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Free Financial CFSA Exam Questions (page: 11)

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PDF with 511 Questions
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Following elements should be documented in the audit scope EXCEPT:

  1. Time period to be covered by audit tests
  2. Available data:
    No. of records
    Locations
    Need to create data
    Form
    Reliability
  3. Prioritizing risks
  4. Both A and B

Answer(s): D



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Site Selection Rationale
Client officials client/requesters for audit results Scope limitations encountered or anticipated
Expert advice
The above elements should be documented in the:

  1. Audit planning
  2. Risk assessment
  3. Audit scope
  4. None of these

Answer(s): C



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Considerations for determining required audit resources include:

  1. Training needed by the audit staff to meet the audit objectives
  2. Contractual assistance needed to meet the audit objectives
  3. Both A and B
  4. None of these

Answer(s): C



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Engagement client management often has a negative perception of audit process; therefore, communication throughout the audit process is essential to alleviate some of the concerns of management. The very first step in communicating the audit information with the client is:

  1. Entrance conference
  2. Formal notification of the audit
  3. Explanation of the scope of audit
  4. None of these

Answer(s): B



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Entrance Conference-- The entrance conference may be the auditor's first face-to-face contact with client. The objective/s of the entrance conference is/are to:

  1. Explain preliminary audit scope
  2. Present projected audit milestone dates and completion dates
  3. Identify key contacts and desired communication protocols
  4. All of these

Answer(s): D



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