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Microlesson · 5-min read

Services Not to be Rendered by Auditor — Section 144

# Auditor Not to Render Certain Services — Section 144

## Core Idea

An auditor appointed under the Companies Act shall provide to the company only such services as are approved by the Board of Directors or the Audit Committee. However, the section expressly prohibits the auditor from rendering certain services to the company, its holding company or subsidiary company — whether directly or indirectly.

## Prohibited Services (Negative List)

1. Accounting and book-keeping services

2. Internal audit

3. Design and implementation of any financial information system

4. Actuarial services

5. Investment advisory services

6. Investment banking services

7. Rendering of outsourced financial services

8. Management services

9. Any other service as may be prescribed

## Meaning of 'Directly or Indirectly'

The term 'directly or indirectly' for the purpose of this section shall include rendering of services by the auditor:

If auditor is an individualIf auditor is a firm
HimselfItself
Through his relativeThrough any of its partners
Through any other person connected or associated with such individualThrough its parent / subsidiary / associate entity
Through any other entity in which such individual has significant influence or control, or whose name or trademark or brand is used by such individualThrough any other entity in which the firm or any partner has significant influence or control, or whose name or trademark or brand is used by the firm or any of its partners

## Transitional Provision

An auditor or audit firm who, before commencement of the Act, was rendering any of the above services to the company, may continue till the closure of the first financial year after such commencement, and thereafter shall not render such services.

## Linkage with Section 141 (Disqualifications)

Rendering of any prohibited service results in disqualification under Section 141 — and the auditor shall vacate office. Vacancy so caused is a casual vacancy.

Worked example

### Example 1

Q. Mr. A, statutory auditor of P Ltd, accepts an assignment for internal audit of S Ltd (subsidiary of P Ltd). Is it valid?

A. No. Section 144 prohibits the auditor from rendering internal audit services directly or indirectly to the company, its holding or subsidiary. Hence, accepting internal audit of subsidiary S Ltd is a violation. Mr. A will be deemed disqualified u/s 141 and must vacate office.

### Example 2

Q. CA X is auditor of Y Ltd. Mrs. X (his wife/relative) starts providing book-keeping services to Y Ltd through her proprietorship. Permissible?

A. No. 'Directly or indirectly' includes services rendered through a relative. Hence, book-keeping by Mrs. X amounts to indirect rendering of prohibited service by the auditor — violation of Section 144.

⚠️ Common exam mistakes

  • Forgetting that the prohibition extends to holding and subsidiary companies — not just the auditee company.
  • Missing the 'indirect' rendering — i.e., through relatives, partners, or entities under significant influence.
  • Confusing 'management services' (prohibited) with 'taxation services' (permitted, by implication).
  • Treating taxation, certification or representation work as prohibited — these are NOT in the negative list.
Bare-Act text Section 144 · Companies Act, 2013 · click to expand
Section 144: An auditor appointed under this Act shall provide to the company only such other services as are approved by the Board of Directors or the audit committee, as the case may be, but which shall not include any of the following services (whether such services are rendered directly or indirectly to the company or its holding company or subsidiary company), namely:— (a) accounting and book keeping services; (b) internal audit; (c) design and implementation of any financial information system; (d) actuarial services; (e) investment advisory services; (f) investment banking services; (g) rendering of outsourced financial services; (h) management services; and (i) any other kind of services as may be prescribed.
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