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Internal Control over Financial Reporting - Core

Shareholders' Equity

The Shareholders' Equity Playbook addresses the following areas:

  • Policy and Procedures

  • Segregation of Duties (and access rules that support SOD)

  • Shareholder Information for Key Individuals

  • Stock Issuances

  • Stock Buy-backs

  • Authorization and Approval of Stock Options

  • Exercises, Cancellations, Retirements, Terminations, and Modifications of Stock Options

  • Dividends

  • Master File Maintenance

  • Financial Reporting, and

  • Additional Considerations (IPE and Management Review Controls)

 

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