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Special Audit Engagements Requiring Contractual or Regulatory Reporting (Audit Skills Training - Level 5) (A5M7)

  • Format Self-Study Webcasts
  • Credits 3
  • Level Intermediate
  • Field of Study Auditing (Technical) (3)

Overview

There are many situations in which a financial statement auditor is also asked to report on compliance. Some compliance audits are required by law, regulation, contract or agreements. Other reports are requested to provide negative assurance about financial information, such as compliance with debt covenants in a loan agreement. In addition, an auditor may be asked to provide comfort to requesting parties in relation to financial information included in registration statements filed in accordance with The Securities Act of 1933.



Major Topics:

  • Sarbanes-Oxley Act of 2002 overview of key requirements
  • Performing compliance audits in conjunction with the financial statement audit, including Single Audit and Compliance with Contractual Requirements
  • Letters to Underwriters and Filings with the SEC for non-issuers
  • Examples of various compliance reports

Learning Objectives:

  • Discuss Sarbanes-Oxley audit engagement key considerations
  • Describe Government Auditing Standards and Single Audit highlights
  • Explain other reports on compliance that are a by-product of the financial statement audit
  • Discuss letters to underwriters
  • Describe SAS requirements for filings with the SEC

Who should take this course:

Accountants with responsibilities on special audit engagements

Experience on complex audit engagements

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No

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