Capital Raise Audit Work Program

Designed to accelerate and strengthen capital raise audits, this work program provides a structured approach for evaluating the effectiveness of controls, accuracy of reporting and compliance with organizational requirements. Detailed procedures guide auditors through planning, testing, and reporting activities, including the review of cash receipts, reconciliations, advisor agreements, fees, reporting processes and segregation of duties. By helping validate transactions and supporting evidence while identifying potential control gaps, this tool promotes a consistent, efficient and well-documented capital raise audit process from start to finish.

Key Features:

• Defines audit objectives for accuracy, completeness, policy compliance and documentation
• Provides testing procedures for cash receipts, reconciliations, fees and quarterly reporting
• Includes reviews of access rights, segregation of duties and supporting records