Advanced

SOX scoping memo: in-scope locations, systems, and accounts

Drafts a scoping memo for SOX including in-scope entities, systems, accounts, and rationale. Useful for annual SOX planning and auditor alignment.

Draft a SOX scoping memo for {issuer_name} for fiscal year {fiscal_year}.

Inputs:
- Entity/location list with revenue/assets: {entity_metrics}
- Financial reporting materiality: {materiality}
- Key accounts/processes: {key_accounts_processes}
- Systems and key reports: {systems_reports}
- Changes this year (acquisitions, new systems): {changes}
- Prior deficiencies: {prior_deficiencies}

Output:
1) Scope rationale and criteria used.
2) In-scope entities/locations and why.
3) In-scope processes and key controls overview.
4) Reliance strategy (internal audit vs external auditor) and timing.
5) Risks and scoping uncertainties.

Write in a partner/auditor-friendly tone.

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10-Q MD&A draft from variance drivers (management-ready)

Drafts an MD&A section based on provided financial changes and drivers, with structured language and risk-aware tone. Useful for SEC reporting teams accelerating first drafts.

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10-K footnote checklist mapped to owners and source systems

Creates a 10-K footnote checklist with owners, data sources, and validation checks. Useful for planning the annual reporting process and avoiding last-minute gaps.

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SOX risk-control matrix (RCM) generator for a process

Creates a SOX RCM with risks, controls, evidence, and testing attributes. Useful for building or refreshing SOX documentation efficiently.

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