COMPLIANCE MANAGEMENT AND DUE DILIGENCE

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(viii) ARRANGEMENT OF STUDY LESSONS PAPER 1: SECRETARIAL AUDIT, COMPLIANCE MANAGEMENT AND DUE DILIGENCE (100 Marks) Lesson No. Subject PART A 1 Secretarial Audit – An Overview 2. Check Lists for Secretarial Audit 3. Secretarial Standards PART B 4. Due Diligence – An Overview 5. Issue of Securities 6. Depository Receipts Due Diligence 7. Due Diligence – Mergers & Amalgamations 8. Competition Law Due Diligence 9. Legal Due Diligence 10. Due Diligence for Banks 11. Environmental Due Diligence 12. Search & Status Report 13. Compliance Management
(ix) PROFESSIONAL PROGRAMME SECRETARIAL AUDIT, COMPLIANCE MANAGEMENT AND DUE DILIGENCE CONTENTS Lesson 1 SECRETARIAL AUDIT – AN OVERVIEW Learning Objectives ... 1 Introduction ... 2 The Objectives of Secretarial Audit ... 2 Scope of Secretarial Audit ... 2 Contents ... 3 Need for Secretarial Audit ... 4 Secretarial Audit – The process ... 5 Benefits and Beneficiaries of Secretarial Audit ... 6 The Benefits ... 6 The Beneficiaries ... 7 Secretarial Audit-Periodicity ... 7 Reporting with Qualification ... 7 Professional Responsibility and Penalty for Incorrect Audit Report ... 8 LESSON ROUND UP ... 12 SELF TEST QUESTIONS ... 13 Page Lesson 2 CHECKLIST FOR SECRETARIAL AUDIT Learning Objectives ... 15 Introduction ... 16 Coverage of the Secretarial Audit ... 16 Major Areas of Compliances under the Companies Act, 1956 ... 17 General Compliance Requirements ... 17 Sample List of Documents to be verified ... 18 Registers and Records ... 18 Periodical Returns ... 18 Other Important Returns ... 18 Board/Committees/General Meetings and Minutes ... 19 Share Certificates, Transfer/Transmission of Shares, Dividend, Board's Report ... 19 Contracts ... 19 Notices ... 19 Compliances with SEBI/Stock Exchanges ... 19 Analysis of the Companies Act ... 19 Contents of Memorandum ... 19 Alteration of Memorandum of Association ... 20
Page 1 and 2: STUDY MATERIAL PROFESSIONAL PROGRAM
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Lesson 2 Check List - Secretarial A
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Lesson 3 SECRETARIAL STANDARDS LESS
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Lesson 3 Secretarial Standards 65 H
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Lesson 4 DUE DILIGENCE — AN OVERV
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Lesson 4 Due Diligence - An Overvie
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Lesson 5 ISSUE OF SECURITIES LESSON
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Lesson 6 DEPOSITORY RECEIPTS DUE DI
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Lesson 6 Depository Receipts Due Di
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Lesson 7 DUE DILIGENCE -MERGERS AND
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Lesson 8 COMPETITION LAW DUE DILIGE
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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 10 DUE DILIGENCE FOR BANKS L
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Lesson 10 Due Diligence for Banks 2
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Lesson 11 ENVIRONMENTAL DUE DILIGEN
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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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Lesson 13 Compliance Management 347
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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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