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Listening Quiz: Cập Nhật Tình Trạng Tuân Thủ Sarbanes-Oxley – Advanced Level
Th12 18, 2024
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bởi
Anna Phạm
trong
Tiếng Anh dành cho Kế toán (English for Accountant)
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1.
According to Jessica, what is the current SOX compliance status this quarter?
We are fully compliant with all SOX controls.
We are 85% compliant with all SOX controls.
We are 85% compliant only with IT controls.
We are 75% compliant with all controls.
Explanation:
Jessica says, ‘We are 85% compliant with all SOX controls this quarter.’
2.
Which areas does Jessica identify as the biggest challenges?
Training sessions and policy updates
Human resources and customer service
IT access controls and financial reporting processes
Monthly reports and quarterly audits
Explanation:
Jessica states that ‘The IT access controls and financial reporting processes are weak,’ identifying them as the biggest challenges.
3.
What actions will Jessica and her team take to address the compliance issues?
They will replace all staff involved in SOX compliance.
They will stop all audits until the next quarter.
They will increase testing and update policies by next month.
They will wait until the annual review to make changes.
Explanation:
Jessica says, ‘We will increase testing and update policies by next month.’
4.
How will the team track progress moving forward?
With weekly meetings and surprise inspections
By checking only the IT department’s records
By using monthly reports and quarterly audits
Through daily phone calls and email reminders
Explanation:
Jessica explains that progress will be tracked using ‘monthly reports and quarterly audits.’
5.
What can be inferred about the company’s overall compliance risk?
It is moderate, especially in IT controls.
It is limited to financial reporting only.
It is currently very high across all departments.
It is nonexistent because all controls are complete.
Explanation:
Jessica says there are ‘no high risks, but medium risks exist in IT controls,’ which supports the inference that the overall risk is moderate, especially in IT controls.
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