Stock Administration Audit Work Program

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Investment employee savings programs and profit sharing programs can involve significant risk. In a stock ownership plan, designed for employee purchase through payroll deductions, various administration and records management processes can increase inherent risk.

This sample focuses on the internal responsibilities of corporate stock program administration. Controls may span several internal functions and external organizations. This work program includes some general and specific tests that can be modified to reflect the specific plans and administration attributes of your organization.

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