Paper 09: Meetings: Compliance and Administration

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About Course

The Professional courses are administered at Foundation, Intermediate and Advanced Levels. Each level requires an average of one year, though candidates are advised to provide for an additional one year to meet requirements for internship/ practical experience.

A student must book for a minimum of three papers in a level in any order unless is exempted or has credits.

This course is aimed at persons who wish to qualify and work or practice as corporate secretaries, policy formulators, and consultants in governance, governance and compliance auditors and administrators at county and national levels and in the private sector.

Course Content

A candidate who passes this paper should be able to: Demonstrate an understanding of the law and procedure of meetings Develop an agenda and prepare the relevant documentation for various meetings Plan and manage meetings in various environments.                Relate effectively with various stakeholders during meetings. Develop a compliance strategy and plan Conduct a compliance assessment/compliance health check

  • course outline

Introduction to Meetings
1.1    Legal and regulatory frameworks for different kinds of entities  1.2    Meaning of a meeting 1.3    Types of meetings; private and public sector meetings 1.4    Maintaining order at meetings 1.5    Police powers in relation to public and private meetings 1.6    Meetings held in public places 1.7    Meetings held in private places 1.8    Convention, constitution and conduct of meetings 1.9    Complying with requirements of various meetings 1.10    Elections  1.11    Resolutions 1.12    Adjournments and postponement  1.13    Role of the chair, secretary and members before, during and after meeting 1.14    The meeting chairperson; qualifications, qualities and effectiveness, appointment and removal 1.15    Law of defamation; nature and scope, defamatory statements, defences and legal remedies 

Professional framework of the corporate secretarial profession 
2.1    Evolution of the corporate secretarial profession (Global perspective and Case study of Kenya) 2.2    Legal and regulatory framework  2.3    Role and mandate of corporate secretarial professional bodies  2.4    Procedures on registration and deregistration as a member 2.5    Professional qualifications and qualities of a secretary 2.6    Required knowledge, skills and competencies  2.7    Appointment and vacation of office of the Secretary  2.8    Professional engagement and clearance as a Corporate Secretary  2.9    Rights, statutory and contractual obligations of a corporate secretary 2.10    Role of corporate secretarial 2.11    Continuous professional development 2.12    Disciplinary procedures 

Governance standards and guidelines 
3.1    GS 001: General Meetings 3.2    GS 002: Meetings of the Board  3.3    GS 003: Minutes   3.4    GS 004: Resolutions  3.5    GS 005: Board papers   3.6    GS 006: Registers and records  3.7    GS 007: Filing annual returns  3.8    GS 008: Common seal 3.9    GG 001- Professional ethics  3.10    GG 002- Role of the corporate secretary   3.11    GG 005: Virtual meetings

Members’ Meetings
4.1    Meaning, nature and scope of members’ meetings 4.2    Statutory meeting 4.3    Annual general meeting 4.4    Special general meeting 4.5    Extraordinary general meeting 4.6    Class meeting 4.7    Meeting of debenture holders 4.8    Duties of the corporate secretary before, during and after a general meeting  4.9    Methods of holding company meetings  4.10    Requirements for a valid physical, virtual and hybrid members’ meeting 4.11    Requirements for circulation of resolutions 4.12    Requirements for keeping records of corporate resolutions and meetings

Board and Committee Meetings
5.1    Meaning, membership and functions of the board 5.2    Powers of the board 5.3    Restrictions on board members’ powers  5.4    First board meeting 5.5    Subsequent board meetings  5.6    Meetings of board committees  5.7    Requisites of valid board and committee meetings  5.8    Legal provisions regarding convening and management of board and committee meetings 5.9    Board annual work plan and calendar  5.10    The role of the secretary before, during and after board and committee meeting 

Meetings in Company liquidation
6.1    Introduction to members’ and creditors’ voluntary liquidation  6.2    Legal provisions for members’ and creditors’ voluntary liquidation 6.3    Liquidation by the court 6.4    Legal provisions for liquidation by the court.

