Wednesday, May 27, 2015

(P7 PYQ) Chapter 13: The Audit of Historical Financial Information

(P7 PYQ) Chapter 13: The Audit of Historical Financial Information
Dec 2013 Q1(a)(i)(ii)
(i) Explain the risk of material misstatement to be considered(In planning
     the group audit). Commenting on their materiality to the group FS.
     Matters to be discussed:
     (i) Zennor Co
     (ii) Broadway Co
(ii) Identify any further information that may be needed.
____________________________________________________________

(i) Zennor Co
     Materiality (Zennor Co)
     1) What should be done 1st to evaluate the materiality? How to translate?
         (Retranslation from Dingu to $, with the exchange rate of 4 Dingu = $1)
     2) What is the amount of projected pft and total asset after translation?
          (Projected pft = $22.5m, total assets = $200m)

     3) Is the projected pft and assets material? Why?
         (Pft represents 11.3% of group pft, asset represent 8% of group asset =
          Material and considered to be a significant component of it.)
     4) What is significant component?
         (Something that is identified by the auditor as being of individual financial
          significance to the group)
     5) Why is Zennor Coa significant component?
         (Due to its risk profile and the change in group structure which has occured
          in the year.)

     6) Any other item of Zennor Co is material? Why?
         (Goodwill arising on the acquisition of Zennor Co, it amounts to 2.4% of
          group asset = Material)
         [Because the bal. above, including goodwill, are based on foreign currency,
          Need to retranslated at the yr end using closing exchange rate.(To determine
          and conclide on materiality as at the year end.)]

     7) How should materiality being assessed?
         (Assess based on the new, enlarged group structure)
     8) When is the materiality for the group FS as a whole will be determined?
         (When establishing the overall group audit strategy)
     9) What is the effect of adding Zennor Co to the group?
         (Cause materiality to be different from previous yrs, affecting audit strategy
          and the extent of testing in some areas)

     Risks of material misstatement (Zennor Co)
     (a) Retranslation of Zennor Co's Financial Statements.
          1) What is the related IAS and the requirement(Rules)?
              (According to IAS 21 The effects of Changes in Exchange Rates
              (Asset and Liabilities of Zennor Co should be retranslated using close
               exchange rate.)
              (Income and Expenses should be retranslated at the exchange rates at the
               date of transactions)
   
          2) What is the risk? (Incorrect exchange rates are used for the retranslations)
          3) What is the impact of the risk?
              [Result in over/understatement of asset, liabilities, inc and exp that are
               consolidated(Include goodwill)]
              (Exchange gains and losses arising on retranslation and to be included in the
               group OCI are incorrectly determined.)

     (b) Measurement and recognition of exchange gains and losses.
          1) What is the problem of exchange gains and losses?
              (Calculation of exchange gains and losses can be complex)
          2) What is the risk? Example?
              (Risk that it is not calculated correctly, or some elements are omitted, E.g.
               Exchange gains and losses arising on retranslation of goodwill may be
               missed out of the calculation)

          3) What is the related IAS and the requirement(Rules)?
              (IAS 21, states that exchange gains and losses arising as a result of the
               retranslation of the subsidiary's balances = Recognied in OCI)
          4) What is the other risk? For example?
              (Incorrect classification, E.g. the gain or loss could be recognised incorrectly
               as part of pft for the yr.)

     (c) Initial measurement of goodwill.
          1) What should be done to calculate goodwill?
              [Assets and liabilities of Zennor Co must have been identified and measured,
               (At fair value at the date of acquisition)]

          2) Why is there risk of material misstatement?
              (Because the various component of goodwill each have specific risk attached)
          3) Example of risk?
              [Not all assets and liabilities may have been identified.(Contingent liabilities
               and contingent assets may be omitted)]
              [Fair value is subjective.(And based on assumptions which may not be valid)]
              [The cost of investment is not stated correctly.(Any contingent consideration
               has not been included in calculation)]

     (d) Subsequent measurement of goodwill.
          1) What is the related IAS and the requirement(Rules)?
              (IFRS 3 Biz Combinations, goodwill should be subject to an impairment
               review on an annual basis)
          2) What is the risk?
              (A review has not taken place.)
          3) What is the impact of the risk?
              [Goodwill is overstated, and Group operating expenses understated.
               (if impairment loss have not been recognised)]

     (e) Consolidation of income and expenses
          1) What is in the case? What should have been done?
              (Zennor Co was acquired on 1/2/2013, its inc and exp should have been
               consolidated from that date)
          2) What is the risk? (Full year's inc and exp have been consolidated)
          3) What is the impact of the risk? (Overstated group profit)

     (f) Disclosure
          1) What is the related IAS and the requirement(Rules)?
              (IFRS 3, Required extensive disclosures to be included in the notes to the
               Group financial statements)
          2) What is the item to be included? [Acquisition date, reason for acquisition
              and a description of the factors (Which make up the goodwill acquired)]
          3) What is the risk? (The disclosures are incomplete or not understandable)

     (g) Intra-group transactions
          1) What is in the case? [There will be significant volume of intra-group
              transactions. (As the group is supplying Zennor Co with inventory)]
          2) What is the risk?
              (Intra-group sales, purchases, payables and receivables are not eliminated)
          3) Impact of the risk?
              (Overstated revenue, cost of sales, payables and receivables in the group FS.)

