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Exam AUD topic 1 question 409 discussion

Actual exam question from AICPA's AUD
Question #: 409
Topic #: 1
[All AUD Questions]

Which of the following factors most likely would lead a CPA to conclude that a potential audit engagement should not be accepted?

  • A. There are significant related party transactions that management claims occurred in the ordinary course of business.
  • B. Internal control activities requiring the segregation of duties are subject to management override.
  • C. Management continues to employ an inefficient system of information technology to record financial transactions.
  • D. It is unlikely that sufficient appropriate audit evidence is available to support an opinion on the financial statements.
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Suggested Answer: D 🗳️
Choice "D" is correct. If it is unlikely that sufficient appropriate audit evidence will be available to support an opinion on the financial statements, it would be pointless to conduct an audit.
Choice "A" is incorrect. The existence of significant related party transactions would not prevent the auditor from accepting an audit engagement, regardless of the whether or not such transactions occurred in the ordinary course of business. The auditor would simply need to evaluate management's methods for identifying and disclosing related party transactions, and ultimately evaluate financial statement disclosure, as part of the audit.
Choice "B" is incorrect. Internal control activities are often subject to management override, but this is no reason to reject a potential audit engagement. Rather, this risk should be assessed, and audit procedures should be designed only after taking into account the assessed level of risk.
Choice "C" is incorrect. An inefficient system of information technology for recording financial transactions may not be optimal for the company, but as long as it is an effective system (i.e., as long as it provides reliable financial reporting), it will not affect the auditor's decision regarding acceptance of a new audit engagement.

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