Secretarial Audit, Compliance Management and Due Diligence

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2 Paper Secretarial Audit, Compliance Management and Due Diligence Syllabus Bird's-Eye View Line Chart Showing Relative Importance of Chapters Table Showing Importance of Chapter on the Basis of Marks Table Showing Importance of Chapter on the Basis of Marks of Compulsory Questions Legends for the Graphs Amendment Made by Companies (Amendment) Act, Study Material Based Contents Competition Law Due Diligence Legal Due Diligence Due Diligence for Banks Environmental Due Diligence Search/Status Reports Compliance Management Question Paper of December, Question Paper of June, Model Test Paper Model Test Paper

3 Syllabus Paper Secretarial Audit, Compliance (00 marks) Management and Due Diligence Level of knowledge : Expert knowledge Objective : (i) To acquire thorough understanding of Secretarial Audit and Corporate Compliance Management. To acquire understanding of the due diligence of various business transactions. Detailed Contents: Part A: Secretarial Audit ( Marks). Concept, Scope and Advantages Secretarial Standards issued by the ICSI Compliance of Secretarial Standards for Good Governance Relevance of Guidance Note(s). Checklist for Secretarial Audit Need, Objective and Scope Periodicity and Format for Secretarial Audit Report Benefits of Secretarial Audit Professional Responsibilities and Penalties. Due Diligence - An Introduction, Nature, Need and its Significance Objectives, Scope and Types of Due Diligence Process of Due Diligence Concept of Data Room in Due Diligence Due Diligence vs. Audit Part B: Due Diligence and Compliance Management (7 Marks). Introduction and Regulatory Framework Pre and Post Issue Due Diligence - IPO/FPO Due Diligence - Preferential Issues of Listed and Unlisted Companies.

4 Employee Stock Option, Bonus Issue, Rights Issue, Debt Issues by SMEs Role of Company Secretary in. Introduction; Broad Regulatory Framework; Parties, Approvals, Documentation and Process Issue of ADRs, GDRs, IDRs and FCCBs. Merger & Acquisition (M&A) Due Diligence Introduction Stages of M&A Due Diligence Data Room Management Business, Financial, Legal and Corporate Governance Due Diligence HR and Cultural Due Diligence Impact of Due Diligence on Valuation Takeovers and Acquisitions Due Diligence 7. Competition Law Due Diligence Introduction Need for Competition Compliance Programme Mergers & Acquisitions and Competition Law Aspects Reasons for Due Diligence of Competition Law Aspects Process of Due Diligence of Competition Law Aspects Due Diligence of Various Agreements Some Common Anti Competitive Practices Due Diligence on Abuse of Dominance Due Diligence Checklist for Compliance with Competition Act, 00 Checklist for Anti Competitive Agreements/Abuse of Dominant Position/Regulation of Combinations 8. Legal Due Diligence Introduction Objectives, Scope, Need and Process General Documents/Aspects to be covered Possible Hurdles in Carrying out a Legal Due Diligence and Remedial Actions.

5 9. Due Diligence for Banks Introduction Need for Due Diligence for Banks Process of Due Diligence for Banks Due Diligence Report to Banks 0. Environmental Due Diligence Introduction Need for Environmental Due Diligence Process involved in Environmental Due Diligence Regulatory Framework relating to Environment Check List on Major Regulatory Compliances Environmental Guidelines for Industries by Ministry of Environment Environmental Impact Assessment Environmental Management Plan Preparation of Risk Analysis Matrix Identification of Potential Issues Impact Analysis Suggestions and Mitigation Measures. Search and Status Reports Importance and Scope Verification of Documents relating to Charges Requirements of Financial Institutions and Corporate Lenders Preparation of Report. Compliance Management Concept and Significance Establishment of Compliance Management System Absolute, Apparent and Adequate Compliance.

6 Bird's-Eye View Paper Secretarial Audit, Compliance Management and Due Diligence Question Paper Based Contents of Last Five Examinations Years Q. No. Chapter Page No. Name No. 0 June 0 Dec. (iv)..... (i) 7. (i) 8. (iv) (v). (i) (iv) (vi). (i). (a).. (a) 7. (a) (i) 8 " " " Legal Due Diligence Compliance Management Search/Status Reports Compliance Management

7 0 June 0 Dec 8. (i) (iv) (v). (a)(i) (Or) (i). (a) (Or). (a).. (a) (i) (i). (a). (a) (d) (e) (Or) (i) Search/Status Reports Due Diligence for Banks Compliance Management Environmental Due Diligence Environmental Due Diligence Competition Law Due Diligence

8 0 June (iv) (v). (a) (Or) (i). (a). (a). (a)(i) (i). (a). (a) (Or) (d) (e) Environmental Due Diligence Due Diligence for Banks Competition Law Due Diligence Competition Law Due Diligence Compliance Management Competition Law Due Diligence Due Diligence for Banks

9 (i) (iv) (v). (a) (Or) (i). (a). (a). (a)(i) (i). (a) Environmental Due Diligence Due Diligence for Banks Compliance Management Legal Due Diligence Environmental Due Diligence Compliance Management Due Diligence for Banks Legal Due Diligence Competition Law Due Diligence Search/Status Reports

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11 Solved Scanner CS Professional Programme Module-I New Syllabus Paper- Secretarial Audit Compliance Management Due Diligence Green Edition (Jul-0) 0% OFF Publisher : Shuchita Prakashan ISBN : Author : Prof. Arun Kumar & CS Sumit Srivastava Type the URL : Get this ebook

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