Corporate Actions Audit Work Program

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Reviewing Corporate Actions Execution for Governance and Operational Integrity

A corporate action is a change to a company’s publicly traded stock, which are typically voted on by the company’s board of directors. Corporate actions are either mandatory or voluntary. Shareholders have no option whether or not to participate in mandatory corporate actions but can elect to participate in voluntary corporate actions.

In this work program sample, we highlight general best-practice steps for the corporate actions audit process.