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Microlesson · 5-min read

Powers and Duties of Auditor (Section 143)

# Powers and Duties of Auditor — Section 143

## Powers of Auditor — Section 143(1)

Every auditor shall have a right to:

1. Access to Books of Accounts and Vouchers — at all times, whether kept at the registered office or elsewhere.

2. Require information and explanations from the officers of the company as he may consider necessary for performance of his duties.

3. Access to records of Subsidiaries / Associate Companies — so far as it relates to the consolidation of financial statements of the holding company with its subsidiaries/associates.

## Specific Matters of Inquiry — Section 143(1) Proviso

The auditor shall inquire into the following matters (illustrative):

  • Whether loans and advances made by the company on the basis of security have been properly secured and whether the terms are not prejudicial to the interests of the company or its members.
  • Whether transactions of the company which are merely represented by book entries are prejudicial to the interests of the company.
  • Where company is not an investment/banking company, whether so much of the assets of the company as consist of shares, debentures and other securities have been sold at less than their purchase price.
  • Whether loans and advances made by the company have been shown as deposits.
  • Whether personal expenses have been charged to revenue account.
  • Where shares have been allotted for cash, whether cash has actually been received in respect of such allotment, and if not, whether the position as stated in the books and balance sheet is correct, regular and not misleading.

## Duties of Auditor

1. Make Report to members on:

  • Accounts examined by him.
  • Every financial statement laid before the company in general meeting.

2. State whether the financial statements give a true and fair view of the state of affairs.

3. Comply with Auditing Standards (Section 143(9)).

4. Report on matters specified under CARO (Companies Auditor's Report Order), where applicable.

5. Report fraud under Section 143(12) — if the auditor has reason to believe that an offence of fraud involving prescribed amount is being or has been committed against the company by officers/employees, he shall report to the Central Government / Audit Committee / Board (depending on amount).

## Auditor's Report — Statutory Contents

The auditor's report shall state, among other things:

  • Whether he has sought and obtained all information and explanations.
  • Whether proper books of account have been kept.
  • Whether the accounts give a true and fair view.
  • Observations or comments on financial transactions or matters having any adverse effect on the functioning of the company.
  • Any qualification, reservation or adverse remark relating to maintenance of accounts.
  • Whether internal financial controls and operating effectiveness exist (for applicable companies).

Worked example

### Example 1

Example 1 — Access to Subsidiary Records: While auditing Holding Co. H Ltd., the auditor seeks access to books of subsidiary S Ltd. (audited by another firm). Is he entitled?

Answer: Yes. Under Section 143(1) proviso, the auditor has the right to access records of subsidiaries and associate companies so far as it relates to the consolidation of financial statements of the holding company. The right is limited to consolidation purposes only.

### Example 2

Example 2 — Inquiry into Book Entries: The auditor notices that the company has recorded large transactions that are merely book entries between related parties with no actual movement of funds. What should he do?

Answer: The auditor must inquire whether such transactions represented merely by book entries are prejudicial to the interests of the company, and report his findings appropriately under Section 143(1) proviso.

### Example 3

Example 3 — Personal Expenses: The MD of the company has charged ₹5 lakh of personal travel expenses to the company's P&L as 'business promotion'. What is the auditor's duty?

Answer: Under Section 143(1) proviso, the auditor must inquire whether personal expenses have been charged to revenue account and report it as a qualification in his audit report if confirmed.

⚠️ Common exam mistakes

  • Believing the auditor's right of access to subsidiary records is unlimited — it is restricted to consolidation-related matters.
  • Forgetting that the auditor can demand information from 'officers' (which is a defined term under Section 2(59)) and not just from directors.
  • Missing the duty to report fraud to CG under Section 143(12) when above the prescribed threshold (₹1 crore or more) — Audit Committee/Board reporting applies below threshold.
  • Confusing 'true and fair view' with 'true and correct view'.
  • Forgetting to comply with Standards on Auditing under Section 143(9) — non-compliance attracts penalty under Section 143(10).
Bare-Act text Section 143 · Companies Act, 2013 · click to expand
Section 143(1): Every auditor of a company shall have a right of access at all times to the books of account and vouchers of the company, whether kept at the registered office of the company or at any other place and shall be entitled to require from the officers of the company such information and explanation as he may consider necessary for the performance of his duties as auditor and amongst other matters inquire into the following matters, namely:— ... Provided that the auditor of a company which is a holding company shall also have the right of access to the records of all its subsidiaries and associate companies in so far as it relates to the consolidation of its financial statements with that of its subsidiaries and associate companies.
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