| STEINWAY
MUSICAL INSTRUMENTS, INC.
AUDIT COMMITTEE CHARTER
Objective
To assist the board in fulfilling its responsibility for
oversight of the quality and integrity of the accounting,
auditing and financial reporting practices of the Company
by:
1) Monitoring the Company’s compliance with legal,
financial and regulatory requirements.
2) Monitoring the independent auditor’s qualifications
and independence.
3) Reviewing the procedures, performance and results of
the Company’s internal audit function and independent
auditors and acting, as necessary, on behalf of the board
of directors between board meetings with respect to the
Company's audited financial reports, accounting procedures,
financial controls and ethical practices.
4) Providing a direct communication link to the board of
directors from the Company’s independent auditing
staffs and the chief financial officer, and assuring the
quality of the Company's financial reporting and control
systems.
5) Preparing the Audit Committee Report, as required by
the rules of the Securities and Exchange Commission, for
the Company’s annual proxy statement.
Duties and Powers
The Audit Committee shall have the following duties and
powers:
1) Appoint, compensate and terminate the Company’s
independent auditors, subject, if applicable, to shareholder
ratification and shall pre-approve all audit engagement
fees and terms and all significant, allowable non-audit
engagements with the independent auditors, which shall be
disclosed to investors in periodic reports. The Audit Committee
shall consult with management but may not delegate these
responsibilities.
2) Delegate one or more members of the Audit Committee the
authority to grant pre-approvals on audit services and allowable
non-audit services.
3) Establish a procedure for the receipt, retention and
treatment of complaints received by the Company regarding
accounting, internal accounting controls and auditing matters
and create a practice allowing for the confidential and
anonymous submission by the Company’s employees of
concerns regarding questionable accounting or auditing matters.
4) Obtain and review, at least annually, a report by the
independent auditors describing the firm’s internal
quality-control procedures, any material issues raised by
the most recent internal quality controls review or peer
review, of the firm, or by any inquiry or investigation
by governmental or professional authorities, within the
preceding five years, respecting one or more independent
audits carried out by the firm, and any steps taken to deal
with such issues; and (to assess the auditors’ independence)
all relationships between the independent auditor and the
Company.
5) Ensure that the regular rotation of the lead audit partner
occurs as required by law and consider whether there needs
to be a rotation of the outside audit firm and report the
findings to the board of directors.
6) Review management’s internal audit function and
internal control procedures and practices for safeguarding
assets, authorizing and recording transactions and complying
with Company policies and ethical practices and the comments
of the independent auditors' staff with respect to such
policies and practices.
7) Review and discuss the Company’s annual audited
financial statements and quarterly financial statements
with management and the independent auditors, including
the Company’s disclosures under “Management’s
Discussion and Analysis of Financial Condition and Results
of Operations” before public distribution.
8) Discuss, generally, with management the Company’s
earnings press releases, including the use of “pro
forma” or “adjusted” non-GAAP information,
as well as financial information and earnings guidance provided
to analysts and rating agencies.
9) Engage, to the extent deemed necessary or appropriate,
independent legal, accounting or other consultants to advise
the Committee.
10) Discuss with management the Company’s major financial
risk exposures and the steps management has taken to monitor
and control such exposure, including the Company’s
risk assessment and risk management guidelines.
11) Meet with management, internal auditors (or personnel
responsible for internal audit function) and the independent
auditors in separate executive sessions, periodically.
12) Regularly review with the independent auditors any difficulties
the auditor encountered in the course of the audit work
and management’s response.
13) Establish, for the board of directors, policies for
the Company’s hiring of employees or former employees
of the independent auditors who were engaged on the Company’s
account.
14) Discuss with management and the independent auditors
significant financial reporting issues and judgments made
in connection with the preparation of the Company’s
financial statements, including any significant changes
in the Company’s selection or application of accounting
principles, any major issues as to the adequacy of the Company’s
internal controls, the development, selection and disclosure
of critical accounting estimates, and analyses of the effect
of alternative assumptions, estimates or GAAP methods on
the Company’s financial statements.
