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Which departments are responsible for preparing the sales order, approving the sales order, preparing the bill of lading, and preparing the invoice?
Sales: prepares the sales order
Credit: approves the sales order
Shipping: prepares the bill of lading
Billing: prepares the invoice
Which department should approve write-offs of uncollectible accounts?
The treasurer’s department should approve write-offs of uncollectible accounts.
A listing of cash receipts should be sent to which three departments?
The cashier
AR (billing)
General accounting departments
Each should receive a copy of the cash receipts listing.
What are some common audit procedures related to the revenue cycle?
trace a sample of shipping documents to sales invoices and the sales journal (completeness)
vouch a samples of sales transactions from the sales journal to the shipping documents (existence)
Examine sales transactions from shortly before and after year-end for recording in the proper period (cutoff)
confirmation of a sample of AR (existence)
testing of the allowance for uncollectible accounts (valuation)
read sales-related disclosures to ensure they are clear and understandable and that all required disclosures have been included (completeness and presentation)
Compare and contrast positive, negative, and blank confirmations
Positive confirmation: customer is requested to return confirmation to the auditor. Should be used when accounts are large, errors are expected, or items are disputed.
Negative confirmation: customer is requested to reply only if amount stated by auditor is incorrect. Should be used when combined assessed level of inherent and control risk is low, a large number of small balances are being confirmed, and recipients are not expected to disregard the confirmations.
Blank confirmation: a positive confirmation that does not include the balance, instead requesting the recipient to provide this information. Blank confirmations provide greater assurance but may result in lower response rates.