CS-PP:M IV-Due Diligence&Corporate Manag.


CS-PP:M IV-Due Diligence&Corporate Manag.

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CS - Professional Programme OF Module IV FOR Due Diligence and Corporate Compliance Managements

CS - Professional Programme : Module IV - Due Diligence and Corporate Compliance Managements

 

CS_PP :: Professional Programme 
Paper 7 : Due Diligence and Corporate Compliance Management
[One paper: Three Hours – 100 marks]

Level of Knowledge:

Expert knowledge

Objectives:

(i) To provide thorough understanding and appreciation of composite legal due diligence in regard to certain corporateactivities.
(ii) To provide expert knowledge about the Corporate Compliance Management

Detailed contents :

1. Due Diligence
  Nature, objectives, significance and scope of due diligence; steps in the process of due diligence.

Areas of Due Diligence

Initial Public Offer (IPO), Follow-on Public Offer (FPO), Rights issue, Employees Stock Option Plans (ESOPs), Preferential Allotment
Issue of debt (both long term & short term) such as debentures, bonds, warrants etc.
Takeovers and acquisitions
Setting up of business units in India and abroad
Setting up joint ventures
Compliance of Listing Agreement
Internal Audit of Depository Participants
Issue of Global Depository Receipts
Issue of Indian Depository Receipts
Legal Due Diligence
2. Compliance Management
  Concept and significance; systems approach to compliance management; process of establishment of compliance management system; compliance in letter and spirit.
3. Secretarial Audit
  Need, objectives and scope; process; periodicity and format for secretarial audit report; check-list under various corporate laws; share transfer audit; compliance certificate.
4. Search / Status Reports
  Importance, scope; verification of documents relating to charges; requirements of financial institutions and corporate lenders; preparation of report.
5. Securities Management and Compliances
  Meaning, need and scope; mechanism for self-regulation; advantages to company, regulator and investors. BACK

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