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Compliance Management
To acquire expert knowledge about case studies relevant to various Compliances.
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BCS 513 |
Compliance management |
CO 141:Develop expertise in Compliance management, Internal control systems and preparation of various search and status reports CO 142:understand the importance of the compliance framework in an organization and role of the management CO 143:Understand the importance of the documentation and record maintenance and the principles of the good documentations. CO 144:Understand the meaning, nature of search and status report, scope and its importance, legal provisions involved under Companies Act, 2013 relating to creation, modification and satisfaction of charges. CO 145:understand the various KYC requirements and consequences of the incomplete KYC or for Non performing KYC before accepting any engagement CO 146:Understand various aspects which is to be considered by the professional while certifying the e-forms |
Approach in teaching: Interactive Lectures, Discussion, Tutorials, Reading assignments, Demonstration, Learning activities for the students: Self learning assignments, Effective questions, presentation, Giving tasks, |
Class test, Semester end examinations, Quiz, Solving problems in tutorials, Assignments, Presentation, Individual and group projects |
Identification of applicable laws, rules, regulations; Risk Assessment; Responsibility center mapping/ allocation; Escalation & reporting; Creation of Compliance framework and reporting system; Review &Updating; Training & Implementation.
a) Entity wise: Public, Private, Listed, Government, Small Companies, OPC, Section 8 Company, LLP – Annual and Event based compliances.
b) Activity wise: Compliances related to specific activities undertaken.
c) Sector wise: Service Sector, Manufacturing, Trading, E-commerce, Mining, Infrastructure.
d) Industry Specific: Compliances with Industry Specific Laws applicable to the company such as Tourism, Pharmaceutical,
FMCG, Hospitality, Information Technology etc.
e) State and Local applicable laws
Electronic versus Physical repository; General principles of good documentation, coding, storage, preservation, safety & retrieval; Privacy & Control.
Type of Searches, Purpose and Objective of Search Reports, Search under Companies Act, IPR Laws, Property Title Search, Compilation & verification of data published by MCA 21, SEBI, RBI, Stock Exchanges, other regulators/ authorities (national/international), Web-sites and other sources.
KYC: Carrying out KYC with respect to directors, promoters and client, Compliance with the applicable ICSI Guidelines.
Various Certification(s) by Company Secretary in practice; Pre-certification of Forms; Signing &certification of Annual Return; Corporate Governance Certification; Obligations and Penal provisions.
Segment-wise Role of Company Secretaries: Knowledge about the segment(s) in which the company is operating, Industry trends and national and international developments. Segment-wise Compliances.
• Study Material Published by ICSI • Scanner: Arun Kumar (SuchitraPrakashans P Ltd)
