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Table of Contents REGISTRAR

This document contains a table of contents for an audit program that covers several sections, including share registration, maintenance and reconciliation, management and administrative controls, account opening and closure processes, vault management, statement requests, security procedures, and branch expenses and credits. The sections describe the scope and details to be examined in the current audit, which provides high-level overviews of the key areas and processes to be reviewed.

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Eric Ashalley Tetteh
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© Attribution Non-Commercial (BY-NC)
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Download as XLSX, PDF, TXT or read online on Scribd
17 views

Table of Contents REGISTRAR

This document contains a table of contents for an audit program that covers several sections, including share registration, maintenance and reconciliation, management and administrative controls, account opening and closure processes, vault management, statement requests, security procedures, and branch expenses and credits. The sections describe the scope and details to be examined in the current audit, which provides high-level overviews of the key areas and processes to be reviewed.

Uploaded by

Eric Ashalley Tetteh
Copyright
© Attribution Non-Commercial (BY-NC)
Available Formats
Download as XLSX, PDF, TXT or read online on Scribd
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TABLE OF CONTENTS

SECTION DESCRIPTION
A B C D E F G H I Previous Audit Reports Follow up Current Audit Start & End Details Audit Program SHARE REGISTRAR/MEMBERSHIP UPDATE Transfer and Transmission Of Share Returns and Reconciliation
Share Maintenance/ Correspondence Systems

J K L M N O

MANAGEMENT AND ADMINISTRATIVE CONTROL Staffing Process Manuel Training Approved JD's Org Chart Business Continuity Management Plan

TABLE OF CONTENTS
SECTION DESCRIPTION
AA AA1 AB AC AD A B C Previous Audit Reports Follow up Correspondence Current Audit Start & End Details Audit Program Account Opening Documentation & Data capture Account Closure DORMANT ACCOUNT VAULT MANAGEMENT VOUCHER REFERENCING Fixed Deposit Returned Cheques Stopped Cheques Standing Instruction Payment Orders Call Over Cheque book Requisition & Despatch STATEMENT REQUEST RETURNS SECURITY Staffing PROCESS MANUEL Premises KYC/Money Laundering ATM Complaints MAILING REMITTANCE Expenses Training Branch Credits

D E F G H I J K L M N O P Q R S T U V W X Y Z

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