Alaric’s Outsourced Principal Financial Officer Services help firms comply with Sarbanes Oxley certification requirements.

For those clients who do not employ a Principal Financial Officer (PFO) or who are looking to add the PFO role to their existing financial management team, Alaric can provide a qualified individual to serve as the PFO to help your firm comply with Sections 302, 906 and 404 of Sarbanes Oxley.


  • Assignment of a qualified individual to serve as the Principal Financial Officer.
  • Oversight of the financial statement production and reporting process.
  • Review and certification of Form N-CSR and Form N-Q in compliance with Sections 302, 906 and 404 of Sarbanes Oxley.
  • Assessment and documentation of the internal controls surrounding financial statement production, and identification of areas of risk.
  • Periodic meetings with management and fund administration to assess the control environment.
  • Creation or modification of internal policies and procedures in response to evolving regulation and client’s business needs.
  • Participation at Board Meetings, presentations to the Board as appropriate.
  • Participation in the annual audit process, serving as the liaison between the outside auditors and the audit committee Consultations with Compliance, Legal, Tax and other management as needed.
  • Assistance with regulatory examination inquiries.
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