COMPLIANCE MANAGEMENT

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

Course Outcomes (COs):

Course Outcomes

Learning and teaching strategies

Assessment

Strategies

On completion of this course, the students will be able to;

CO 166:Evaluate and expertise in Compliance management, Internal control systems and preparation of various search and status reports

CO 167:Analyze the importance of the compliance framework in an organization and role of the management

CO 168:Moderate the importance of the documentation and record maintenance and the principles of the good documentations.

CO 169: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. Integrating the various KYC requirements and consequences of the incomplete KYC or for Non performing KYC before accepting any engagement.

CO 170

     
     
     
   
     
     

: To assess the concept of signing and certification and role of CS.

 

Class lectures

Seminars

Tutorials

Group discussions and

Workshops

Question preparation

Class test, Semester end examinations, Quiz, Solving problems in tutorials, Assignments, Presentation, Individual and group projects

 

9.00
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: 
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: 
Documentation

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

 

9.00
Unit IV: 
Search and Status Report and KYC

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: 
Signing and Role of Company Secretary

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.

 

Essential Readings: 

ESSENTIAL READINGS:

  • Study Material Published by ICSI

 

SUGGESTED READINGS:

  • Scanner-Arun Kumar(ShuchitaPrakashans(P) Ltd)

 

References: 

e-RESOURCES:

https://www.icsi.edu/media/webmodules/10112021_Module_2_Paper_4_SACMDD_Book.pdf

 

JOURNALS:

https://www.icsi.edu/e-journals/

 

Academic Year: 
2022-2023
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