Transcription of Chapter 5 SUPERVISORY COMMITTEE
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Chapter 5 SUPERVISORY COMMITTEE
Chapter 5 SUPERVISORY COMMITTEE TABLE OF CONTENTS SUPERVISORY COMMITTEE .. 5-1 Examination Objectives .. 5-1 Associated Risks .. 5-1 Overview .. 5. 1 Scope Development and Planning .. 5-2 Meeting with the Internal Auditor .. Reviewing the Annual SUPERVISORY COMMITTEE Audit .. Reviewing the Engagement Letter .. 5-5 Finding an Audit or Verification Unacceptable .. Meeting with the SUPERVISORY COMMITTEE .. Meeting with the External Auditor and Review of Working Papers .. 5-3 If Compensated Auditor's Audit Appears Lacking .. Reviewing the Internal Audit Department .. Internal Audit Program Adequacy .. Internal Audit Review .. 5. 10 Verifications .. 5. 10 Working Paper Access .. 5. 10 Signing Waiver Document to Gain Working Paper Access .. 5-11 Supervised Access .. 5. 11 Denial of Access .. 5. 12 Addressing Deficiencies with the SUPERVISORY COMMITTEE .
Chapter 5 SUPERVISORY COMMITTEE Examination 0 Determine the necessary supervision and examination scope based 0 bjectives on the review of the supervisory committee audit, internal audit reports and risk management reports Determine whether the supervisory committee audit and verification meets the requirements of $7 15 and $74 1.202 of the NCUA …
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