Entity-Level Documentation Request Checklist

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This tool provides a sample list of documents that can be used as a checklist for preparation of an entity-level control review.

Sample documents included in the list are code of conduct, code of conduct acknowledgements, by-laws, proxy statement, SEC comment letters, management letters, corporate governance policies, bios of committee members, passed adjustments, business plans, management operating reports, annual corporate budget, annual risk assessment, anti-fraud risk assessment, anti-fraud programs, audit committee charter, audit committee meeting minutes, audit committee agenda/schedule, internal audit charter, internal audit job descriptions, etc.

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