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Microlesson · 5-min read

Manner and Procedure of Selection and Appointment of Auditors [Rule 3, CAAR 2014]

## Manner and Procedure of Selection & Appointment of Auditors [Rule 3, CAAR 2014]

### Step 1: Evaluating the Proposed Auditor

Whether or not an Audit Committee (AC) is required, the qualifications and experience of the proposed auditor must be considered, and whether these are commensurate with the size and requirements of the company. The AC or Board may call for information from the proposed auditor.

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### When NO Audit Committee is Required

```

Board considers and recommends auditor → Members approve at AGM

```

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### When an Audit Committee IS Required

```

AC recommends auditor to Board

Board AGREES → Board recommends to members → AGM approves

Board DISAGREES → Refers back to AC with reasons

AC reconsiders

├── AC changes recommendation → Board agrees → AGM

└── AC does NOT reconsider → Board records disagreement

+ sends its OWN recommendation to AGM

```

### Key Points on AC–Board Disagreement

  • The Board cannot unilaterally override the AC; it must refer back.
  • The AC has the final substantive say — if it maintains its position, the Board must document its disagreement but the matter still goes to the AGM (with the Board's recommendation).
  • Members at the AGM make the final appointment decision.

Worked example

### Example 1

Scenario: The Audit Committee of ABC Ltd. recommends M/s PQR & Co. as auditor. The Board feels M/s XYZ & Co. is more suitable. What is the correct procedure?

Step 1: Board refers the AC's recommendation back with written reasons for disagreement.

Step 2: AC reconsiders. If AC still recommends M/s PQR & Co., the Board records its own disagreement and places its own recommendation (M/s XYZ & Co.) before the members at the AGM.

Step 3: Members at the AGM decide — they may appoint either firm.

⚠️ Common exam mistakes

  • Stating that the Board can simply overrule the AC — the law requires mandatory referral back before the Board can send its own recommendation.
  • Forgetting that members in the AGM are the final appointing authority, not the Board or the AC.
  • Confusing Rule 3 of CAAR 2014 (appointment procedure) with Section 139 (tenure and eligibility rules).
Reference: Rule 3 — Companies (Audit and Auditors) Rules, 2014
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