M.B.A. DEGREE EXAMINATION, NOVEMBER 2017
Third Semester
Corporate Secretaryship
CORPORATE COMPLIANCE MANAGEMENT
(CBCS 2013 onwards)
Time 3 Hours Maximum 75 Marks
Section A x 3 15)
Answer all questions.
All questions carry equal marks.
1. What is Compliance management?
2. Distinguish between 'Internal audit' and concurrent
audit'.
3. What is book building and reverse hook building?
4. List any three needs for compliance certificate.
5. Write a short note on share transfer audit.
Section B x 10 50)
Answer all questions, choosing either or
All questions carry equal marks.
6. Describe the scope of compliance certificate.
Or
What are the compliances to be made under
European Union directives in respect of issue
of Global Depository Receipts?
Sub. Code
622306
RW-822
2
WSS
7. Explain the compliances required with regard to
Capitalisation of profits and issue of bonus shares.
Or
Examine the areas covered by the internal audit of
depository participants.
8. Write a brief note on Publication of financial results
in newspapers under the listing agreement.
Or
What are the requirements of constitution of Audit
Committee?
9. Critically examine and comment "Due diligence
investigations are generally for corporate mergers
and acquisitions".
Or
What is Depository receipts State its
advantages.
10. State the certificates to be flied in connection with
post-issue work.
Or
Differentiate 'Pre-issue advertisements for public
issue of shares' and 'post-issue advertisements for
public issue of shares.
Section C x 10 10)
(Compulsory question)
11. Google Global Software Inc., a (is company wants to raise
the funds from Indian capital market. The Board of
directors of the company seeks your advice on the
following issues
Can a foreign company access Indian securities
market for raising funds?
What parties would be involved in the issue of
securities from Indian securities market?
RW-822
3
WSS
Who is eligible to issue securities in Indian
securities market?
Who can purchase the securities and what would he
the minimum application amount for such issuance
of securities?
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