15) Hold timely discussions with the independent auditor regarding: all critical
accounting policies and practices; all alternative treatments of financial information
within GAAP that have been discussed with management, ramifications of the use
of such alternative disclosure and treatments, and the treatment preferred by
the independent auditors; other material written communications between the independent
auditors and management, including, but not limited to, the management letter
and schedule of unadjusted differences.
16)
Discuss with management and independent auditors the
effect of regulatory and accounting initiatives as well
as off-balance sheet structures on the Company’s financial
statements.
17)
Receive and review any disclosure from the Company’s
CEO or CFO made in connection with the certification
of the Company’s quarterly and
annual reports filed with the SEC of: (a) all significant
deficiencies and material weaknesses in the design or operation
of internal control over financial reporting which are reasonably
likely to adversely affect the Company’s ability to
record, process, summarize, and report financial data; or
(b) any fraud, whether or not material, that involves management
or other employees who have a significant role in the Company’s
internal controls.
18)
Review the annual audit plan of the independent auditors.
Ensure the receipt from the independent auditors of a
formal written statement delineating all relationships
between such auditors and the Company, consistent with
Independence Standards Board Standard 1; actively engage
in a dialogue with such auditors with respect to any
disclosed relationships or services that may impact the
objectivity and independence of such auditors; and take,
or recommend that the full board take, appropriate action
to ensure the independence of such independent auditors.
19) Insure that the independent auditors’ ultimate
accountability remains to the board of directors and the
Audit Committee as representatives of the shareholders.
20) Review the Company’s annual audit findings and
management’s implementation of the independent auditors'
recommendations.
21) Review the Company’s organization to accomplish
management's financial reporting and control responsibilities.
22) Report regularly to the board of directors.
23) Meet quarterly, or more frequently as needed, to carry
out the foregoing duties and responsibilities.
Membership
1) The Audit Committee shall be comprised of no less than
three directors who are generally knowledgeable in financial
and auditing matters, including at least one member with
accounting or related financial management expertise. Each
member shall be free of any relationship that, in the opinion
of the board, would interfere with his or her individual
exercise of independent judgment, and shall meet the director
independence requirements for serving on audit committees
as set forth in the corporate governance standards of the
New York Stock Exchange.
2) The board of directors shall appoint one member of the
Audit Committee as chairperson. He or she shall be
responsible for leadership of the committee, including
preparing the agenda, presiding over the meetings,
making committee assignments and reporting to the board
of directors. The chairperson will also maintain regular
liaison with the CEO, CFO and the lead independent
audit partner.
3)
The Audit Committee shall recommend and the Board of
Directors shall appoint one member of the Audit Committee
as an “audit
committee financial expert”. The term “audit
committee financial expert” means an audit committee
member with the following attributes: an understanding
of GAAP and financial statements; an ability to assess
the general application of GAAP in connection with the
accounting for estimates, accruals and reserves; experience
preparing, auditing, analyzing or evaluating financial
statements that present a breadth and level of complexity
of accounting issues that are generally comparable to
the breadth and complexity of issues that can reasonably
be expected to be raised in the Company’s financial statements,
or experience actively supervising one or more persons
engaged in such activities; an understanding of internal
controls and procedures for financial reporting; and an
understanding of audit committee functions. An “audit
committee financial expert” must have acquired these
attributes through: (a) education and experience as a principal
financial officer, principal accounting officer, controller,
public accountant or auditor or experience in one or more
positions that involve the performance of similar functions;
(b) experience actively supervising a principal financial
officer, principal accounting officer, controller, public
accountant, auditor or person performing similar functions;
(c) experience overseeing or assessing the performance
of companies or public accountants with respect to the
preparation, auditing or evaluation of financial statements;
or (d) other relevant experience.
4) The Audit Committee shall review annually the Audit
Committee’s
own performance and reassess the adequacy of this Charter.
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