Chủ đề Governance audit checklist

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What is the most likely course of action that an auditor would take after?

Control attributes audit

What may the auditor do if the preconditions for an audit are not present?

Recurring audit

What should the auditor do if a confirmation response is not received?

Accounts receivable confirmation Audit confirmations Audit confirmation letter Alternative audit procedures

Under what circumstances would a qualified opinion be issued by an auditor?

Unqualified opinion Audit opinion Disclaimer of opinion Adverse opinion Qualified opinion audit Disclaimer opinion example Audit report

Which of the following best describes the role of corporate governance?

Corporate governance examples

What specific procedures would you as the auditor use to obtain audit evidence about the design and implementation of the clients internal control system?

Procedures audit Internal control system Substantive procedures Inquiry audit Test of control ISA 330

What assumptions must be tested during management financial statement audits?

Assertion in audit Financial audit Audit process Auditor responsibilities What is audit

The audit procedures that will be conducted by the auditor are contained in the

Audit procedures

What are the procedures to be used by auditors for obtaining the audit evidence?

Audit procedures Audit assertion 7 audit procedures Substantive procedures

A developmental checklist is an example of

Top List List Developmental checklist observation Developmental checklist Assessment Developmental Checklist PDF

Audit documentation prepared on audits of public entities is the property of the…

Audit supervision Material misstatement

What are the two types of sampling used to conduct audit testing by an IS auditor?

Monetary unit sampling Select audit sample CMA sampling Non statistical sampling Sampling risk Mus sampling

Which of the following is an appropriate procedure to search for subsequent events

Subsequent review audit Subsequent events policy

When is a PCAOB audit required

PCAOB auditing standards Responsibility of auditor PCAOB Rule 3522 Audit supervision

Which assertion is considered high risk for the audit of property plant and equipment?

7 audit procedures

What are the 5 types of audit tests?

7 audit procedures Audit procedures Test of control Substantive procedures

During which phase of the audit are auditors required to perform analytical procedures?

Analytical procedures Substantive procedures Analytical review procedures Ratio analysis audit

Which of the following matters generally is included in an auditor’s engagement letter?

Audit engagement letter

The group auditor decides not to refer to the component auditor who audited a subsidiary

Group audit instructions Group audit pdf

Why is it important for financial statements to receive an unqualified auditors opinion?

Unqualified opinion Qualified opinion Audit opinion Adverse opinion Disclaimer opinion example Audit report Example

How do you identify audit risk?

Audit risk model Audit risk assessment Auditing risks Risk-based audit approach ISA 315 Material misstatement

Which of the following audit procedures is used by the auditors to obtain audit evidence?

ISA 500 Audit assertion Analytical procedures

What are the CAEs and the internal audit functions responsibilities regarding governance?

Governance audit checklist Governance audit example

What auditing procedures should be used to detect kiting?

Check kiting examples Lapping and kiting Check kiting diagram Lapping audit Lapping accounting Kiting Accounting

What type of blood test are usually ordered or monitored for patients undergoing chemotherapy?

Chemotherapy Cancer count numbers Pre chemotherapy checklist

How do you ensure security on a server?

Server security Server Security jobs Server security company Server security checklist Server security pdf Server security PPT Server security tools

The independent auditor should acquire an understanding of the internal audit function

Responsibility of auditor Audit planning Auditors report

What is nature timing and extent of audit procedures?

Nature in audit

What are the roles and importance of internal audit and internal control in an organization?

Internal audit procedure Internal auditors Internal control system External audit

What are the three possible financial statement opinions that could be issued for an audit client with a scope limitation?

Adverse opinion Modified audit opinion Unqualified opinion Audit report example Unqualified audit opinion

What kind of opinion shall an auditor give when he is unable to obtain sufficient and appropriate audit evidence?

Adverse opinion Adverse audit opinion Modified audit opinion Audit opinion types

What are the risks that the auditor must consider before accepting a client for an audit engagement?

Audit planning Self-review threat Auditor independence

A lack of response to a(n) confirmation is considered evidence that the account is fairly stated.

Auditing standards Audit confirmation letter Management assertions Audit assertion Substantive analytical procedures

Which one of the following is not a critical component of risks relevant in conducting an audit

Audit risk model

What is the responsibility of the auditor to subsequent events that are occuring after the auditors report date but before the financial statements are issued?

Subsequent events audit Subsequent event FRS SFRS 10 SSA 570

Which type of subsequent events requires consideration by management and evaluation by the auditor?

Subsequent events audit Auditing standards

What is the overall management of the availability use ability integrity and security of company data?

Data governance framework Data management

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