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Assignment Type: Individual Project Deliverable Length: 10–12 pages Points Possible: 150 Due Date: 4/28/2013 11:59:59 PM CT APA Formatted ReferencesIn-Text citations SEC and Creating Audit Report...

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Assignment Type:Individual Project Deliverable Length:10–12 pages
Points Possible:150 Due Date:4/28/2013 11:59:59 PM CT
APA Formatted ReferencesIn-Text citations

SEC and Creating Audit Report

Select a publicly traded company using the U.S. Securities and Exchange Commission (SEC) EDGAR System at http://sec.gov/edgar/searchedgar/companysearch.html and submit to the instructor for approval. Please note that each student must research a different company. Once the instructor has approved the company selection, obtain the Annual Report (Form 10K) and Proxy Statement (Form DEF 14A) of the company for the immediate past fiscal year. Review these documents in addition to Earnings Releases and other financial information available on the company’s Investor Relations website to evaluate the following items.

Independent Auditor’s Report

  • Based on the selected public traded company, what type of auditor’s report was issued on the financial statements.
  • What kind of evidence the auditors found that indicated the company did not follow Generally Accepted Accounting Principles (GAAP).

Audit Committee

  • Identify members of the Audit Committee of the Board of Directors, its functions, and number of meetings held.
  • Determine if the composition of this committee satisfies Public Company Accounting Oversight Board (PCAOB) requirements in terms of independence and accounting knowledge.
  • Review the audit committee report and discuss Committee actions. Determine how these actions ensure the integrity of the audited financial statements.

Independent Registered Public Accountants

  • Identify the company’s independent registered public accounting firm.
  • Determine how long this firm has served as the external auditors.
  • Determine other services, if any, provided to or on behalf of the company.
  • Determine fees paid to this firm by type of service provided.
  • Discuss changes in or disagreements with the accountants on accounting and financial disclosures, if any.

Reports of the Independent Registered Public Accountants

  • Review the report of the independent registered public accounting firm on internal controls. Determine if the report and its contents meet the criteria established in Internal Control – Integrated Framework issued by the Committee of Sponsoring Organizations of the Treadway Commission (COSO) and the PCAOB.
  • Review the report of the independent registered public accounting firm on the audited financial statements. Determine what type of opinion was issued and whether the work performed meets the criteria of COSO and the PCAOB, in addition to GAAP and GAAS.

Prepare a 10-12 page research paper (excluding title page, abstract, references page, and appendices containing financial analysis) in APA format that presents the findings of your analysis of the company’s SEC filings. Your paper should also discuss the following:

  • The type of auditor’s report that was issued.
  • What kind of evidence the auditors found which indicated the company did not follow Generally Accepted Accounting Principles (GAAP).
  • Roles, responsibilities, and objectives of internal and external auditors.
  • Types and assessment of audit and Internal control risks.
  • Ethical standards in auditing and the implications of unethical behavior.
  • Internal control system, its role in a business and its significance in the auditing process.
  • Use of computer assisted auditing techniques.
  • GAAS, GAAP, PCAOB, and COSO requirements for audits of publicly traded companies.

In addition to the SEC Forms, a minimum of five (5) peer-reviewed academic or professional references must be used in the paper.

This assignment will be assessed using the rubric providedhere.

Please submit your assignment.

The following rubric will be used for grading:

Grading Rubric

10%

The type of auditor's report that was issued.

10%

The kind of evidence the auditors found that indicated the company did not follow GAAP.

15%

The roles, responsibilities, and objectives of internal and external auditors.

15%

The types and assessment of audit and internal control risks.

10%

The ethical standards in auditing and the implications of unethical behavior.

10%

The internal control system, its role in a business, and its significance in the auditing process.

10%

Use of computer assisted auditing techniques.

10%

GAAS, GAAP, PCAOB, and COSO requirements for audits of publicly traded companies.

