IPO Readiness A Complete Guide
You’re sitting across from investors who’ve seen thousands of pitches. Boards are scrutinising governance, compliance, scalability-and one small oversight could cost you millions. The pressure is real. You need clarity. Confidence. A proven path forward. Going public isn’t just about growth. It’s about precision, preparation, and perception. One misstep in financial controls, one gap in your ESG strategy, one weak link in board reporting-and your valuation drops overnight. You’ve led your company this far. But now you're facing uncharted territory: SEC scrutiny, audit readiness, underwriter expectations, and the global spotlight. Without a comprehensive, battle-tested roadmap, you're not just unprepared-you're exposed. IPO Readiness A Complete Guide gives you the exact framework used by high-growth firms that transitioned seamlessly from private to public with strong valuations and investor confidence. No guesswork. No missing pieces. A CFO at a Series C fintech firm used this guide to close 3 months ahead of schedule on audit readiness, align leadership on disclosure strategy, and walk into their first roadshow with board-ready documentation. They priced above the range and raised $290 million. What used to take 18 months and an army of consultants can now be mapped in 90 days with structured, self-guided clarity. This course delivers everything you need to build a compliant, scalable, audit-proof foundation-before the public market demands it. Here’s how this course is structured to help you get there.Course Format & Delivery Details Designed for Demanding Leaders, On Your Terms
This is a self-paced, on-demand learning experience with immediate online access. Enrol once, and your progress is saved securely-continue anytime, anywhere, without deadlines or live sessions. Most professionals complete the full program in 60 to 90 days by dedicating 3 to 5 hours per week. Many report actionable insights within the first 10 topics, including immediate clarity on financial reporting gaps and governance alignment. Lifetime Access, Continuous Value
Enjoy lifetime access to all course materials, including future updates issued at no extra cost. As regulatory standards evolve and new SEC requirements emerge, your access is automatically refreshed-ensuring your knowledge stays current for years. The platform is 24/7 accessible worldwide and fully mobile-friendly. Whether you’re reviewing risk disclosures on a plane or aligning team roles during offsite planning, the content adapts to your environment and schedule. Expert-Backed Support with Zero Fluff
You gain direct access to instructor-reviewed guidance through curated Q&A checkpoints built into each module. These are not forums or chat-just high-signal, expert-verified answers to mission-critical questions, updated quarterly. This is not passive learning. You engage with structured decision trees, compliance checklists, and disclosure templates modelled after real S-1 filings-tools designed by ex-SEC advisors and former IPO-counsel legal teams. Certificate of Completion Issued by The Art of Service
Upon finishing, you earn a Certificate of Completion issued by The Art of Service-a globally recognised credential trusted by professionals in over 120 countries. Firms like Deloitte, Accenture, and KPMG use Art of Service certifications for internal upskilling. Display your certification with confidence. It validates structured expertise in IPO governance, disclosure integrity, and capital markets readiness-signal you’re not just prepared, you’re accountable. Transparent, Risk-Free Enrollment
Pricing is straightforward with no hidden fees. What you see is what you pay-complete access, no upsells. We accept all major payment methods including Visa, Mastercard, and PayPal. If at any point you find the course doesn’t meet your expectations, you’re covered by our 30-day satisfied or refunded promise. No questions, no friction-just results or your money back. After enrollment, you’ll receive a confirmation email. Once the course materials are fully processed and released, your access details will be sent in a separate message-ensuring quality control and verification before delivery. This Works Even If…
You've never touched an S-1. Your legal team is stretched thin. Your audit firm is pointing out gaps. You're unsure whether you're “market ready” or just hopeful. This system works even if you're leading a fast-scaling startup with no prior exposure to public market rigour. Even if your org has legacy systems, income volatility, or complex cap tables. Even if your board is pushing hard for timelines you’re not confident in. A General Counsel at a biotech scale-up used this guide to coordinate 7 internal teams on compliance timelines, reducing overlapping work by 60% and accelerating their readiness assessment by 4 months. She later said: “This was the only resource that connected legal, finance, and operations without requiring a $500k budget.” With clear frameworks, role-specific workflows, and step-by-step documentation plans, this course meets you wherever you are-and moves you toward IPO confidence with precision. Safety, structure, and certainty are built in. You’re not betting on hype. You’re investing in a repeatable, audit-ready process used by real companies on real timelines.