Meetings of County and National Assembly
7.1    Standing orders 7.2    Meetings of the House 7.3    Requirements for a valid physical, virtual and hybrid physical, virtual and hybrid     National Assembly meeting 7.4    Swearing in of members and election of Speaker 7.5    Sittings and adjournment of the House 7.6    Quorum of the House 7.7    Order of Business 7.8    Motions and Amendments 7.9    Divisions 7.10    Rules of Debate 7.11    Limitations of Debate 7.12    Requirements for keeping records of County and National Assembly meetings

Registration and Compliance Requirements for
8.1    Pension Funds 8.2    Cooperative Societies 8.3    Political Parties 8.4    Public Benefit Organisations 8.5    Education Institutions 8.6    Religious Institutions 8.7    Residents Associations 8.8    Business names 8.9    Partnerships  8.10    Companies  8.11    Foreign branch establishments 8.12    Drafting, altering and registration of memorandum of association, articles of association, by-laws and other constitutive documents for various forms of organisations   8.13    Shareholders agreements

Seal and Authentication of documents
9.1    Approval of Common Seal 9.2    Form and content of Common Seal 9.3    Authority and mode of affixation 9.4    Register of documents executed under common seal 9.5    Custody of Common Seal 9.6    Official seal for use abroad  9.7    Authentication of documents             9.8    Legal, regulatory and professional requirements 

Listing at the securities exchange
10.1    Listing requirements:  10.2    Regulatory regime 10.3    Listing process  10.4    Types of public issue  10.5    Role of the advisers: sponsor, broker, financial public relations consultants, lawyers, accountant, share registrars, other advisers  10.6    Prospectus contents and approval 10.7    Dematerialisation

Statutory Reports, Registers, Records and Returns
11.1    Meaning, types and contents  11.2    Maintenance of statutory reports, registers, records and returns 11.3    Legal and regulatory requirements on filing of statutory reports, registers, records and returns for various types of organisations  11.4    Annual statutory returns  11.5    Register of Members 11.6    Register of Directors and Secretaries 11.7    Register of Allotments 11.8    Register of Transfers 11.9    Register of Charges 11.10    Register of Beneficial Owners 11.12    Register of Residential Address, etc. 11.13    Register of charges and debentures  11.14    Registers of interests in voting shares of a public company  11.15    Tax, NHIF, and NSSF requirements   11.16    Occupational safety and health format of registers, custody and retention of registers 11.17    Access to records and registers 11.18    Inspection: in person, right to request copies, fees  11.19    Minute books: custody and retention, access rights  11.20    Financial records: custody and retention, inspection  11.21    Integrated Reporting 11.22    Corporate governance report 11.23    Directors’ remuneration report 11.24    Retention periods for documents and registers 11.25    Managing Classified information 11.26    Preparation and approval of registers and records 11.27    Process and procedure of effecting and filing corporate changes in: register of members; board members, registered capital, corporate, corporate address, corporate name, corporate objective 11.28    Role and responsibilities of the corporate secretary in the external audit process and in the annual reporting cycle 11.29    Penalties for non-compliance 

Compliance Strategy and Plan 
12.1    Nature of a compliance strategy and plan 12.2    Preparation and execution of a compliance strategy and plan 12.3    Monitoring and evaluation of the strategy and plan  12.4    Draft a compliance checklist and schedule for the organisation. 12.5    Compliance Assessment/Compliance health check 12.6    Periodical fit and proper tests for directors, Corporate Secretary and Senior Management  12.7    Annual review of implementation status of previous board resolutions  12.8    Statutory review and comparison of Corporate and registry records to ensure consistency and full compliance with prevailing statutory rules 12.9    Remedial work to regularise anomalies and to remedy compliance failings identified during the status check and statutory review procedures  12.10    Preparatory compliance checks and remediation in view of transactional work  12.11    Setting-up, monitoring and updating of corporate calendar

Management of Share Registration Services   
13.1    Issue of shares at par/premium/discount 13.2    Letters of offer, allotment letters renunciation  13.3    Call on shares 13.4    Rights and bonus issues 13.5    Shares with different differential rights  13.6    Issue and redemption of shares  13.7    Immobilisation of share certificates 13.8    Shareholder rights 13.9    Share ownership registration  13.10    Maintenance of registers of members and debenture holders  13.11    Manual and electronic share registers  13.12    Shares transfer and shares transmission  13.13    In house and outsourced share registry service   13.14    Managing unclaimed shares  13.15    Role of the Secretary in share registration

Management of Dividends
14.1    Types of dividends 14.2    Management of dividends  14.3    Procedure in dividends payment 14.4    Payment and taxation of dividends 14.5    Declaration of dividends out of reserves 14.6    Restriction on distribution  14.7    Closure of register of members 14.8    Managing unclaimed dividends 14.9    Role of the Secretary in dividends payment

Technology and Meetings
15.1    Laws, regulations and guidelines on virtual meetings  15.2    Technology in use in virtual meetings 15.3    Planning and conducting virtual meetings 15.4    Risks associated with virtual meetings and their mitigations  15.5    Virtual meetings etiquette 

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