STELLA MARIS COLLEGE (AUTONOMOUS), CHENNAI - 600 086

General Elective Courses offered by the

Department of Commerce (Corporate Secretaryship)

for B.A. / B.Sc. / B.Com. / B.C.A. / B.S.W.  DEGREE PROGRAMMES

 SYLLABUS

(Effective from the academic year 2023-2024)

DOCUMENTATION AND COMPLIANCE

CODE: 23CO/GE/DC22                                                                                            CREDITS:2

                                                                                                                                                 L T P: 2 0 0 

                                                                                                           TOTAL TEACHING HOURS: 26

OBJECTIVES OF THE COURSE:

● To enable students to understand compliance management and internal control systems

● To familiarize students with the terminology used in documentation

● To acquaint students with unique approach to documentation practices

COURSE LEARNING OUTCOMES

On successful completion of the course the students will be able to

COs	DESCRIPTION	CL
CO1	understand the importance and the need of compliance management	K1
CO2	comprehend the compliance framework in an organization	K2
CO3	apply the principles of documentation in practice	K3
CL – Cognitive Level K1 – Remember | K2 – Understand | K3 – Apply |

UNIT	CONTENT	CL	HRS	CO
1	Introduction to Documentation 1.1 Documentation – Purpose, Guiding Principles of Good Documentation, Examples of Good and Poor Documentation Practices	K1-K3	3	1-3
	1.2 Document Management System – Meaning, Advantages & Disadvantages; Comparison of Physical and Virtual Data Room		4
	1.3 Preservation of Records, Setting up of A Record Room, Suggestive Steps for Protecting Confidential Information		4
2	Compliance Framework 2.1 Introduction, Corporate Compliance      Framework Setup – Process	K1-K3	4	1-3
	2.2 Role of Company Secretary in Creation of         Compliance Chart		4
3	Compliance Management 3.1 Meaning, Need, Benefits and Scope of        Corporate Compliance	K1-K3	2	1-3
	3.2 Process of Corporate Compliance Reporting       (CCR)		2
	3.3 Compliances – Activity Wise, Sector Wise,       Industry-Specific, State & Local Laws       Compliance		3

BOOKS FOR STUDY

Coding and Documentation Compliance: A Comprehensive Guide book ,2017

 Pramod Jain., Chartered Accountant’s Documentation and Compliance for Audits and Reviews, 2020

BOOKS FOR REFERENCE

Janet Gough, David Nettleton, Managing the Documentation Maze, A John Wiley & So Publicatons, 2010

 Nitish Singh, Thomas J. Bussen, Compliance Management- A how to guide for executives, lawyers and other compliance professionals ICSI study material Latest Edition

WEB SOURCES:

www.icsi.edu

www.mca.gov.in

www.sebi.gov.in

www.rbi.org.in

JOURNALS

Chartered Secretary: ICSI, New Delhi

Student Company Secretary: ICSI, New Delhi

PATTERN OF ASSESSMENT

Continuous Assessment:                  Total Marks: 25                         Duration : 60 minutes

Section	Cognitive Level and Allocation of Marks	Marks per   Section	No. of Questions  to be answered	No. of Questions  to be set
A   Objective Questions	K1	5x1=5	5 K1 questions	5 K1 questions
B - 50 words	K2	5x2=10	5 K2 questions	7 K2 questions
C – 150 words	K3	2x5=10	2 K3 questions	4 K3 questions
	Total	25	12	16

Other Components                                                                       Total Marks: 25

Assignments/Objective Test/Quiz/Presentation         

 No End Semester Examination