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November 2017

Unit: Audit & Assurance

15 Questions

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Questions

1a
Assurance and non- assurance engagements
​ ​ Auditors carry out various audit assignments. 

In relation to the above statement, explain four non-assurance assignments that auditors undertake.
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1b
Assurance and non- assurance engagements
​​Describe three circumstances in which the management of an organisation might request the auditor to change the terms of an audit engagement.
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1c
Audit evidence
​​Kisomo Kizuri is a charity organisation that raises funds for educational projects. Charities in the country from which Kisomo Kizuri operates have recently become subject to new audit and accounting regulations.

Your firm has been appointed as Kisomo Kizuri's new auditors.

Required:

Analyse audit tests you might carry out on the income and expenditure from fund raising events.

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2a
Contemporary and emerging issues in audit
​​Explain the following terms as used in contemporary audit:

(i) Environmental audit.

(ii) Corporate governance.

(iii) Enterprise risk management (ERM).

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2b
Internal control systems and Internal Audit Function
​​Citing a relevant example in each case, explain the following control procedures:

(i) Segregation of duties.

(ii) Authorisation and approval.

(iii) Physical controls. 

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2c
Auditors Reports
​​Analyse five circumstances that might lead to qualification of financial statements.
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3a
Auditing in a computerised system
​​Explain six benefits an auditor might derive from using computerised audit software.
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3b
Audit evidence
​​Citing a relevant example in each case, distinguish between "adjusting events" and "non-adjusting events".
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3c
Audit evidence
​​International Standard on Auditing (ISA) 620 "Using the work of an expert" contains guidance to an auditor on using the work of an expert to provide knowledge relevant to the audit which the audit firm does not possess.

Evaluate four procedures that an audit firm might apply before relying on such an expert.

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4a
Audit risk assessment
​​ Examine six factors that might influence inherent risk at the organisational level.
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4b
Legal and professional framework
​​Discuss the importance of the following provisions of professional ethics:

(i) Audit fees.

(ii) Conflict of interest.

(iii) Due care and skilI.

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4c
Auditors Reports
​​You are the audit manager in charge of the audit of Lenga Ltd. You have come across the following matters which you  consider to be material. Explain how you would report each matter in the audit report:

(i) A major customer owing the company a substantial amount, has filed for bankruptcy. No provision for this has been made in the financial statements.

(ii) Some of the company's inventory is of a special nature. The expert you were relying on to value them might not be available to carry out the valuation in time for issuance of an audit report. You have to rely on management representation.

(iii) A major supplier has gone out of business and there is no immediate alternative for the raw material question.in

(iv) After the financial year end, a major fire broke out destroying machinery that had been purchased at the end of the year. 

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5a
Planning and Risk Assessment
​​ Highlight six reasons why an auditor might need to understand the entity and its environment before undertaking an audit assignment.
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5b
Nature and purpose of an audit
​​Explain the following terms:

(i) Reasonable assurance.

(ii) Opinion shopping. 

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5c
Overview of Forensic Accounting, Errors, Frauds and Irregularities
​​ Discuss five stages that might be followed in carrying out a forensic audit.
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