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Credits: 3

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Communicating Internal Control Deficiencies (Audit Skills Training - Level 5) (A5M2)

  • Customer Rating
  • Field of Study
    Auditing
  • Level
    Intermediate
  • Credits
    3
  • Qualifies for

    CPE

Overview

Professional and regulatory audit standards require communication of internal control matters noted on a financial statement audit. This assists management and those charged with governance with satisfying responsibilities for designing, implementing, maintaining and monitoring internal controls. This module will help the auditor with understanding how to improve the required communications to be more value-added to the client.

Major Topics:

  • The required communication of internal control matters noted on an audit
  • Evaluating the severity of identified deficiencies, including consideration of qualitative considerations
  • Elements to include in the letter or report including internal control matters
  • Components of a well-written internal control comment
  • Better writing tips and techniques

Learning Objectives

  • Discuss what, when and to whom to communicate identified deficiencies in internal control during the financial statement audit
  • Describe how to categorize the severity of identified deficiencies
  • Explain how to draft written communications in a way that will increase the likelihood of corrective action

Who should take this course:

Designed for:

Accountants who are responsible for drafting internal control related matters noted in an audit

Prerequisite:

Experience on complex audit engagements

Advanced Preparation:

None

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