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. Audits9. 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
