CS RAHUL HARSH – 9804179372

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Unmissable Topics for Secretarial Audit, Compliance Management & Due Diligence –
CS Final –JUNE 2017 Exams
 Compliance Check for Secretarial Standard
 Checklist for : Private Placement, ESOP, Dematerialization of Shares, Payment of Dividend, RPT (Pvt Cp.)
FDI (Approval route), Issue of FCCB.
 Note on : Deal Breakers, Deal Diluters, Deal Cautioners, Deal Makers.
 DD of : Mergers, amalgamations and Acquisitions Page | 1
 Diff: DD vs. Audit
 Checklist for compliances under SEBI (ICDR) Regulations, 2009
 Conditions for making initial public offer
 Who is not eligible for making Public Offer?
 DD of IPO / FPO.
 Due diligence – Preferential issues of unlisted companies
 REGULATORY FRAMEWORK FOR LISTED SMES
 Exemptions available for securities listed at SME exchange under LODR
 Migration to Main Board process
 Roll over of non convertible portion of partly convertible debt instruments
 Conversion of optionally convertible debt instruments into equity share capital
 Note and process of issuing Global Depository Receipts
 Rule 13 of Companies (Registration of Foreign Companies) Rules, 2014 – Indian Depository Receipts
 Role of Merchant Banker in issuing of IDRs
 IMP SEBI – LODR REGULATIONS: Regulation 13(3), 15, 17, 18, 19, 23, 25, 31, 33, 34 & 46.
 Sri Ram Food and Fertilizer Case (M.C. Mehta v. Union of India, AIR 1987 SC 1086)
 Effluents by tanneries in river Ganga (M.C. Mehta v. Union of India, AIR 1115, 1988 SCR (2) 530)
 Regulatory Framework relating to environment in India
 Preparation of SEARCH/STATUS REPORT
 SIGNIFICANCE OF CORPORATE COMPLIANCE MANAGEMENT
 Process of Corporate Compliance Reporting (CCR)
 list of documents to be checked (Alteration of Articles)
 Audit of Pvt Placement , Deposits , Merger under NCLT, Loans to Directors , Describe the role of Company
Secretary in an IPO?,
 Write short notes on • Pink Sheets • Domestic Custodian Bank • Overseas Depository
 Describe the working mechanism of GDRs?
 ACTIVITY SCHEDULE FOR PLANNING A MERGER
 TAKEOVERS DUE DILIGENCE
 Abuse of Dominance (Section 4) As regards Competition Act, 2002 , Anti competitive agreement
 Describe the compliance with respect to listed companies in the context of diligence report for banks?
 Environmental Impact Assessment.
 State the general points to be kept in mind by Company Secretary in Practice while preparing
status/search report, Explain the systems approach to compliance management.

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