| 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. |
| Title | Author | Publisher |
|---|
| Compliances and Procedures under SEBI Law | Mamta Bhargava | Shreeji Publishers |
| Securities Management & Compliances | | Institute of Company Secretaries of India |
| Segment wise role of Company Secretaries | | Institute of Company Secretaries of India |
| Listing Agreement-A Compendium | | Institute of Company Secretaries of India |
| Hand book on Internal Audit of Operations of Depository Participants | | Institute of Company Secretaries of India |
| Mergers, Amalgamations & Takeovers | | Institute of Company Secretaries of India |
| Preferential issue of Securities by Listed & Unlisted Companies | D.K.Jain | Bharat Law house |
| Corporate Governance- Modules of Best Practices | | Institute of Company Secretaries of India |
| SEBI Manual | Taxmann | |
| Guidance Note on Compliance Certificate | | ICSI Publications |
| Guidance Note On Signing of Annual Return. | | ICSI Publications |
| Guidance Note on Code of Conduct for CS | | ICSI Publications |
| SS-1 Secretarial Standard on Meetings of the Board of Directors. | | ICSI Publications |
| SS-2 Secretarial Standard on General Meetings | | ICSI Publications |
| SS-3 Secretarial Standard on Dividend | | ICSI Publications |
| SS-4 Secretarial Standard on Registers and Records | | ICSI Publications |
| SS-5 Secretarial Standard on Minutes | | ICSI Publications |
| SS-6 Secretarial Standard on Transmission of Shares and Debentures | | ICSI Publications |
| Referencer on Propounding Areas of Practice for Company Secretaries. | | ICSI Publication (CD) |
| Company Law with Secretarial Practice | K.R.Chandratre, K.M. Ghosh | Bharat Law House |
| Title | Author | Publisher |
|---|
| Capital Market in India | E.Gordon & K. Natarajan | Himalaya Publishing House |
| Guide to Indian Capital Market | Sanjeev Aggarwal | Bharat Law House |
| SEBI Practice Manual | V.L.Iyer | Taxman Allied Service |
| SEBI – Law, Practice & Procedure | S.Suryanarayanan & V.Varadarajan | Commercial Law Publishers |
| Guidance note on buy-back Of Securities | | Institute of Company Secretaries of India |
| SS-6 Secretarial Standard On Transmission of Shares and Debentures | | Institute of Company Secretaries of India |
| SEBI Annual Report. | | SEBI |
| Indian Securities Market-A Review | NSE Yearly Publication | Himalaya Publishing House |
| Euro Issue | | Taxmann |
| Guide to Company Directors | LVV Iyer | Wadhwa |
| Circulars & Clarifications on Company Law | Bhargava & Bhargava | Taxmann |
| Company Law | Plamer | Sweet & Maxwell |
| Principle of Modern Company Law | L.C.B.Gower | Sweet & Maxwell |
| Company Law | Farrar John H. | Butterworths |
