CS Professional Compliance Management, Audit and Due Diligence PYQ June 2024: Question Paper and Available Answers
CS Professional
Compliance Management, Audit and Due Diligence
PYQS Series
June 2024
38 Questions Indexed
ICSI Examination Archive & Suggested Answers: This directory contains indexed questions from the paper for CS Professional Compliance Management, Audit and Due Diligence PYQS (June 2024). Open the source paper and available answers. Older sessions follow the syllabus and statutory provisions applicable to their examination year.
Indexed questions
- Citing the relevant rules as per the Preservation Policy specified in the Securities Exchange Board of India (Listing Obligations and Disclosure Requirements) [SEBI(LODR)] Regulati
- Citing the relevant rules as per the Preservation Policy specified in the Securities Exchange Board of India (Listing Obligations and Disclosure Requirements) [SEBI(LODR)] Regulati
- Citing the relevant rules as per the Preservation Policy specified in the Securities Exchange Board of India (Listing Obligations and Disclosure Requirements) [SEBI(LODR)] Regulati
- Citing the relevant rules as per the Preservation Policy specified in the Securities Exchange Board of India (Listing Obligations and Disclosure Requirements) [SEBI(LODR)] Regulati
- Citing the relevant rules as per the Preservation Policy specified in the Securities Exchange Board of India (Listing Obligations and Disclosure Requirements) [SEBI(LODR)] Regulati
- The Board of A-to-Z Ltd., a listed entity incorporated under the Companies Act, 2013 asked you as a Practicing Company Secretary (PCS) to present through a power point presentation
- XYZ Ltd., a listed company incorporated under the Companies Act, 2013 is engaged in manufacturing of electronics items. The company has undertaken a programme for development of lo
- $24 \times 7$ & Co. is recently set up professional firm of Company Secretaries on 10th June 2023. P, the managing partner of the firm wants to understand that whether they can giv
- The Compounding order for an offence under the Companies Act, 2013 in case of VVC Ltd. was issued by the compounding authority for offences by the company and the Directors of the
- The rules notified by MCA Notification G.S.R. dated 9th November, 2023, conferred under section 79 of the Limited Liability Partnership Act, 2008, directs to regulate and identify
- There is a prescribed procedure for holding of Inquiry as per Rule 4 of the Securities and Exchange Board of India (SEBI) (Procedure for Holding Inquiry and Imposing Penalties) Rul
- SS is a practising company secretary and partner of SS & Associates (PCS firm) having experience of more than 15 years. K is her employee who is also company secretary and working
- M, a Practising Company Secretary has been offered for conducting the Secretarial Audit of TR Ltd. in the current year. Last year, it was done by PL & Associates (PCS firm), a firm
- State the case details of Punjab National Bank which was based on Values, Ethics and Professional Conduct and due to which Reserve Bank of India has to discontinue the practice of
- The Registrar of Companies (ROC) suo moto on internal investigation conducted after suspicion on the information contained in some documents and returns filed by BPK Ltd. under the
- Dr. Ltd. is a listed entity incorporated on 11th January 2018 under the Companies Act, 2013 having its registered office at a State X in the country. The company has a paid-up capi
- You have been appointed as the Auditor for the purpose of Insider Trading Audit of the GTK Limited. Define insider trading and enumerate the considerations you shall take during In
- Indicate Trading window closure period as per Insider Trading Regulation prescribed by Securities Exchange Board of India (Prohibition of Insider Trading) Regulation, 2015 in each
- Indicate Trading window closure period as per Insider Trading Regulation prescribed by Securities Exchange Board of India (Prohibition of Insider Trading) Regulation, 2015 in each
- In a training programme exclusively being conducted for the Peer Reviewers, you are asked as a Practicing Company Secretary (PCS) to explain them the guidelines for reporting of Pe
- State the relevant provisions in each of the following as per the Securities Exchange Board of India (Listing Obligations and Disclosure Requirements) [SEBI (LODR)] (Second Amendme
- State the relevant provisions in each of the following as per the Securities Exchange Board of India (Listing Obligations and Disclosure Requirements) [SEBI (LODR)] (Second Amendme
- State the relevant provisions in each of the following as per the Securities Exchange Board of India (Listing Obligations and Disclosure Requirements) [SEBI (LODR)] (Second Amendme
- State the relevant provisions in each of the following as per the Securities Exchange Board of India (Listing Obligations and Disclosure Requirements) [SEBI (LODR)] (Second Amendme
- Explain the general categories of assertions that companies make during substantive auditing.
- What are the Preconditions of accepting/continuing any Audit engagement ?
- One of the functions of the Internal Audit is to review the Management's expectations and achievements. Elucidate.
- An incorrect or clear misinterpretation of the facts is one of the causes of misstatement. Elucidate with example.
- Explain FCRA Due diligence.
- The Secretarial auditor should identify and report all events/actions having major bearing on company's affairs in pursuance of applicable laws, rules, regulations, guideline and s
- KPJ Ltd. is a manufacturing company that makes parts of Industrial Machinery. The Company has recently undergone change in Management and the new CFO has expressed concern about th
- J has been appointed as Corporate Social Responsibility (CSR) Auditor for the PS Ltd. He has to guide his team regarding the methodology for CSR Audit. Give any two points in this
- Peer Review not only identifies the area where a practicing member may require guidance in improving the quality of his/her performance but also it provides adherence to various re
- How would Secretarial Auditor go for the "Verification of Corporate Conduct" of XYZ Ltd. and how does he ensure that the Compliance of laws has been done effectively ?
- JKL Ltd. uses accounting software for maintaining books of accounts during the financial year 2023-24. Citing the relevant feature, the aforesaid software essentially should have i
- CSAS-2 PARA 5 requires collections of evidence before forming the opinion. Audit evidence is obtained using a variety of Techniques. Discuss the various Techniques used for obtaini
- "Due Diligence" refers to investigation into the affairs of an entity prior to its acquisition, restructuring, fund raising or other similar transaction. Due Diligence is not restr
- KK Pvt. Ltd. was formed in the year 2016 with a paid-up capital of ₹ 2 crore. The company is manufacturing solar panel and other electronic parts and supply to the public sector co
How to Prepare for CS Professional Compliance Management, Audit and Due Diligence
Use past questions to practise the paper format and review available answers. Check the current syllabus, applicable law and examination duration before attempting a timed paper.