Compliance Management

Paper Code: 
BCS 514
Credits: 
3
Contact Hours: 
45.00
Max. Marks: 
100.00
Objective: 

To acquire expert knowledge about case studies relevant to various Compliances.

CO 1:Evaluate and expertise in Compliance management, Internal control systems and preparation of various search and status reports

CO 2:Analyze the importance of the compliance framework in an organization and role of the management

CO 3:Moderate the importance of the documentation and record maintenance and the principles of the good documentations.

CO 4:Validating 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.

 

9.00
Unit I: 
UNIT I

Compliance Framework – 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.

 

9.00
Unit II: 
UNIT II

Compliances

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

 

9.00
Unit III: 
UNIT III

Documentation & maintenance of records: Electronic versus Physical repository; General principles of good documentation, coding, storage, preservation, safety & retrieval; Privacy & Control.

 

 

9.00
Unit IV: 
UNIT IV

Search and Status Report :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.

 

9.00
Unit V: 
UNIT V

Signing and Certification :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.

 

References: 

1. Study Material Published by ICSI

2. Scanner-Arun Kumar (SuchitraPrakashan (P) Ltd

 

Academic Year: 
2021-2022
  • Printer-friendly version
  • PDF version