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Paper 4

Secretarial Audit, Compliance Management and Due Diligence

About Secretarial Audit, Compliance Management and Due Diligence

Secretarial Audit is to check whether the company is in compliance with legislations applicable such as the Companies Act, and other corporate and economic laws.Compliance management refers to the art of ensuring that compliances of laws, rules and regulations have been made in the most effective and efficient manner. It is about how well a corporate entity ensures that it is complaint in all legal and secretarial matters.Before entering into an agreement or contract with another party, you need to act with a certain standard of care. This exercise of care is known as due diligence.

Compliance Management – the Primary responsibility of a company secretary is to ensure the development and implementation of the compliance framework in a company.Secretarial Audit and Due Diligence – A new area of practice for company secretaries is to function as a secretarial auditor. As such, you need to know how to conduct & prepare secretarial audit reports for listed and public companies

Exam Information

Duration:         3 hours

Weightage:         100 Marks

Faculty
Akshata

CS Akshata Rao

Resources
Question Paper June 2019
Question Paper Dec 2019

Secretarial Audit, Compliance Management and Due Diligence

1 Compliance Framework 

Lecture icon  2 Lectures                      Know More

2 Compliances

Lecture icon  2 Lectures                      Know More

3 Documentation & Maintenance of Records

Lecture icon Lectures                      Know More

4 Search and Status Report

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5 Know Your Customers (KYC)

Lecture icon Lectures                      Know More

6 Signing and Certification

Lecture icon Lectures                      Know More

8 Audits

Lecture icon Lectures                      Know More

13 Audit Principles and Techniques

Lecture icon Lectures                      Know More

14 Audit Process and Documentation

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15 Forming an Opinion & Reporting

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16 Secretarial Audit – Fraud Detection and Reporting

Lecture icon 1 Lectures                      Know More

17 Quality Review

Lecture icon Lectures                      Know More

18 Values, Ethics and Professional Conduct

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