Accounting and Taxation
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Home > Compliance Management

Compliance Management [1]

Paper Code: 
BCS 412
Credits: 
3
Contact Hours: 
45.00
Max. Marks: 
100.00
Objective: 

To acquire understanding of the compliance management of various business transactions.

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 &Updation; Training  & Implementation.

 

 

9.00
Unit II: 

Compliances:

  • Entity wise: Public, Private, Listed, Government, Small Companies, OPC, Section 8 Company, LLP – Annual and Event based compliances.
  • Activity wise: Compliances related to specific activities undertaken.
  • Sector wise: Service Sector, Manufacturing, Trading, E-commerce, Mining, Infrastructure.
  • 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 & 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 :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 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 (Suchitra Prakashan (P) Ltd

 

Academic Year: 
2018-2019 [2]

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Source URL: https://accountingtaxation.iisuniv.ac.in/courses/subjects/due-diligence-0

Links:
[1] https://accountingtaxation.iisuniv.ac.in/courses/subjects/due-diligence-0
[2] https://accountingtaxation.iisuniv.ac.in/academic-year/2018-2019