Câu 15: Advanced CAMS - Audit

Which step should an auditor take when incorporating regulatory examination and audit findings into an audit plan?

1. A. Assess the adequacy of management’s action plan in response to prior findings. — đáp án hiện tại
2. B. Evaluate the qualifications of the person(s) performing the examination.
3. C. Seek prior approval of the regulators before incorporating regulatory examination findings in the audit plan.
4. D. Determine if the financial institution has documented record keeping requirements.