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Free CIA-II Exam Braindumps
Certified Internal Auditor Questions 231–235 (page: 48)

Updated On: 10-Feb-2026
Page 48 of 103
PDF with 508 Questions

A code of business conduct provides:

  1. A fraud avoidance plan that does not explicitly describe punishments for violations.
  2. A passive method of fraud deterrence.
  3. A program to anonymously report irregularities to authorities.
  4. An alternative to "tone at the top" programs.

Answer(s): B



The chief executive officer has requested that the chief audit executive (CAE) coordinate the establishment of an enterprise risk management (ERM) program for the organization. Which of the following would be the most appropriate action for the CAE?

  1. Accept the request as the role of coordinating ERM is a core function of internal audit.
  2. Decline the request as this role compromises the CAE's objectivity.
  3. Accept the request after consulting with the board and adhering to proper safeguards.
  4. Decline the request as internal audit has limited knowledge and experience of risk at the enterprise level to undertake the assignment.

Answer(s): C



Which of the following is the most common method management can use to manage risk within its risk appetite?

  1. Implementation of controls.
  2. Use of risk registers and dashboard.
  3. Frequent communication of risk appetite for operating personnel.
  4. Continuous evaluations and audits.

Answer(s): A



Which of the following is an effective way for an internal auditor to improve communications with the client during a contentious audit?

  1. Encourage the client to participate as a partner in the decision-making process to determine the changes that need to be made.
  2. Clearly explain to the client the role of the internal audit activity in the change process.
  3. Obtain the support of the board of directors for proposed changes before discussing the changes with operating management.
  4. Speak privately with key client personnel immediately after proposed changes are announced to address their concerns.

Answer(s): A



The chief audit executive's responsibility regarding control processes includes:

  1. Assisting senior management and the audit committee in the development of an annual assessment about internal control.
  2. Overseeing the establishment of internal control processes.
  3. Maintaining the organization's governance processes.
  4. Ensuring that the internal audit activity assesses all control processes annually.

Answer(s): A



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