Auditing Investments – Understanding Risks and Procedures for the Most Common Investments

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Auditing Investments – Understanding Risks and Procedures for the Most Common Investments

Learning Objectives

To explain typical audit risks associated with auditing the most common investments.
To analyze how to tailor the audit plan to assess risks of material misstatement.
To identify and describe the fundamental principles of accounting for common derivatives.
To discuss fair value presentation and disclosure requirements.

Course Description

Many small- and mid-size entities hold fewer complex investments, including mutual funds, ‘plain vanilla’ derivatives (such as interest rate swaps), and permanent life insurance policies. As auditors, we usually audit investments that the client has on their financial statements by testing various audit assertions including existence, completeness, valuation, and rights and obligations.

In the audit procedures for investments, we need to test various audit assertions:

Existence,
Valuation,
Completeness, and
Rights and obligations.

Major topics covered in this CPE Auditing Webinar are:

Overview of the most common investment types
Typical audit risks and related audit procedures for common investments
The basics of accounting for equity investments in other entities
Understanding common ‘plain vanilla’ derivatives, like interest rate swaps
Fair value disclosure, including applying the fair value hierarchy

This CPE webinar will provide an overview for evaluating the proper recognition, measurement, and disclosure of the most common investment types.

Here is the link to your interests: CPE Courses for Certified Internal Auditors.

Webinar Qualifies For

2 CPE Credit of Auditing for Certified Public Accountants (CPA-US)
2 General Credit of Auditing for Accountant/Bookkeeper/Tax Professionals
2 CPE Credit of Risk Management for Certified Internal Auditors (CIA)
2 CPE Credit of Auditing for Certified Fraud Examiner (CFE)
2 CPE Credit of Auditing for Certified Management Accountants (CMA)
2 CPE Credit of Auditing for Certification in Risk Management Assurance (CRMA)
2 CPD Credit of Auditing for Certified Financial Forensics (CFF)
2 CPE Credit of Auditing for Certified Government Financial Manager (CGFM)
2 CPE Credit of Auditing for Certified Government Auditing Professional (CGAP)
2 CPE Credit of Auditing for Internal Audit Practitioner (IAP)
2 CPE Credit of Risk Management for Certified Internal Controls Auditor (CICA)
2 CPE Credit of Auditing for Qualification in Internal Audit Leadership (QIAL)
2 CPE Credit of Auditing for Iowa Licensed Public Accountant (IA-LPA)
2 CPE Credit of Auditing for Maine Licensed Public Accountant (ME-LPA)
2 CPE Credit of Auditing for Delaware Licensed Public Accountant (DE-LPA)
2 CPE Credit of Risk Management for Certified Controls Specialist (CCS)

About Instructor

Jennifer Louis, CPA (US)

President, Emergent Solutions Group LLC

Jennifer F. Louis, CPA has over 25 years of experience in designing and instructing high-quality training programs in a wide variety of technical and “soft skills” topics needed for professional and organization success. In 2003, she founded Emergent Solutions Group, LLC, where she focuses her energy on designing and delivering high-quality, practical, and engaging accounting and auditing training. She was most recently Director of Audit Product Development at Surgent Professional Education, and prior to that served as Executive Vice President/Director of Training Services at AuditWatch, Inc., a highly-respected training and audit process consulting firm. Before joining AuditWatch, Jennifer was the Financial/Operational Audit Manager at AARP. At the start of her professional career, Jennifer was an Audit Manager for Deloitte & Touche LLP, where she frequently served as a local and national instructor. Jennifer graduated summa cum laude from Marymount University with a BBA-Accounting. Besides loving life on the lake with her husband in Charlotte, NC, she enjoys hiking with her little dog Frodo Beggins, and savoring any precious moments spent with her two young adult boys.

Additional Information

Duration

2 Hours

Course Level

Basic

Instructional Method

Group Internet Based

Pre-requisites

None

Advance Preparation

None

FAQ’s

Click Here to View

NASBA APPROVED

MY-CPE LLC, 1600 Highway 6 south, suite 250, sugar land, TX, 77478

MY-CPE LLC (Sponsor Id#: 143597) is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.NASBARegistry.org.

Ratings and Review

4.6

Excellent

Very Good

Average

Poor

Terrible

Leilani Garcia, CIA

Differenciated different tzpes of investments and how to record and audit them efectively

Janice Ellis, CPA (US)

Wonder presentation with lots of information. Wish we had more time for this topic.

Matthew Aguilar, CPA (US)

Excellent overview of an important subject not often discussed.

Laura Neimeh, CIA

Very instructive, clearly explained , interesting examples .

Kelsey Mason, CPA (US)

Great webinar! Highly recommend!

2 Credits

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Subject Area

Auditing

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Auditing Investments – Understanding Risks and Procedures for the Most Common Investments

Course Details

Learning Objectives

Course Description

Qualifies for

Webinar Qualifies For

Presenter Details

About Instructor

Jennifer Louis, CPA (US)

Other Details

Additional Information

2 Hours

Basic

Group Internet Based

None

None

FAQ’s

NASBA APPROVED

Ratings and Review

4.6

Leilani Garcia, CIA

Janice Ellis, CPA (US)

Matthew Aguilar, CPA (US)

Laura Neimeh, CIA

Kelsey Mason, CPA (US)

Subject Area

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