls and procedures are in place to safeguard and ensure the integrity of their client's data. 

A Statement on Auditing Standards 70 (SAS 70) audit, conducted by an independent third party is required to provides this assurance.   ICCE Consulting has the expertise to audit the client's internal controls and work with both client and the third party testing firm  to complete the SAS 70 report.