Only This Much: Module - 4  (English, Paperback, Anand R.)

Table of Contents
Due Diligence
Objective Questions

Securities and Exchange Board of India (Issue of Capital and Disclosure Requirements)
Regulations, 2009
Issue Obligations
Green Shoe Option
Safety Net Arrangement
Public Issue by SMES
Rights Issue
Manner of Disclosure in Offer Documents
Preferential Issue
Preferential Issue by Existing Listed Companies
Qualified Institutional Placement (QIP)
Bonus Issue
Miscellaneous
Obejctive Questions

Listing Agreement & Disclosures
Periodical Compliances
Event Based Compliances
Other Disclosures & Requirements
Objective Questions

Delisting of Equity
Securities and Exchange Board of India (Delisting of Equity Shares) Regulations, 2009
Voluntary Delisting [Chapter III]
Special Provisions for Small Companies and Delisting by Operation of Law
[Chapter VII With Regulations 27 & 28]
Objective Questions

Debt Issue & Listing Agreement
Public Issue of Convertible Debt Securities Under SEBI (ICDR) Regulations, 2009
Public Issue of Non-Convertible Debt Securities
Under SEBI (Issue and Listing of Debt Securities) Regulations, 2008
Simplified Listing Agreement for Debt Securities
Issuance of Non-Convertible Debentures (Reserve Bank) Directions, 2010
SEBI (Public Offer & Listing of Securitised Debt
Instruments - Polsdi) Regulations, 2008
Process of Securitisation
Securitised Debt Listing Agreement
Companies Act Provisions
Issue of Debentures

Audit of Depositories
Objective Questions

Issue of Depository Receipts
To Raise Capital From Overseas Investors
Under Issue of Foreign Currency Convertible Bonds and Ordinary Shares
American Depository Receipts & Global
Depository Receipts [ADR / GDR]
Other Forms of Raising Capital Abroad
Foreign Currency Exchangeable Bond
External Commercial Borrowings
Objective Questions

Indian Depository Receipts
Rights Issue of IDR
Simplied Listing Agreement for IDR
Objective Questions

Secretarial Audit

Due Diligence Under FDI, Offices & ODI
Foreign Direct Investment
FDI Policy
Overseas Direct Investment (ODI) the Reverse of FDI

Due Diligence Under Takeover Code
Takeover Panel Exemption Procedure [Regulation 11(1)]
SEBI Shall Give a Reasonable Opportunity of Being Heard
SEBI May Forward the Application to Takeover Panel of Experts
Trigger Points for Open Offer
Requisites of An Open Offer
Time Schedules
Obligations (Reg 24-27)
Investigation & Action by SEBI [Chapter VI - Regulations 32]

Compliance Management

Compliance Certificate
Appointment of CS & Compliance Certificate
Objective Questions

Share Transfer Audit
Share Certificate
Section 84 Read with Companies (Issue of Shares Certificates) Rules, 1960
Expulsion Of A Member
Cessation of Membership
Stock
Nomination of Shares
Objective Questions

Search / Status Report
Objective Questions

Securities Management and Compliances

Objective Questions for Revision

Corporate Governance, Business Ethics & Sustain ability (CGBES)

Introduction - Corporate Governance

Issues and Challenges of an Effective Board
Types of Directors
Professional Management
Barriers to Visionary Leadership
Performance Review of Individual Director
Corporate Governance Committees & Codes in India
Comparison of Recommendations of Committees on Corporate Governance in India
Requirements of Board & Shareholders
Disclosures to Board & Shareholders
Requirements Based on Capital
Other Aspects
National Foundation For Corporate Governance (NFCG)
Corporate Governance in India
Voluntary Governance Codes in India
International Corporate Governance
United States of America (USA)
United Kingdom (UK)

Sarbanes Oxley Act, 2002
Key Sections - Sox
Long Term Implications of Sox

Corporate Social Responsbility (CSR)
Oecd Guidelines For Multinational Enterprises
Triple Bottom Line (TBL) Approach - 3 Ps By John Ellington
Indian CSR Models
CSR & Charity
Factors Influencing CSR
Advantages of Good CSR
Why Corporate Social Responsibility (CSR)?

Corporate Governance Provisions In Companies Bill, 2011

Investor Protection and Corporate Communication
Investor Protection
US Court Decisions
Bhopal Gas Tragedy is the Best Case for Indian Shareholders Activisim
Investor Relations (IR) or Financial Public Relations or Financial Communications
Benefits of Good Corporate Communication
Corporate Communications And The Corporate Blogs
Risk Management
Internal Control System
Business Ethics
Theories of Ethics or Ethical Philosophies
Other Forms
Business Ethics
Scope of Business Ethics Vis--Vis Issues in Functional Areas
Organisational Structure & Ethics
Code of Conduct
Whistle Blower Policy
Seven General Principles
Sustainability
The Fundamental Principles of Sustainable Development Include
Quantitative Methods to Assess Sustainability
Sustainability AccountIng
Communications on Progress (COP) Reporting
Submission of COP
Conventions, Protocols & Treaties on Environment, Health, Safety & Social Security Issues
Policies & Praxis
Code of Conduct & Whistle Blower Policy (Dealt Under Business Ethics)
Environment Policy
UN Global Compact Principle
A Good Environment Policy Leads to Better Corporate Governance Through
Non-Discrimination Policy
Clauses In Sample Non-Discrimination Policy
Non-Discrimination Policy Leads to Better Corporate Governance Through
Health & Safety Policy
Health & Safety Policy Typically Covers The Following
Health & Safety Policy Leads to Better Corporate Governance Through
Quality Tools
Reporting & Other Initiatives
Principles of Absolute Liability
Oleum Gas Leak Case

Objectives for Revision