03 August 2010
Compliance Officers (Corporates) Module -----
Compliance officers of any company needs to have adequate knowledge of the legal and regulatory requirements for carrying out the business of that company. A sound knowledge of these helps the organization adhere to the required compliance standards. The Compliance Officers (Corporates) module tests the candidates on their knowledge of the relevant rules, regulations and guidelines governing the corporates such as the Companies Act. Those of you, interested in taking the test in this module need to refer to the Companies Act, SC(R)A, Depositories Act etc as per the curriculum. Please note that no study material is provided for this module.
Why should one take this course? To understand the Companies Act, 1956.
To know about the provisions of the listing agreement.
To know about the Securities Contracts (Regulation) Act, 1956.
Who will benefit from this course? Compliance Officers
Students of Law colleges
Candidates interested in making their career as compliance officers/legal officers in the securities market
Test details Duration: 120 minutes
No. of questions: 60
Maximum marks: 100, Passing marks: 60 (60%); There is negative marking for incorrect answers.
Certificate validity: For successful candidates, certificates are valid for 5 years from the test date.
Fees Rs. 1,500/- (Rupees One Thousand Five Hundred Only).
Course outline Companies Act, 1956 Incorporation of a company, Prospectus, Allotment and issue of shares, Share capital and debentures, Management and Administration, Winding up
Securities Contracts (Regulation) Act, 1956 Definitions, Listing of securities, Penalties and procedure, Miscellaneous
Depositories Act, 1996 Definitions, Rights and obligations of depositories, participants, issuers and beneficial owners, Enquiry and inspection, Penalty, Miscellaneous
Provisions under Securities and Exchange Board of India (Substantial Acquisition of Shares and Takeovers) Regulations, 1997 Applicability of the Regulation , Power of the Board to grant exemption, Disclosures of shareholding and control in a listed company, Substantial acquisition of shares or voting rights in and acquisition of control over a listed company, Bail out takeovers, Investigation and action by Board
Preferential issue guidelines as given in SEBI (DIP) Guidelines
ESOS guidelines as per SEBI (ESOS and ESPS) Guidelines, 2000
Compliance with the provisions of the listing agreement Clause 49 of listing agreement - for Corporate Governance, Clause 41 of listing agreement - for limited information, Clause 36 of listing agreement - for Disclosure of Material Information. For additional information, kindly look into the clause 16, 35 and 40(A) of the listing agreement.
Compliance with book building guidelines for raising of funds through public issue.
Knowledge of SEBI guidelines related with raising funds through debt instruments.
Compliance with SEBI (DIP) Guidelines for raising of funds through public and rights issues.
To build confidence among investors, it is imperative to adopt the best corporate governance policies and practices. Recognizing this need, this module endeavors to impart knowledge about the evolution of the corporate governance in India. It also discusses important concepts related to corporate governance and the regulatory framework governing it. This module has been jointly developed by NSE and The Institute of Company Secretaries of India (ICSI).
Why should one take this course? To understand the evolution of corporate governance in India.
To understand the clause 49 of the listing agreement.
To know about the disclosure and reporting requirements for companies.
Who will benefit from this course? Managerial Staff of Corporates
Students and Teaching Community
Students of the Institute of Company Secretaries of India (ICSI)
Anybody interested in the area of Corporate Governance
Test details Duration: 90 minutes
No. of questions: 100
Maximum marks: 100, Passing marks: 60 (60%); There is negative marking for incorrect answers.
Certificate validity: For successful candidates, certificates are valid for 5 years from the test date.
Fees Rs. 1,500/- (Rupees One Thousand Five Hundred Only).
Course outline Evolution of Corporate Governance Evolution of corporate governance in India & abroad; Provisions regarding corporate governance in the listing agreement; Board governance and independence; Board systems & procedures.
Disclosures Disclosure requirements; Reporting requirements; Related party transactions.
Compliance Compliance of conditions of the listing agreement with respect to corporate governance.
04 August 2010
THANK U VERU MUCH RAVINDRA SIR FOR PROVIDING LOT OF KNOWLEDGE ....NOW I WILL APPLY FOR CORPORATE GOVERNACE MODULE----THANK U VERY MUCH SIR
CAclubindia
