The Audit Code of Conduct serves as a foundational document for audit firms and professionals operating in England and Wales, establishing clear guidelines for professional behavior and ethical standards. This document is essential for ensuring compliance with UK regulatory requirements, maintaining audit quality, and promoting public trust in the audit profession. The Code incorporates requirements from the Companies Act 2006, FRC guidelines, and professional standards, providing a comprehensive framework for audit conduct and quality control.
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1. Purpose and Scope: Defines the objectives and application of the code of conduct
2. Fundamental Principles: Core ethical principles including integrity, objectivity, professional competence, confidentiality
3. Independence Requirements: Detailed requirements for maintaining auditor independence
4. Professional Behavior: Expected standards of professional conduct and behavior
5. Quality Control: Standards for maintaining audit quality and consistency
1. Specific Industry Requirements: Additional requirements for specific industries - used when code applies to specialized sectors like financial services or insurance
2. International Considerations: Requirements for international audits - used when organization conducts cross-border audits
1. Independence Declaration Template: Standard form for declaring independence
2. Conflict Check Procedures: Detailed procedures for identifying and managing conflicts of interest
3. Quality Control Checklists: Standard checklists for maintaining audit quality
4. Reporting Templates: Standard templates for audit reports and documentation
5. Ethics Decision Tree: Framework for making ethical decisions in complex situations
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