Santa Clara University

GPS Training

Do you know if your company's internal controls for equity compensation management and financial reporting are adequate?  Do you know which elements of administration practice are most closely examined by auditors?  Are you confident that your equity plan administration practices are as effective and efficient as possible?

The CEPI offers custom in-depth training to assist companies with designing effective internal controls for equity compensation programs.  The course is an extension of the CEPI's groundbreaking  GPS Guidance| Procedures | Systems research project which helps companies identify the risks associated with equity compensation and outlines suggested controls for mitigating those risks.

Basic Course Outline
The course covers grant processes and exercise/vest/release processes.  Each module can be customized to address company specific scenarios:

  • An overview of the process including data inputs and outputs
  • Identification of common errors and potential opportunities for fraud, focusing on areas that can materially impact the financial statements
  • A detailed review of specific processes, associated challenges, risks, controls to mitigate the risk, and suggested test of the controls
  • How outsourcing impacts the process
  • A discussion of the associated legal and accounting issues
  • Differences between administration of stock options and restricted stock/units

At the end of the session, the company will have a personalized action plan for implementation in their organization.

Who Can Benefit from Training?

Anyone involved in equity plan management - from administrators to auditors - will benefit from this practical training.  The course will give you the tools to understand key administrative risks with financial statements impacts and how to implement controls to mitigate those risks.

- Program Level:
- Prerequisites:
- Advanced Preparation:

Basic Understanding of Equity Compensation

This program will equip you with the tools to:

  • Understand which administrative risks have greatest financial statement impact and are most scrutinized by auditors
  • Work together more effectively with other departments such as payroll, finance, and treasury
  • Identify the most common administrative errors and how to avoid them
  • Increase staff awareness and improve communication regarding issues related to stock compensation, financial reporting, and risk environment 
  • Better prepare for process and control audits
  • Train new staff assigned to equity compensation

Continuing Education Credit

CPE Credits: 8 CPE Credits

CEPs will receive 7 hours of Continuing Education credits, which may be applied to the CEPI's continuing education requirements


Santa Clara University, Certified Equity Professional Instituteis registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website:


Bring This Course On Site

This program can be customized to meet the needs of your organization and delivered at your location. For more information, contact Dee Crosby at 408 554 2187 or

Copies of Publications

The following are available for download:


Performance Awards

Global Stock Plans

Restricted Stock and Restricted Stock Units

Non-Qualified Stock Options

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