02 Accounting & Reporting Systems
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This document outlines the key topics for studying accounting and reporting systems, controls, and compliance. It discusses the role of accounting, internal controls, security and auditing, and identifying and preventing fraud. Specifically, it examines accounting functions, regulatory systems, business financial systems, the Turnbull report, types of audits and controls, IT security, identifying fraud risks, and money laundering. The overall focus is on accounting processes, regulatory requirements, internal controls, and fraud prevention within organizations.
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02 Accounting & Reporting Systems
- 1. Accounting & Reporting Systems, Controls & Compliance The Business Instructor www.businessinstructor.blogspot.com
- 2. Study Focus • The Role of Accounting • Control, Security and Audit • Indentifying and Preventing Fraud The Business Instructor - www.businessinstructor.blogspot.com
- 3. The Role of Accounting Study Focus • Accounting is the way of recording, analysing & summarising transactions of a business – Who are the users of financial statements? – The Qualities of Good Accounting Information – The structure of the accounting function • The regulatory System – Company Law, Accounting Standards, GAAP, Internal & External Reporting • Business Financial Systems – Payroll, Purchases, Sales & Cash - The controls in place The Business Instructor - www.businessinstructor.blogspot.com
- 4. Control, Security & Audit Study Focus • Internal Controls should help organisations counter risks, maintain the quality of reporting and comply with laws & regulations. • Turnbull Report – Information, communication process, process for monitoring the effectiveness of the systems • Classification of controls • Internal Checks and Internal Audit • Audit Types – Operational Audit, Social Audit, Systems Audit, Management Investigation & Transactions Audit – Compliance Test & Substantive Testing The Business Instructor - www.businessinstructor.blogspot.com
- 5. • Internal V External Audit • I.T Systems and Security – Security is the protection of data from accidental or deliberate threats and the protection of an information system from such threats. • Physical Threats and controls to put in place – Input and output controls – Security Controls (passwords) – Back Up Controls – Audit Trail – Disaster Recover Plan The Business Instructor - www.businessinstructor.blogspot.com Control, Security & Audit Study Focus
- 6. Identifying and Preventing Fraud Study Focus • Fraud – “Deprivation by Deceit” • 2 Concepts – Removal of funds or assets – Misrepresentation of the financial position of the business • Assessing the risk of Fraud – Signs of high risk include indications of lack of integrity, excessive pressures, poor control systems, unusual transactions & lack of audit evidence • Detection of fraud • Money Laundering The Business Instructor - www.businessinstructor.blogspot.com
- 7. The Business Instructor - www.businessinstructor.blogspot.com Accounting & Reporting Systems, Controls & Compliance