How do I find out who did the Companies SOX compliance audit 1743

  • As a potential investor, How do I find out who did or performed the External and Internal Audits for the companies.
    Is there a way to find out?
    I went to the SEC’s site, and used the Edgar Database, but can’t seem to find it?
    Can someone be specific as to where I may find this information?
    Thanks in Advance.

  • It should be in the 10K for the company.

  • Ok Jason, 10k,
    Can you enlightenme or enrich me a little more please?
    Where is the 10K, is it in the SEC-Edgar database?
    What name does it go by, not 10K? cause I didn’t see 10k when I looked up this company Jakks Pacific Inc., they are a toy maker, HQ is in Malibu CA
    Thanks again

  • First, go to Then click on Search for Company Filings under EDGAR. Click Companies and other filers. Type in the company’s name. Towards the top right hand corner, type 10-k into the Form Type box. Once in the 10-k, look for the table of contents. Click on ‘Financial Statements and Supplementary Data’ In this section should be a few paragraphs written by the external audit firm describing their opinion on the company.
    Hope this helps. I looked up Jakks Pacific and they were audited by PKF Certified Public Accountants.

  • Hi Jason,
    I saw that too ‘PKF’.
    However, I was actually looking for who did their SOX 404?
    I happen to know that a company called ‘Protiviti’ did it - as their internal auditors, but there is no reference anywhere.

  • Hi,
    Jason did all of the leg work…thanks…to my knowledge, a public company is not requried to disclose who performed the 404 work. However, sometimes this information can be learned by reviewing audio transcripts of the investor/analyst calls if they are made public and posted on the company’s investor relations site.
    For example, company management might discuss increased compliance costs in connection with 404 work performed at the company by xyz consulting.
    just a thought.

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