PCAOB Audits & SEC Compliance

PCAOB Audits & SEC Compliance2018-11-12T15:41:00+00:00

PCAOB-Image (1)CRI delivers value by driving independence and objectivity to the intersection of management needs and the public interest.

CRI serves as the independent auditor of record for micro- and mid-cap public companies in a wide range of industries. We have in-depth experience with construction, financial services (banks and insurance), healthcare, manufacturing and distribution, and utility companies. We are also registered with the PCAOB, which oversees and monitors CPA firms providing audit services to SEC Registrants and Issuers.

Client engagement and collaboration. Three parties (the audit committee, management, and CRI) are operating in an increasingly complex environment and must work in concert to develop a comprehensive yet efficient audit plan to objectively assess and reduce risk while meeting regulatory guidelines. The labyrinth of reporting and compliance requirements that impact audit committee members and management is often time-consuming and overwhelming. CRI utilizes experience and understanding to deliver straightforward advice that cuts through the clutter. We know that the best working relationships come down to our people translating expertise into proactive solutions through continuous, “plain English” dialogue.

Resources. With offices across 25+ markets and support from PrimeGlobal, our international alliance of independent accounting firms, we stand ready to meet your needs and provide insights to improve your processes and bottom line. The CRI team includes auditors, tax professionals, IT consultants, forensic accountants, and business advisors with thorough knowledge of SEC and Public Company Accounting Oversight Board (PCAOB) rules and regulations. We blend technical skills, industry-specific skills, and years of experience while providing the highest quality of service and advice.

Assistance. Whether you’re pre-IPO, a periodic reporter, or evaluating a potential transaction, we can help your team throughout your business’ lifecycle with services such as acquisition audits, form filings (e.g., annual 10Ks and 11Ks, quarterly 10Qs, periodic 8ks), initial public offerings (IPOs), internal audit co/out-sourcing, registration statements, and Sarbanes-Oxley (SOX) 404 compliance.

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Solutions Simplified 

Down-to-earth descriptions of our services.

Initial & Secondary Public Offerings

IPOs and other registration statements may require any combination of audited historical financial statements, reviewed interim financial statements, up-to-date disclosures, and/or compliance with SOX. In addition to those items, the underwriters may request the issuance of comfort letters. CRI delivers experience in IPOs, as well as secondary offerings.

PCAOB Audits

Not all audits are the same. Audits under the PCAOB’s standards have their own rules that are different from auditing standards generally accepted in the United States. As a PCAOB-registered firm, we provide training and education to our teams to stay abreast of the latest PCAOB rules. View our latest PCAOB Inspection Report.

Periodic Filing Requirements

CRI’s SEC team assists in the preparation of annual and quarterly reports to meet periodic filings requirements of the 1934 Act. By asking the right questions and engaging in educated dialogue with clients, CRI provides significant value and responsiveness in the preparation of periodic filings.

SEC Compliance

New accounting standards and SEC interpretations are issued all the time, and it’s especially difficult for smaller reporting companies to keep up. Therefore, it’s important to engage experienced, knowledgeable CPAs and/or external auditors to serve your team.