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  • 1.  Holistic Review Meetings with Subject Matter Experts (SME)

    Posted 11-09-2023 11:03 AM

    Do you use holistic review meetings to support the review of Form 10-Q/K ?  If not, what do you use in place of holistic review meetings? 



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    Roger Gambrell II
    SEC Reporting / Technical Accounting & Policy
    Oportun Financial Corporation
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  • 2.  RE: Holistic Review Meetings with Subject Matter Experts (SME)

    Posted 11-15-2023 10:21 PM

    Hi Roger! For our part, we would conduct roundtable reviews with SEC reporting, controllership, FP&A, investor relations and our CFO for the MD&A. We would also do a similar exercise with the disclosure committee (in addition to their reading the entire document separately) for any new and significant disclosures (as determined by the SEC team and legal). Besides that, everything else was done through comments in Workiva and email. 



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    Steve Soter
    Executive Advisor
    SEC. ESG & SOX Pro Groups
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    Original Message


  • 3.  RE: Holistic Review Meetings with Subject Matter Experts (SME)

    Posted 11-28-2023 04:30 PM

    We do not use this kind of review at my current company. We mostly use email and 1:1 meetings with individuals. In my previous experience, I would hold these group meetings to facilitate review of the documents.



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    Jake Roldan
    Financial Reporting Manager
    Clearwater Paper Corporation
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    Original Message


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