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CIA Part 2 · Exam domain
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1. The process for establishing and maintaining a system to monitor the disposition of audit engagement results is typically explained in which of the following?
Explanation
Departments document follow-up processes in their audit manual; charters and Standards set requirements but not the detailed process.
2. How should internal auditors interact with managers of a newly acquired company while monitoring implementation of ethics-related recommendations?
Explanation
Monitoring is most effective in a cooperative environment where managers help shape practical solutions.
3. Senior management asks to review quarterly activity reports that the CAE presents to the board. What should the CAE do?
Explanation
Activity reports should be provided to both senior management and the board; previewing facilitates timely action.
4. Which is a characteristic of follow-up processes in an internal audit function operating at the “managed” maturity level?
Explanation
At the managed level, formalized reporting to the audit committee on issue status is standard.
5. In a small internal audit activity, when is validation by internal audit the preferred follow-up strategy?
Explanation
High-risk items warrant direct validation by internal audit; lower risks can often use self-assessment.
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