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Microlesson · 5-min read

Resignation of Statutory Auditor During the Year

## CARO Clause: Resignation of Statutory Auditor

### What to Report

The auditor must disclose:

1. Whether there was any resignation of the statutory auditor during the financial year

2. If yes, whether the incoming auditor has taken into account the issues, objections, or concerns raised by the outgoing auditor

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### Why This Clause Exists

An abrupt mid-year resignation can sometimes signal that the outgoing auditor encountered material issues they were unwilling to sign off on. This requirement prevents significant audit findings from being quietly abandoned when an auditor exits.

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### Key Obligation on the Incoming Auditor

  • The successor auditor must consider and address concerns raised by the predecessor — not disregard them.
  • This aligns with professional standards requiring communication between predecessor and successor auditors.
  • Merely acknowledging the concerns is insufficient; the incoming auditor must demonstrate they have been properly examined.

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### Auditor's Procedure

1. Verify whether any statutory auditor resigned during the year (check ROC filings, board minutes).

2. If yes, obtain the resignation letter and any written communication from the outgoing auditor detailing their concerns.

3. Document how identified issues were addressed in the current audit.

4. Report findings in the CARO report.

Worked example

### Example 1

Firm A's statutory auditor resigned in October citing concerns about unrecorded related-party transactions. The incoming auditor, appointed in November, must: (a) obtain the outgoing auditor's resignation letter and concerns; (b) specifically audit related-party transactions; (c) disclose in CARO that a resignation occurred and that the concerns were examined.

### Example 2

No auditor resigned during the year — the CARO report simply states: 'There has been no resignation of the statutory auditor during the year.' No further disclosure is needed for this clause.

⚠️ Common exam mistakes

  • Reporting only that a resignation occurred without addressing whether the successor auditor considered the outgoing auditor's concerns.
  • Failing to check ROC filings (Form ADT-3) where auditor resignations must be filed — relying only on management representation.
  • Treating this as a formality when the outgoing auditor raised substantive concerns — those concerns must be investigated, not just noted.
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