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Fraud Internal Control and Cash
Fraud Internal Control and Cash MCQs
?
Which of the following is an objective of a system of internal controls? Select all that apply.
to enhance the accuracy and reliability of accounting records
to overstate liabilities in order to be conservative
to safeguard company assets
to reduce the risk of errors
?
Which of the following statements regarding auditors is true?
They cannot evaluate the system of internal controls of the company that employs them because they are not independent.
They are hired by CPA firms to audit business firms.
They are employees of the IRS who evaluate the internal controls of companies filing tax returns.
They evaluate the system of internal controls for the companies that employ them.
?
The custodian of a company asset ___________ have access to the accounting records for that asset.
Should
Should not
?
Which of the following is best at providing evidence which helps companies enforce the principle of establishing responsibility?
rotating employees' duties
prenumbered documents
background checks
requiring identifying passcodes in order to carry out activities
?
What does the term "bonding" mean when it refers to employees?
They have worked for the company for at least 10 years.
They are allowed to handle cash.
It is impossible for them to steal from the company.
They have been insured against misappropriation of assets.
?
Identify the example of poor internal control.
One person should be responsible for handling related transactions.
The accountant should not have physical custody of the asset nor access to it.
A salesperson makes the sale and a different person ships the goods.
The custodian of an asset should not maintain or have access to the accounting records.
?
When a company uses prenumbered checks and requires an approved invoice for each check, it is using which internal control?
establishment of responsibility
independent internal verification
documentation procedures
segregation of duties
?
When should a bank reconciliation be prepared?
to explain any difference between the depositor’s balance per books and the balance per bank
when the person who is authorized to sign checks wants a reconciliation
when an employee is suspected of fraud
whenever the bank refuses to lend the company money
?
Which of the following does NOT affect the cash balance per books?
bank service charges
outstanding checks
NSF checks
notes collected by the bank
?
________ do NOT require journal entries by the depositor. A : B : C : D :
Collection of a note receivable
An NSF check
Bank service charges
Bank errors
?
A company can try to _________ inventory as a way of ensuring it has adequate cash.
Reduce
Increase
?
A small company that has excess cash should invest it in a company's stock that is expected to increase in the short term.
True
False
?
What does a check marked NSF mean?
not satisfactorily filled out
no service fee
no signature found
no sufficient funds
?
When would a bank issue a credit memorandum?
for a bank service charge
for the collection of a note receivable for the depositor by the bank
for the cost of printing checks
for an NSF (not sufficient funds) check from a customer
?
Cash equivalents are highly liquid investments that are both
notes receivable that will be collected within one year.
readily convertible and very close to their maturity dates.
readily convertible and with a market value that is sensitive to changes in interest rates.
money market funds and have a maturity date of one year or less.
?
When a company allows only designated personnel to handle cash receipts, it is applying the internal control principle of
segregation of duties.
independent internal verification.
documentation procedures.
establishment of responsibility.
?
A voucher system is a series of prescribed control procedures that are designed to
help small firms that may not have checking accounts.
eliminate the need for a sales journal.
check the credit worthiness of customers.
ensure that disbursements by check are proper.
?
All of the following are considered cash equivalents EXCEPT
U.S. Treasury bills.
notes receivable.
money market funds.
cheques.
?
________ enhance the accuracy and reliability of the accounting records.
Automated controls
Mechanical and electronic controls
Physical controls
Logical Control
?
Checks received in the mail should be immediately stamped "For Deposit Only" to prevent unauthorized cashing of the check.
True
False
?
The reconciliation of the cash register tape with the cash in the register _______ an example of independent internal verification.
is
is not
?
When a company has one bookkeeper preparing the cash deposits while another bookkeeper enters the collections in the journal and ledger, the company i...
segregation of duties.
cash flow procedures.
documentation procedures.
monitoring.
?
Supervisors counting cash receipts daily an example of independent internal verification.
is
is not
?
By designating certain personnel to handle cash receipts, a company is following which principle?
independent internal verification
segregation of duties
establishment of responsibility
documentation procedures
?
Designating the same individual to receive the cash and pay the bills ________ an example of a company following an internal control for cash.
is
is not
?
An activity that would NOT contribute to the internal control of cash would be
having one clerk document the cash register tape while another counts and deposits cash.
separating the functions of record keeping and maintaining custody of cash.
giving one clerk access to a cash register tape and the cash.
having one clerk prepare checks and another sign them.
?
Unlike money orders, postdated checks _____ be considered cash.
would
would not
?
All of the following are internal control activities except
combining the functions of record keeping and maintaining custody of cash.
recording all cash receipts promptly.
occasionally conducting surprise audits of cash on hand.
limiting the number of persons who have access to cash.
?
Independent internal verification can include
bonding personnel who handle cash.
storing cash in safes and bank vaults.
authorizing only designated personnel to handle cash receipts.
having a supervisor count cash receipts daily.
?
When a company has one bookkeeper preparing the cash deposits while another bookkeeper enters the collections in the journal and ledger, the company i...
True
False
?
A company practices a type of internal control principle over cash receipts called segregation of duties when it
uses mail receipts, cash register tapes or computer records, and deposit slips.
conducts background checks.
has one bookkeeper preparing cash deposits while another enters the collections in the journal and ledger.
authorizes only designated personnel to handle cash receipts.
?
The definition of cash includes all of the following: coins, money on deposit in a bank, and petty cash.
True
False
?
To prevent unauthorized cashing, ________ should be stamped on a check as soon as it is received in the mail.
For Company Use
For Deposit Only
Do Not Cash
Check Received
?
What is the reconciliation of the cash register tape with the cash in the register an example of?
segregation of duties
independent internal verification
other controls
establishment of responsibility
?
Combining the functions of record keeping and maintaining custody of cash ______ an internal control activity for cash.
is
is not