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CS63: GOVERNANCE AND SECRETARIAL AUDIT

Description

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GENERAL OBJECTIVE

This paper is intended to equip the candidate with knowledge, skills and attitudes that will enable him/her to effectively plan and conduct a governance and secretarial audit.

LEARNING OUTCOMES

A candidate who passes this paper should be able to:

Identify the objectives and scope of governance and secretarial audits

Design and implement a governance and secretarial audit strategy

Prepare and interpret various governance and secretarial audit reports

Analyse the various check-lists/work sheets for governance and secretarial audits

Conduct board evaluations

 

What Will I Learn?

  • Scope of governance and secretarial audits
  • Design and implementation of a governance and secretarial audit strategy
  • Preparation and interpretion of various governance and secretarial audit reports
  • Analysis of check-lists/work sheets for governance and secretarial audits
  • Board evaluations.

Topics for this course

68 Lessons70h

PROFESSIONAL FRAMEWORKS FOR GOVERNANCE AUDITS?

Governance Audit Guidelines and Tools - GG 003: Governance Audit Guidelines - GG 004: Governance Audit Peer Review Mechanism - Governance audit tools - Engagement letter - Management letter - Management representations Codes of Governance - Code of Governance for State Corporations ( Mwongozo) 2014 - Code of Corporate Governance Practices for Issuers of Securities to the Public - Code of Governance for Private Organisations
Governance Audit Guidelines and Tools
GG 003: Governance Audit Guidelines
GG 004: Governance Audit Peer Review Mechanism
Governance audit tools
Engagement letter
Management letter
Management representations
Codes of Governance
Code of Governance for State Corporations ( Mwongozo) 2014
Code of Corporate Governance Practices for Issuers of Securities to the Public
Code of Governance for Private Organisations

INTRODUCTION TO GOVERNANCE AUDITING?

- Nature, purpose and scope of the governance audit - Authority and responsibility of the governance auditor - Advantages and disadvantages of governance audit - Types and timing of governance audits - Legal framework for governance audit - General principles of governance audit - Governance audit criteria - The role ICS in governance and secretarial auditing

GOVERNANCE CONTROL AND COMPLIANCE?

- Management control systems in corporate governance - Objectives and importance of governance control systems - Management of information in governance audit - The importance of governance control in risk management

GOVERNANCE AUDITOR ENGAGEMENT?

- Appointment, qualification, rights, duties and dismissal of governance auditors - Governance audit proposal - Acceptance procedures - Governance audit engagement - Agreed upon procedures - Soliciting for clients and advertising

PLANNING FOR GOVERNANCE AUDITS?

- Preparing for a governance audit - Governance audit strategy - Developing governance audit plan and programme - List of documents to be reviewed for the governance audit process

CONDUCT OF GOVERNANCE AUDIT?

- Reviewing the governance and internal control systems - Documentation in governance audit - Coordination in the conduct of governance audit - Governance compliance checklists - Group governance audits - Role of in-house corporate secretary, internal auditor, external auditor, audit committee, regulatory oversight bodies and other governance assurance functions - Process of governance audit - The governance audit cycle - Governance audit tools - Scoring methodology - Data analysis - Communication between governance auditor and client organisation

GOVERNANCE AUDIT EVIDENCE AND REVIEW?

- Nature and sources of governance audit evidence - Types of governance audit evidence - Techniques of gathering governance audit evidence - Limitations in gathering governance audit evidence - Types of governance audit tests - Governance audit sampling - Using the work of experts

POST GOVERNANCE AUDIT?

- Nature and scope of subsequent events - General guidelines on subsequent events

PEER REVIEW MECHANISM?

- Purpose, scope and types of peer review - Responsibilities of parties in peer review - Peer review mechanism stages - Quality management and assurance measures - Confidentiality requirements

GOVERNANCE AUDITOR’S REPORT?

- Purpose and users of governance auditor's report - Contents and elements of governance auditors' report - Types of governance audit reports - Consequences of various governance audit reports - Review of statutory reports, returns and other governance documents - Types of governance audit reports - Filing governance audit reports with relevant authorities

GOVERNANCE AUDIT REPORT

GOVERNANCE AWARDS IN PRACTICE?

- The ICS Governance Awards, other regional governance awards - Parameters evaluated in the governance awards - Award evaluation tool and scoring - Governance Index

CASE STUDIES

EMERGING ISSUES AND TRENDS

About the instructors

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114 Courses

0 students

GlobopointConsultantsLtd

e-Learning Training and Consultation

 

Globopoint Consultants Limited is a fully registered Research, Training, and Consultancy firm based in Mombasa Kenya serving the entire East African region and beyond. The company is geared towards building professionals, entrepreneurs, growing businesses, and fostering sustainable economic development.

Globopoint Learning center is a fully accredited institution run by Globopoint Consultants Limited to specifically nurture modern-day professionals in the business field in an easy, practical, and convenient way.

4.67 (6 ratings)

144 Courses

1409 students

KSh1,000.00

Requirements

  • PASS in Part 2 or necessary exemptions from KASNEB

Target Audience

  • CS PART III SECTION 6 STUDENTS
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