Chapter
Compliance Framework
Compliance Management, Audit & Due DiligencePart I: Compliance Management (40 Marks)
14 topics
- Identification of applicable laws, rules, regulations
- Risk Assessment
- Responsibility center mapping/ allocation
- Escalation & reporting
- Creation of Compliance framework and reporting system
- Review & Updation
- Training &Implementation
- Need/benefit/ scope of Compliance Management
- Directors’ Responsibility Statement
- Compliances under Companies Act
- Compliance Management Tool
- Importance of Compliance Management Tool
- Difference types of Compliance Management Tools
- Case Laws and Case Studies