DISTANCE EDUCATION
M.B.A. DEGREE EXAMINATION, MAY 2017.
Fourth Semester
CORPORATE AUDIT AND COMPLIANCE MANAGEMENT
(Upto 2012-13 Academic Year and 2013 Calendar Year)
Time Three hours Maximum 100 marks
PART A — × 8 40 marks)
Answer any FIVE questions.
1. Explain in detail the different types of audit.
2. What are the documents to be filed to get certificate of
incorporation?
3. Discuss the nature and scope of secretarial audit.
4. Describe the contents of a compliance certificate.
5. Explain in detail the concept of insider trading.
6. What are the activities relating to due diligence in the
post capital issue stage?
7. Elaborate the process of establishing a compliance
management system in a company.
8. What are the consequences of improper conduct of
secretarial audit of RTAs?
Sub. Code
42
DE-831
2
Ws 5
PART B — × 15 60 marks)
Answer any FOUR questions.
9. Express your views on quality of auditing in India.
10. Enumerate the procedure to obtain certification under
buy back of securities rules.
11. Explain the different circumstances under which a
company should obtain compliance certificate.
12. Examine the role of SEBI in ensuring adequate
compliance management of companies.
13. Explain the problems relating to establishment of
compliance management system.
14. Financial audit is quantitative while management audit
is qualitative Elaborate.
15. Write short notes on
Operational Audit
Letter of offer
Statement in lieu of prospectus.