Services

Responsibility, accountability, trust

Public Company Services

Companies that trade their securities in national and international exchanges have special needs—for complex accounting, for independent auditing, for transparent reporting and controls. We are prepared to accommodate the intricate requirements that regulatory requirements place on public companies.

EFP Rotenberg’s Public Company Practice is staffed to provide the services needed by publicly traded companies and those looking to go public. Our clients range from development stage companies making their first public offering to well established companies. We serve as:

  • Independent auditors of public companies
  • Advisors to private companies looking to go public

We bring the unbiased, independent review that assures your shareholders of transparency and credibility.

Substantial hands-on experience

The professionals in our Public Companies Practice Division are fully versed in SEC regulations, the registration process, periodic reporting requirements, Sarbanes-Oxley, and the assurance services required by publicly traded entities.

Our services to SEC issuers have included:

  • Periodic reporting to the SEC: Forms 10-K, 10-Q, and 8-K
  • Financial statement assurance services (audits and reviews)
  • Initial public offering (IPO)
  • Alternative public offering (APO)
  • Business combinations: mergers and acquisitions, recapitalizations, reverse mergers, spin-offs, reorganizations, equity offerings
  • Assistance to attorneys, investment bankers, and other CPA firms
  • Compliance with SEC regulations: SX and SK
  • Audits of internal controls over financial reporting (SOX 404)

The advantages of a highly specialized regional accounting firm

We have partners and managers with working experience at the Big Four accounting firms; and we take advantage of that knowledge. But we also find that we offer a unique advantage to our clients—a more personalized, practical, nimble approach to completing work on behalf of our clients. You will benefit from:

  • senior-level participation in your engagement
  • fast decision-making because of limited bureaucracy and on-the-ground authority; we do not have a national office to contend with when making important decisions affecting our clients
  • the perspective of practitioners who also have exposure to general business accounting and consulting, as well as tax and other specialties
  • a rational fee structure
  • the flexible real-people relationships we build

SEC client industries

We have experience in handling public company services in a diverse range of industries including:

  • Manufacturing
  • High Technology
  • Software Development
  • Green Technology
  • Pharmaceutical
  • Wholesale
  • Retail
  • Agriculture
  • Oil and Gas
  • Mining
  • Public Utilities

Regulatory oversight

EFP Rotenberg is registered with the Public Company Accounting Oversight Board (PCAOB), the five member board charged with administrative responsibilities under the Sarbanes-Oxley Act of 2002. We are subject to the tri-annual inspection process of our public company clients by the PCAOB, as mandated by the Securities and Exchange Commission as well as oversight from AICPA (The American Institute of Certified Public Accountants) and our own internal inspection process.

Other services for our non-audit clients

We maintain a strict separation between our audit work and our consulting work on behalf of publicly traded companies. If we provide independent auditing for you, then we are happy to make recommendations of other firms which can provide consulting services. Among the services we offer to our non-audit clients: