IPO Readiness

Being prepared for the demands placed on a public company prior to an IPO is crucial. At DLA, we provide IPO readiness services to ensure that the presentation of financial statements and other financial data meet all disclosure requirements. Typically, pre-IPO companies need to create an organizational and back-office infrastructure with the appropriate internal control and regulatory compliance structure required for publicly traded companies, including:

  • Effective corporate governance policies and procedures
  • Optimized organizational structure and effective processes to support future growth
  • Efficient and effective policies and procedures with appropriate internal controls
  • Complete and accurate financial statements prepared on a consistent and timely basis
  • Robust financial and reporting systems
  • Comprehensive compliance structure to support regulatory requirements (i.e. Sarbanes-Oxley compliance)

Our services include:

  • SOX Readiness, including coordination with independent accountants
    • Financial controls review coupled with the design and implementation of internal controls
  • Foreign Corrupt Practices Act (FCPA) compliance
  • IPO Process Project Management
  • Corporate Governance
    • Audit Committee Charter
    • Whistleblower Policy and hotline
    • Examination of organizational processes and policies
    • Creation of an Internal Audit function (NYSE requirement), including the development of policies and procedures
    • Development of governance policies
  • Business Process Improvement
    • Business process assessment and design, including the creation of financial reporting and the quarterly/annual close process
  • Technology Assessment
    • Assess the company’s financial and reporting systems

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