Secretarial Audit and Corporate Compliance Management

Paper Code: 
BCS 512
Credits: 
03
Contact Hours: 
45.00
Max. Marks: 
100.00
Objective: 

To acquire thorough understanding of secretarial audit and Corporate Compliance Management.

9.00
Unit I: 
Secretarial Standards

• Concept, Scope and Advantages

• Secretarial Standards issued by the ICSI

• Compliance of Secretarial Standards for Good Governance

• Relevance of Guidance Note(s)

9.00
Unit II: 
Secretarial Audit

• Need, Objective and Scope

• Periodicity and Format for Secretarial Audit Report

• Benefits of Secretarial Audit

• Professional Responsibilities and Penalties

9.00
Unit III: 
Checklist for Secretarial Audit

Search and Status Reports

• Importance and Scope

• Verification of Documents relating to Charges

9.00
Unit IV: 
Search and Status Reports.

• Requirements of Financial Institutions and Corporate Lenders

• Preparation of Report

9.00
Unit V: 
Compliance Management

• Concept and Significance

• Establishment of Compliance Management System

• Absolute, Apparent and Adequate Compliance

References: 

1. Compliance and Procedure under SEBI Law, -Mamta Bhargav (Shreeji Publishers, New Delhi)

2. SEBI Manual (Taxmann)

3. Foreign Exchange Management Manual-(Snowwhite)

4. Security Management and Compliances (ICSI)

5. The Art of M&A Due Diligence-Alexandra Reed Lajoux & Charles M Elson

6. Bare Acts

7. Joint Ventures (Rao)

8. Journal-Corporate Law Advisor-Vishman Publisher (P) Ltd

9. Journal -Corporate Courier- The tax publisher

10. Study material published by ICSI

 

Academic Year: 
2015-2016
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