SOX Questionnaire

SOX 404(b) Estimate Questionnaire

Thank you for your interest in Weaver. Our 404 (b) Web Survey Tool below is designed to gain information about your organization for Weaver's Risk Advisory Services Team to provide you with an initial estimate for our assistance in preparation for your 404 (b) compliance efforts. Please complete the questionnaire below and press the submit button when complete. Your information will be reviewed by a Weaver Risk Advisory Services Partner in your location, and they will contact you within 24 hours upon receipt of your information with an initial fee estimate.

General Information

  1. What is your company's name?
  2. Where is your company's home office located?
  3. How many locations does your company have?
  4. Does your organization have international operations?
  5. What firm performs your company's external audit?
  6. Approximately how many employees does your company have?
  7. Approximately how many employees are there in your company's accounting department?
  8. What industry does your company operate in?

    If Other, please describe:
  9. Does your company have an internal audit department?

Risk Assessment

  1. When was the last time you performed / updated your organization's risk assessment?
  2. What have you identified as your most critical risks?

Entity Level Controls

  1. Have you identified key, entity level controls that assist management with managing the business and reviewing the accuracy of financial data?
  2. Have you established, and performed the following entity level controls? (click all that apply)

  3. How would you rate your company's internal segregation of duties?

General IT Controls

  1. How many key financial reporting systems does you organization use?
    Please name systems:
  2. How would you describe the level of reliance on financial information systems for integrity of financial reporting?
  3. How many people are there in your organization's IT Department?

Significant Activities and Processes

  1. Of the activities listed, which would you consider "significant" for your organization? (click all that apply)


    Are there any activities you consider significant that are not listed above? Please list.
  2. For purposes of management's assessment on internal control does your company have process and control documentation in place for your identified significant activities?
    If yes, what does your documentation include? Please check all that apply.
    If yes, how would you rate the detailed nature of your current process documentation?
    If yes, have the documented controls been tested for effectiveness in prior periods?
    If yes, how many controls did you test?
    Of the controls tested, approximately what percentage were found to be effective?
  3. Has your external auditor reviewed and agreed with your company's process documentation?
  4. Does your organization outsource any of their financial related functions? (i.e.., Payroll, HR, IT, etc.)
    If yes, is a SAS 70 report available from these service providers?
  5. Overall, including financial processes and IT, how would you rate your organization's control environment?

Closing and Contact Information

  1. What is your target fee range?
  2. Is there any other information you would like us to know or consider in our preparation of an estimate of the time required to assist in management's compliance with SOX 404(b)?
  3. Please enter contact information (name, title, email, phone number).
    Name
    Title
    Email
    Phone

Thank you for your time and interest in Weaver! We will review your responses and be in contact with you within 24 hours with an initial estimate. If you have completed the survey and are satisfied with all responses, please press the SUBMIT button now.