M.B.A. (CM) CORPORATE AUDIT AND COMPLIANCE MANAGEMENT

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M.B.A. (CM) DEGREE EXAMINATION, MAY 2018.
Fourth Semester

CORPORATE AUDIT AND COMPLIANCE MANAGEMENT

(2013-14 Academic Year and 2014 Calendar Year onwards)
Time : Three hours Maximum : 100 marks

PART A — (5 × 8 = 40 marks)
Answer any FIVE questions.

1. Enumerate the nature and scope of Auditing.

2. Narrate the process of establishment of compliance management system.

3. Explain the meaning and scope of certification.

4. Describe the importance of compliance certificate.

5. Discuss the prerequisites for issue of prospectus.

6. Detail the powers of registrar of companies.

7. Write brief note on approval of post capital issue compliances.

8. Describe the procedure regarding dispatch of refund order.

PART B — (4 × 15 = 60 marks)
Answer any FOUR questions.

9. Elaborate different types of audit that improves corporate management.

10. Write detailed note on Certification of buy back of securities and transfer deeds.

11. Explain Secretarial audit of registrar and transfer agents.

12. Detail the appraisal of secretarial compliances and self regulation mechanism.

13. Enumerate the measures against fraudulent practices with pre-capital issue work.

14. Narrate Compliance of listing guidelines issued by SEBI in detail.

15. Corporate audit and compliance management ensures efficient corporate governance - Comment.

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