Year-end audit season is here–are you ready? Every equity plan administrator has to prepare for an audit sooner or later. Seyfarth Senior Counsel Ellen Sueda joins a panel that will outline the administrative and legal issues that every administrator should consider in anticipation of an audit, including SOX, tax, and accounting audits. In addition, the panel will share the daily, quarterly and annual administrative reconciliation processes they have utilized to ensure that they are equipped for any audit, whether planned or unexpected.
Among other topics, this program will include:
- Administrative Reconciliation: reconciling grants of options, RSAs, and RSUs; ESPP offerings, contributions, refunds and purchases; terminations, exercises and vesting;
- Reconciling equity compensation converted in a merger or acquisition;
- Establishing solid SOX control documents, processes and testing;
- Tax audits, reconciling with the proxy statement and other public disclosures.
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