SECRETARIAL AUDIT COMPLIANCE MANAGEMENT AND DUE DILIGENCE Short Notes | CS PROF.

Subject – SECRETARIAL AUDIT COMPLIANCE MANAGEMENT AND DUE DILIGENCE

Module 2  – CS PROFESSIONAL

PAGES – 270

PASSWORD – CSASPIRANT

Type – Short Notes

TOPIC COVERED

1. Compliance Framework 
2. Compliances 
3. Documentation & Maintenance of Records
 4. Search and Status Report 
5. Know Your Customers (KYC) 
6. Signing and Certification
 7. Segment-wise Role of Company Secretaries
8. Audits

9. Secretarial Audit

10. Internal Audit and Performance Audit

11. Concepts and Principles of Other Audits(NOT INCLUDED )

12. Audit Engagement

13. Audit Principles and Techniques

14. Audit Process and Documentation

15. Forming an Opinion & Reporting

16. Secretarial Audit – Fraud Detection and Reporting 
17. Quality Review 
18. Values, Ethics and Professional Conduct(NOT INCLUDED )
 19. Due Diligence- I 
20. Due Diligence – II – Non Compliances, Penalties and Adjudications