Secretarial Audit, Compliance Management and Due Diligence ICSI Study Material for June 2020-2021 New & Old Syllabus

Secretarial Audit Compliance Management and Due Diligence Notes

CS Professional Secretarial Audit Compliance Management and Due Diligence ICSI Study Material for June December 2020-2021 New & Old Syllabus

  1. Compliance Framework
  2. Compliances
  3. Documentation and Maintenance of Records
  4. Search and Status Report
  5. Know Your Customer (KYC) Guidelines
  6. Signing and Certification
  7. Segment-Wise Role of Company Secretaries
  8. Audits
  9. Secretarial Audit
  10. Internal Audit
  11. Concepts and Principles of Other Audits
  12. Audit Engagement
  13. Audit Principles and Techniques
  14. Audit Process and Documentation
  15. Forming an Opinion and Reporting
  16. Secretarial Audit – Fraud Detection and Reporting
  17. Quality Review
  18. Values, Ethics and Professional Conduct
  19. Due Diligence-I
  20. Due Diligence-II

CS Professional Secretarial Audit Compliance Management and Due Diligence Question Paper

CS Professional Secretarial Audit Compliance Management and Due Diligence Chapter Wise Weightage

Chapter Name 2019 2020
June December December
1. Compliance Framework 5 5 10
2. Compliances 15 5 5
3. Documentation and Maintenance of Records 5 5 15
4. Search and Status Report 10 – 5
5. KYC 10 10 10
6. Signing and Certification 10 15 5
7. Segment-wise Role of Company Secretaries 5 10 10
8. Audits – 5 –
9. Secretarial Audit 11 – 10
10. Internal Audit 5 5 10
11. Concepts and Principles of other Audits 10 16 10
12. Audit Engagement 3 5 8
13. Audit Principles and Techniques 10 8 5
14. Audit Process and Documentation – – 3
15. Forming an Opinion and Reporting – 3 3
16. Secretarial Audit – Fraud Detection and Reporting 8 2.5 –
17. Quality Review – 3 10
18. Values, Ethics and Professional Conduct 5 2.5 3
19. Due Diligence I 5 30 5
20. Due Diligence II 3 5 8