Communicating Internal Control Matters

Free CPA AUD (Auditing & Attestation) lesson in Ethics, Professional Responsibilities and General Principles. 12 min read, ~1,778 words.

AU-C 265 defines three severity levels: control deficiency (design or operation flaw), significant deficiency (merits TCWG attention), material weakness (reasonable possibility of material misstatement). Severity is judged on likelihood × magnitude, evaluate the potential for misstatement, not whether one occurred. Significant deficiencies AND material weaknesses must be communicated in WRITING...

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