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(TCO 1) The Sarbanes-Oxley Act was signed into law by President George W. Bush on what date?

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  1. (TCO 1) The Sarbanes-Oxley Act was signed into law by President George W. Bush on what date?
  2. (TCO 1) Which of the following is the best way to lessen the damaging effects of a “rogue employee?”

  3. (TCO 1) The investigation of Adelphia Communications Corporation, found that the executives had looted the company of more than what amount?

  4. (TCO 1) All of the following are key elements of the “Ten-Point Plan to Improve Corporate Responsibility and Protect America’s Shareholders” except which one?

  5. (TCO 2) The use of one’s position for personal enrichment through the deliberate misuse or misapplication of the employing organization’s resources or assets best describes which of the following?

  6. (TCO 2) One of Eliot Spitzer’s major frustrations as he investigated and prosecuted corporate fraud was which of the following?

  7. (TCO 2) The addictive nature of committing fraud and getting away with it best describes which fraud theory?

  8. (TCO 2) Two of the three elements of Dr. Donald Cressey’s Fraud Triangle are Opportunity and Rationalization. What is the third element?

  9. (TCO 3) The “lack of guile in attempts to hide damaging information, especially in financial transactions where organizations interact with the public”, is the definition of which of the following?

  10. (TCO 3) The Treadway Commission reviewed numerous instances of what type of fraud in coming to the conclusions outlined in their report?

  11. (TCO 3) A whistleblower who believes he or she has been retaliated against, can seek relief through which government agency?

  12. (TCO 3) In the timeline of corporate compliance initiatives and milestones, what was the first one that helped set the standards for future compliance?

  13. (TCO 4) Which of the following was a factor in William Aramony’s fraud at United Way?

  14. (TCO 4) What section of the Sarbanes-Oxley Act requires an annual evaluation and report on the internal controls of a public company?

  15. (TCO 4) A key tenet of SAS 99 requires auditors to maintain independence and detect fraud through which of the following?

  16. (TCO 1) Name four of the items on the agenda that President George Bush set out to fight corporate fraud in 2002.

  17. (TCO 2) What are the three major categories of occupational fraud?

  18. (TCO 3)What is meant by the term “Transparency?” What effect can transparency have on a company?

  19. (TCO 4) SAS 99 requires auditors to identify risks that need further examination in order to determine the full extent of a possible fraud. (a) Name three of these risks and give examples of each. (b) If after conducting a thorough audit, the auditor believes there is a likelihood of misstatements that could be material to a company’s financial statements, what should the auditor do? Name the four items.

  20. (TCO 3) SAS 82 requires auditors to plan and perform an audit in order to determine whether the financial statements are free from material misstatements. There are a total of 41 risk factors that fall into three main categories. (a) Name the three main categories. (b) Name at least three risk factors for each of the three main categories.

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