10%

APA format.
Answered Same Day Dec 23, 2021

Solution

Robert answered on Dec 23 2021
120 Votes
Executive Summary:
In this study we have selected a multinational company which is widely traded on a recognized stock exchange.
The objective of this study is to find out whether the company has been successful in delivering value to its
shareholders and has been complied with all the compliances relating to Financial Reporting under Generally
Accepted Accounting Principle. We have analysed all the measures taken care by the Independent Registered
Public Accounting Firm relating to the opinion given by them as well as the responsibilities of Audit Committee
towards the financial reporting and internal control system. Auditing system has also been analysed here under
GAAS, COSO etc.
The company name is „Procter & Gamble‟ (PG) for this project and analysis. PG operates in household
cleaning, personal care, detergents and drugs etc. The company is Multinational manufacturer. PG is
widely traded on a recognized stock exchange.
Independent Auditor’s Report
 Based on the selected public traded company, what type of auditor’s report was issued on the
financial statements.
Deloitte & Touche LLP is the Independent Registered Public Accounting Firm of the Procter & Gamble.
They have audited the consolidated balance sheet, consolidated statements of earning, shareholder equity,
and cash flow for all three years ended June 30, 2012 and given their comment which are as follow;
1. Consolidated Financial Statement is fairly presented.
2. Cash Flows and result of operation are in conformity with the generally accepted
accounting principle.
3. Unqualified opinion about the internal control system over the financial reporting
(Source: Report of Independent Registered Public Accounting Firm, Page no. 34-35)
 What kind of evidence the auditors found that indicated the company did not follow Generally
Accepted Accounting Principles (GAAP).
Audit evidence is all the information used and/ collected by the auditor in a
iving at the conclusions on
which the audit opinion is based. The audit evidence can be internal i.e. obtained form the entity or
external i.e. obtained from party external to the entity. The audit evidences are property of auditor and he
may not require disclosing these to the entity. As per auditing standard requirements, the auditor must
obtain sufficient appropriate audit evidence by performing audit procedures to afford a reasonable basis
for an opinion regarding the financial statements under audit. Sufficiency is the measure of the quantity of
audit evidence. Appropriateness is the measure of the quality of audit evidence.
In the financial statement of Procter & Gamble, Deloitte & Touche LLP not found any non compliance
elating to Generally Accepted Accounting Principles (GAAP). Appropriate audit evidences have been
collected at every stage for the judgment on valuation. In audit procedure it has been ensured that
disclosure is made as per GAAP (Generally accepted accounting principles).
They are fully satisfied with the preparation of financial statement under Generally Accepted Accounting
Principles. Following treatment has been confirmed the details of GAAP compliances;
1. Financial Information about Segments
2. Management Discussion and Analysis Report
3. Global Business Unit
4. Venezuala Cu
ency impact
5. Segment result
6. Corporate
7. Accounting Policies and estimates
(Source: Annual Report, Page no. 2, 12, 13, 19, 20, 24, 28, 34)
Audit Committee
 Identify members of the Audit Committee of the Board of Directors, its functions, and number of
meetings held.
Members of Audit Committee are having good combination of independent as well as dependent directors
and appointed as per New York Stock Exchange listing standards and SEC rules. They have rich
experience in financial matters. Members of Audit Committee are as follow;
1. Ms. Patricia A Woertz (Chair)
2. Mr. Kenneth I. Chenault
3. Ms. Angela F. Braly
4. Dr. Sue Desmond-Hellmann
5. Ms. Maggie Wilderotter
(Source: Annual Report, Page no. 63 & Proxy Statement Page no. 64-65)
http:
www.sec.gov/Archives/edga
data/80424/000119312512367535/d367846ddef14a.htm#tx367846_1
8)
Functions of the Audit Committee are;
Audit Committee is responsible for the establishment, review and effectiveness of internal controls,
Financial Reporting etc.
Internal controls are the policies, procedures and program to ensure the safeguarding of assets, prevention
& detection of fraud and e
ors, and achievement of the entity‟s objectives with regard to financial
eporting etc. They need to review the policies made for Accounting System maintain for valuation of
Investment, Physical verification of Fixed Assets, System of pay roll, Maintenance of petty cash
expenses, Financial Reporting, Valuation of Inventories, Accuracy of material information, Cash
disbursement.
They review that whether Financial Reporting done as per GAAP or not. Function is categorized as
under;
1. Selection of Accounting policies...
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