          4) What is the other risk?
              (Intercompany transactions are not identified in either/ both companies' a/c
               systems)

          5) What is the related IAS and the requirement/rules?
              (IAS 24 Related Party Disclosures, Intra-group transactions = Related party
               Disclosures) [Zennor Co is under the control of the Group]
              [No disclosure of the transactions is required (In the group FS) in respect of
               intra-group transaction. (Bcz they're eliminated on consolidation)]
              (Both the individual FS of the Group Co supplying Zennor Co and the FS of
               Zenor Co = Must contain notes disclosing details of the intra-group transactions)
          6) What is the risk? (Disclosure is not provided)

          7) What is the other issue in the case?
              (Cars may be supplied including a pft margin or mark up)
          8) What should be done?
              (A provision for unrealised pft should be recognised in the group FS.)
          9) What is the impact of the risk(Provision not accounted)?
              (Group inventory will be overstated, Operating pft overstated)

     (h) Completeness of inventory
          1) What is the risk?
             [Cars which are transit to Zennor Co (At the yr end) may be omitted from inv,]
             [Items of inv will be missing from the Group's current asset (As they may have
              been recorded as despatched from the seller, but not yet as received by Zennor
              Co.)]
          2) Why the risk may happen?
              (Cars spend a lot of time in transit and awaiting delivery to Zennor Co.)
              (Without a good system of controls in place)
          3) Is the amount of inventory material? Why?
              (Inv in transit to Zennor Co = 2.3% of Group total assets.)
              (Material to the consolidated FS.)

     (i) Further information in relation to Zennor Co
          1) Prior yr FS and Auditor's reports.
          2) Minutes of meetings (Where acquisition were discussed)
          3) Biz Background (E.g. from the Co's website or trade journals)
          4) Copies of system documentation (From the internal audit team)
          5) Confirmation from Zennor Co's previous auditors.
              (Of any matters which they wish to bring to our attention)
          6) Projected FS for theyr to 31/12/2013.
          7) A copy of the due diligence report.
          8) Copies of prior year tax computations.
         
(ii) Broadway Co
     Materiality
     1) Is Broadway Co material? Why?
         (Pft made on the disposal of Broadway Co represents 12.5% of group pft for
          the year = Therefore, the transaction is material to the group FS)
   
     2) How to calculate/derived the asset derecognised (For the disposal)?
         (Subsidiary was sold for $180m & pft on disposal $25m was recognised =
          Group's FS must have derecognised net assets of $155m on the disposal)
     3) Is the amount of asset dercognised material? Why?
         (It amounts to 6.2% of the Group's assets = Material)
         [This is assuming that the pft on disposal has been correctly calculated.]      

     Risk of material misstatement
     (a) Derecognition of assets and liabilities.
          1) What should be done (For the disposal of Broadway)?
              [All of its assets and liabilities (Which have been recognised in the Group FS)
               = Should have derecognised (At their carrying value), including and goodwill
                  in respect of the Co.]
          2) What is the risk?
              (Not all assets, liabilities and goodwill have been derecognised.)
          3) What is the impact of the risk?
              [Overstatement of those balances, Incorrect pft on disposal (Being calculated
               and included in Group pft for the yr.)]

     (b) Profit consolidated prior to disposal.
          1) What is the risk?
              (Broadway Co's inc for the yr has been incorrectly consolidated)
          2) What should have done?
              [Include pft in Group pft (Up to date that control passed)]
              (Any pft included after that point = Overstatement of Group pft for the year)

     (c) Calculation of profit on disposal
          1) What is the risk? (The pft has not been accurately calculated)
          2) Example of the risk?
              [Proceeds received have not been measured at FV. (As required by IFRS 10
               Consolidated FS)], or
              (That elements of the calculation are missing)

     (d) Classification and disclosure of profit on disposal.
          1) What is the related IAS and the requirement (Rules)?
              [IAS 1 Presentation of FS = Requires separate disclosure on the face of the
               FS of material items. (To enhance the understanding of performance during
               the year)]
          2) What should be done according to the IAS? Why?
              [Separate disclosure is necessary (As pft of $25m is material)]
          3) What is the risk?
              [Pft is not separately disclosed. (E.g. Netted from operating expenses =
               Leading to material misstatement)]

          4) What is the other related IAS and the requirement (Rules)?
              [IAS 7 Statement of Cash Flows = Requires a note which analyses the assets
               & liabilities of the subsidiary (At the date of disposal)]
              [Extensive disclosure requirements exist in relation to subsidiaries disposed of]
          5) What is the risk? (Not all necessary notes to the FS are provided)

