AJ Publication’s Secretarial Audit, Compliance Management and Due Diligence by Anoop Jain for Dec 2021

PART-A
COMPLIANCE MANAGEMENT

1 COMPLIANCE MANAGEMENT

2 COMPLIANCE FRAMEWORK

3 COMPLIANCE BY VARIOUS TYPE OF COMPANIES

4 LIMITED LIABILITIES PARTNERSHIP

5 REGISTER AND RETURNS

6 SEGMENT WISE ROLE OF COMPANY SECRETARIES

7 DOCUMENTATION AND MAINTENANCE OF RECORDS

8 SEARCH AND STATUS REPORT

9 SIGNING AND CERTIFICATION

10 KNOW YOUR CUSTOMERS

PART-B
SECRETARIAL AUDIT AND DUE DILIGENCE

11 BOARD MEETINGS

12 LOAN TO DIRECTORS AND RPT

13 KMP APPOINTMENT AND REMUNERATION

14 ACCOUNT OF COMPANY

15 SECRETARIAL STANDARDS

16 INTRODUCTION OF AUDIT

17 SECRETARIAL AUDIT

18 INTERNAL AUDIT AND PERFORMANCE AUDIT

19 STATUTORY AND COST AUDIT

20 CORPORATE GOVERNANCE AUDIT

21 CORPORATE SOCIAL RESPONSIBILITY (CSR) AUDIT

22 INSIDER TRADING AUDIT

23 OTHER AUDIT

24 AUDIT ENGAGEMENT

25 AUDIT PRINCIPLES AND TECHNIQUES

26 AUDIT PROCESS AND DOCUMENTATION

27 FORMING AN OPINION AND REPORTING

28 SECRETARIAL AUDIT FRAUD DETECTION AND REPORTING

29 QUALITY REVIEW

30 VALUES ETHICS AND PROFESSIONAL CONDUCT

31 DUE DILIGENCE AN INTRODUCTION

32 LEGAL DUE DILIGENCE

33 COMPETITION LAWS AND DUE DILIGENCE

34 DUE DILIGENCE FOR BANKS

35 IMPACT ASSESSMENT OF NON COMPLIANCE’S