Coming soon
Compliance Management
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.
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.
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
Documentation & maintenance of records: Electronic versus Physical repository; General principles of good documentation, coding, storage, preservation, safety & retrieval; Privacy & Control.
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.
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.
1. Study Material Published by ICSI
2. Scanner-Arun Kumar (SuchitraPrakashan (P) Ltd