     (e) Treatment of the disposal in parent Co individual financial statements
          1) What should be done?
              [The parent co's FS = Should derecognise the original cost of investment,
                                              Recognise a pft on disposal (Based on the diff between
                                              the proceeds of $180m and the cost of investment)]
          2) What is the risk?
              (Investment has not been derecognised or pft incorrectly calculated)

     (f) Tax on disposal
          1) What should be done? [An accrual in both the parent Co and the group FS (For
              the tax due on disposal)]
          2) How to calculate the tax due on the disposal?
              (Calculated based on the pft recognised in the parent Co.)
          3) What is the risk? (Tax is not accrued for, and Tax calculation is not accurate.)
          4) What is the impact of the risk? (Overstated pft, Understated liabilities)
     
     (g) Further information needed
          1) Is there any need for further information in relation to audit planning? Why?
              [No need any further information. (As Compton & Co no longer the auditor of
               Broadway Co)]
________________________________________________________________________

Dec 2013 Q3(a)(i)
Comment on the matters which you should consider.
Matters to be discussed:
(i) Impairment of assets.
(ii) Provisions and Liabilities
(iii) Going concern
_________________________________________________________________

(i) Impairment of assets.
   (a) Mine
       1) Materiality level?
           (Mine recognised at $10m = 5.7% of total sales, material to SOFP)
       2) What happened in the case? (Accident caused part of the mine to be
            unusable, indicates impairment)
       3) What is the related IAS and requirement(Rules)? [IAS 36, Requires
            an impairment review shd be conducted(When there is indicator of
            potential impairment of assets)]
       4) What should be done by management? Purpose? (Perform a review,
            to determine the recoverable amount of the mine)
       5) What is the impact if management do not do as the requirement of
            the IAS? [Asset overstated, Pft overstated.(If impairment review
            not performed, no adjustment on carrying value of the mine)]

       6) What is the correct accounting treatment in the case? (1/3 mine
            become unusable = Presumably no f.e.b. can be derived, therefore
            1/3 of mine's carrying value need to be write off)
       7) Is the amount material? (Amount write off is $3.33m = 18.5% of pft
            of the year, therefore potentially material to Dasset Co's pft)

       8) What is the worst case scenario?
            [>1/3 of the mine unusable (Due to the mine being unsafe and should
             shut down, or National Coal Mining Authority withdraw license to
             operate the Ledge Hill mine completely)]
       9) What is the impact of worst case scenario? Material?
            (The impairment loss would be extended to full value of mine,
              Increase materiality of matter in FS)

   (b) Equipment
        1) What happened in the case? (Some eqp may no longer be used, some
             eqp may be recovered, but it is likely that large proportion of it will
             have to be abandoned and written off)
        2) What is the impact on impairment?
             (Increase the impairment loss to be recognised)

   (c) Separate disclosure
       1) What is the related IAS regarding presentation of FS and the rules
            (Requirement)?
            (IAS 1, Require individual inc or exp disclosed separately)
       2) What should be done(Example) in the case according to the IAS?
            (Impairment of asset as an example which may warrant separate
             disclosure)

   (d) Catogorisation of Asset/ Expenses
        1) How and when to treat the costs to ensure safety?
            (Cap Exp, at the time the cost incurred.)
        2) How to treat the cost incurred incurred in making the tunnels safe?
            Why being treated this way? (Expensed off, As they do not relate
             to f.e.b. and do not meet the definition of an asset)
        3) What is the risk in this aspect? (Cap and rev exp have not been
            appropriately taken)

(ii) Provisions and Liabilities.


(iii) Going Concern

_______________________________________________________________________

Dec 2013 Q3(a)(ii)
Describe the audit evidence which you should expect to find.

1) What? (A copy of operating license.)
    Why? [Reviewed for conditions relating to health and safety and for potential fines(
     Which may be imposed in the event of non-co)

2) What? (A written representation from management)
    Why? ()

3) What? (A copy of board minutes)
    Why? ()

4) What? (A copy of report issued by engineers or other mining specialist.)
    Why? ()

5) What? (Any quotes obtained for work to be performed.)
    Why? ()

6) What? (Reviewing a specialist report.)
    Why? ()

7) What? [A copy of surveyor's report(On the residential properties)]
    Why? [Reviewed for the expert's opinion (Whether they should be demolished)]

8) What? (Copies of legal correspondence)
    Why? (Reviewed for any further claims made by local residents.)

9) What? (A review of the Ledge Hill Mine accident book)
    Why? (Confirmation that no one was injurred in the accident.)

10) What? (A copy of management's impairment review, if any.)
     Why?
     (Evaluated to ensure that assumptions are reasonable.), and
     (In line with with auditor understanding of the situation)

11) What? [Confirmation (That impairment losses have been recognised as an
      operating expenses)]

12) What? [A review of draft disclosure notes to the FS (Where provisions and
     contingent liabilities have been discussed)]

13) What? (A review of cash flow and profit forecasts.)
     Why? (Forming a view on the overall going concern status of the Co.)

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