DISTANCE EDUCATION
M.B.A. DEGREE EXAMINATION, MAY 2018.
Fourth Semester
CORPORATE AUDIT AND COMPLIANCE MANAGEMENT
(Upto 2012-2013 Academic Year 2013 Calendar Year)
Time Three hours Maximum 100 marks
SECTION A — x 8 40 marks)
Answer any FIVE questions.
1. What are the nature and scope of auditing?
2. Distinguish between cost audit and management audit.
3. What are the objectives of secretarial audit?
4. State the areas which need to be verified for appraisal of
share transfer work.
5. Describe the occasions where compliance certificate is not
required.
6. How can you prevent the Fraudulent practices of due
diligence? Explain.
7. Write short notes on
Financial audit
Statutory audit.
8. What are the techniques and practices of auditing?
Sub. Code
42
DE-4245
2
Ws9
SECTION B — x 15 60 marks)
Answer any FOUR questions.
9. Enumerate standard auditing practices issued by ICAI
institute.
10. Explain the systems approach to compliance
management.
11. Discuss the different types of due diligence.
12. Describe the need and scope of securities management
and compliances.
13. Discuss about appraisal of documents relating to issue of
capital.
14. Describe the procedure of filing compliance certificate
with SEBI during post capital issue of due diligence.
15. Prepare a checklist of ensuring compliance of listing
guidelines.
————————