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7. Public company audit committees must contain which of the
following?
8. Under SOX, it is a crime to punish a public company
whistleblower who provides truthful information relating to which
of the following:
9. Mar has been complicit in her public company's accounting fraud.
She consults a lawyer as the time comes to file her firm's 10-K
with the SEC. She is a little uncomfortable with what she might
have to do. The lawyer will likely tell her that she will have to
certify (and be potentially criminally liable for lying about) these
matters:
10.
Milo Corp. maintains daily backups of its accounting system
in a fireproof vault in the file library. Weekly, monthly, and annual
backups are stored in a secure, fireproof vault at an off-site
location.
11.
Maintenance of the backup files is an example of
12.
Review of the audit (also called transaction) log is an
example of which of the following types of security control?
13.
Which of the following statements presents an example of a
general control for a computerized system?
14.
Controls in the information technology area are classified
into the categories of preventive, detective, and corrective. Which
of the following is a preventive control?
15.
A company's new time clock process requires hourly
employees to select an identification number and then choose the
clock-in or clock-out button. A video camera captures an image of
the employee using the system. Which of the following exposures
can the new system be expected to change the least?
16.
Which of the following is an example of a detective control?
17.
In the COSO "cube" model, each of the following is a control
objective except
18.
In the COSO "cube" model, this component of internal
control enables an organization's people to identify, process, and
exchange the information needed to manage and control operations.