CS Professional Secretarial Audit Compliance Management Due Diligence Important Topics

• Public Offer – Eligibility (Regulation 26)

• SCORES

• Difference between Audit & Due Diligence

• Compliance Management Framework

• Advantages of Virtual Data Room

• Reporting of FDI (Share Application Money)

• Types of Due Diligence

• Procedure of issuing Secretarial Standards

• Benefits and Beneficiaries of Secretarial Audit

• Process of Secretarial Audit (no steps)

• Contents of Scheme of Amalgamation

• Applicability of Secretarial Audit

• Intermediaries to be appointed in ADR/GDR

• Apparent, Adequate and Absolute Compliance

• Issue of FCCB

• Types of Due Diligence Report

• Functions of SSB

• Borrowing Powers of Company (Short note)

• Reservation on Competitive Basis

• Considerations in one of Environment

• Penalty for Incorrect Audit Report

• Management Plant (liquid effluent etc.)

• Need for Secretarial Standards

• Risk of Non-Compliance

• ISO Standard for Environment

• Hurdles in Carrying out Due Diligence

• Need for Diligence Report for bank

• Scope of Legal Due Diligence

• Legal Due Diligence Process

• Types of Anti-Competitive Agreement

• Checklist for Abuse of Dominant Position

• General Obligations of Target Company

• Compliance with EU Directives

• Cultural Due Diligence

• Types of ADR

• IDA & its eligibility

• ESOP
• Objectives of Due Diligence

• Promoter’s Lock in (short note)

• Payment of Royalty by Indian Companies

 • Adv. of Competition Compliance Program

• ECB/FDI (Short note)

• Object of Competition Act

• Escrow Account in case of Takeover Offer

CS Professional Secretarial Audit Compliance Management Due Diligence Important Topics

CS Professional Important Topics :

Secretarial Audit, Compliance Management and Due Diligence

2)            Secretarial Audit process.

3)            Benefits and Beneficiaries of Secretarial Audit.

4)            Scope and Functions of SSB.

5)            Procedure for issuing SS.

6)            SS – 1.

7)            Format of MR – 3.

8)            Chapter 2 (1st part) same as Company Law.

9)            Foreign Direct Investment and its Checklists.

10)          Direct investment outside India – Automatic/Approval Route.

11)          ECB.

12)          FCCB AND FCEB.

13)          Objectives and types of Due Diligence (DD).

14)          Factors to be kept in mind while conducting DD.

15)          Documents to be checked in DD process.

16)          Data Room all topics.

17)          DD v/s Audit.

18)          Checklist under SEBI (ICDR) Reg. 2009.

19)          Checklist on Major IPO Compliances.

20)          Preferential Issue.

21)          Right Issue.

22)          QIP.

23)          SME.

24)          Checklist foe compliances w.r.t. Non Convertible Debt Securities.

25)          Types of Depository Receipts.

26)          Sponsored ADR/ GDR.

27)          Regulatory framework within and outside India on issue of DR.

28)          Process of issue GDR.

29)          Checklist under Companies (Issue of GDR) Rules 2016.

30)          Issue of FCCB.

31)          IDR.

32)          Activity schedule for planning a Merger.

33)          Scheme of Amalgamation.

34)          Cultural DD and its scope.

35)          Takeover DD and its checklists.

36)          Takeover Regulations – 8, 21, 23, 25, 26, 27, 32 (Study regulations from CR also).

37)          How to determine appreciable adverse effect.

38)          Anti Competitive Agreements are Void.

39)          When Dominance gets abused.

40)          Combination Thresholds.

41)          Regulation of Combination and its Checklists.

42)          Checklist for Anti Competitive Agreements.

43)          Checklist for Abuse of Dominant position.

44)          Evaluation of appreciable adverse effect on competition.

45)          Advantages of Competition Compliance Programme.

46)          Objectives and scope of Legal DD.

47)          Legal DD process.

48)          Possible hurdles and remedial action.

49)          Need for Diligence Report.

50)          Sri Ram Food and Fertilizers case.

51)          Ganga pollution case.

52)          Why Environmental DD.

53)          Process involved in Environmental DD.

54)          Checklist on Major compliances.

55)          EIA.

56)          EMP.

57)          ISO 14001.

58)          Risk Analysis Matrix.

59)          Risk of Non compliance.

60)          Significance of corporate compliance management.

61)          Role of IT in Compliance Management.

62)          Apparent, Adequate and Absolute compliances.

63)          Compliance Programme.

CS Professional Secretarial Audit Compliance Management Due Diligence Important Topics