COMPLIANCE MANAGEMENT AND DUE DILIGENCE

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(xviii) Page Role of Information Technology in Compliance Management Systems Through Web Based Compliance Systems ... 351 The Systems Approach to Compliance Management ... 351 Compliance Solutions ... 352 Apparent, Adequate and Absolute Compliances ... 353 Secretarial Audit and Compliance Management System ... 354 Role of Company Secretaries in Compliance Management ... 354 LESSON ROUND UP ... 355 SELF TEST QUESTIONS ... 355 TEST PAPERS 2013 Test Paper 1 … 359 Test Paper 2 … 360 Test Paper 3 … 361
Lesson 1 SECRETARIAL AUDIT – AN OVERVIEW LESSON OUTLINE • Secretarial Audit – Concept • objective, scope of secretarial audit • Benefits and Beneficiaries • Secretarial Audit process • Professional Responsibilities and Penalties • Secretarial Audit Report - Format LEARNING OBJECTIVES Timely examination of compliance reduces risks as well as potential cost of non-compliance and also builds better corporate image. Secretarial Audit establishes better compliance platform by checking the compliances with the provisions of various statutes, laws, rules & regulations, procedures by a Practicing Company Secretary to make necessary recommendations/ remedies. The primary objective of the Compliance Management backed Secretarial Audit is to safeguard the interest of the Directors & officers of the companies, shareholders, creditors, employees, customers etc. With the introduction of concept of 'Secretarial Audit' in Voluntary Corporate Governance Guidelines (CGV) 2009 and the 'Companies Bill 2012', it has gained immense importance. After reading this lesson the students would be able to understand the need, objectives, scope, benefits of secretarial audit, professional responsibilities and penalties etc. “Since the Board has the overarching responsibility of ensuring transparent, ethical and responsible governance of the company, it is important that the Board processes and compliance mechanisms of the company are robust. To ensure this, the companies may get the Secretarial Audit conducted by a competent professional. The Board should give its comments on the Secretarial Audit in its report to the shareholders.” MCA CORPORATE GOVERNANCE VOLUNTARY GUIDELINES 2009 1
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Lesson 3 SECRETARIAL STANDARDS LESS
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Lesson 4 DUE DILIGENCE — AN OVERV
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Lesson 6 DEPOSITORY RECEIPTS DUE DI
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Lesson 8 COMPETITION LAW DUE DILIGE
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Lesson 9 LEGAL DUE DILIGENCE LESSON
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Lesson 11 ENVIRONMENTAL DUE DILIGEN
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Lesson 12 SEARCH/STATUS REPORTS LES
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Lesson 13 COMPLAINCE MANAGEMENT LES
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PROFESSIONAL PROGRAMME SECRETARIAL
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PROFESSIONAL PROGRAMME Test Papers
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Test Papers 361 TEST PAPER 3/2013 T
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