Module 1: Foundations of Going Public - Understanding the strategic case for IPO vs alternative exits
- Assessing organisational maturity for public markets
- Mapping key stakeholders: board, investors, underwriters, regulators
- Defining success: valuation goals, liquidity events, and long-term vision
- Establishing the IPO steering committee and core responsibilities
- Identifying internal champions and functional leads across departments
- Pre-IPO timeline overview: from preparation to trading day
- Common misconceptions about going public and how to avoid them
- Evaluating economic and market conditions for optimal timing
- Intellectual property readiness and public disclosure implications
Module 2: Regulatory Framework and SEC Compliance - Overview of U.S. Securities and Exchange Commission (SEC) requirements
- Understanding the roles of Regulation S-K and Regulation S-X
- Compliance obligations under the Securities Act of 1933 and Exchange Act of 1934
- Filing obligations: Form S-1, Form 10, Form 8-K, and others
- Digital submission processes via EDGAR system
- Securing CIK and CUSIP numbers for public registration
- Compliance with Sarbanes-Oxley Act (SOX) Section 302 and 404
- Internal control over financial reporting (ICFR) requirements
- Management's Report on Internal Controls and auditor attestation
- Regulatory differences for foreign private issuers (FPIs)
Module 3: Financial Audit and Accounting Readiness - Selecting an independent audit firm with SEC experience
- Understanding the auditor independence rules under Rule 2-01 of Regulation S-X
- Transitioning from GAAP to full SEC-compliant financial statements
- Preparing three years of audited financials with consistent presentation
- Handling non-GAAP measures and ensuring proper reconciliation
- Revenue recognition standards under ASC 606 for subscription and SaaS models
- Inventory and cost of goods sold reporting for manufacturing firms
- Capitalisation and depreciation policies aligned with public standards
- Leases accounting under ASC 842 and balance sheet impact
- Equity-based compensation accounting under ASC 718
- Convertible debt and derivative accounting considerations
- Related-party transaction disclosures and fair-value assessments
- Intercompany eliminations and segment reporting accuracy
- Audit committee oversight of financial reporting and policy changes
Module 4: Governance and Board Structure - Establishing a board of directors meeting independence standards
- Determining appropriate board size and composition for public entities
- Identifying independent directors and avoiding conflicts of interest
- Creating board committees: Audit, Compensation, Nominating/Governance
- Drafting formal charters for each board committee
- Setting meeting frequency and documenting minutes properly
- Implementing director onboarding and annual evaluation processes
- Board diversity and ESG disclosure expectations
- Executive compensation disclosure (Item 402 of Regulation S-K)
- Stock option plans and shareholder approval requirements
- Clawback policies and recovery of incentive compensation
- Related-party transaction review and disclosure protocols
- Board oversight of ESG and sustainability initiatives
- Succession planning for CEO and key executive roles
Module 5: Legal and Corporate Structure Preparation - Reviewing corporate charter and bylaws for public readiness
- Converting LLCs or foreign entities to C-corporation structure
- Amending articles of incorporation to support public trading
- Share class structure: common vs preferred, voting rights, dual-class shares
- Stock split planning and par value considerations
- Handling founder stock, vesting schedules, and restricted stock units
- Cap table clean-up and resolution of legacy ownership issues
- Due diligence on intellectual property ownership and licensing
- Material contracts review: customer, supplier, partnership agreements
- Employment agreements, severance, and change-of-control clauses
- Indemnification agreements for directors and officers
- Insurance requirements: D&O, cyber liability, EPLI
- State of incorporation considerations: Delaware vs other jurisdictions
- Naming a qualified corporate secretary for public filings
Module 6: Disclosure Strategy and S-1 Drafting - Understanding the anatomy of a Form S-1 registration statement
- Preparing the prospectus: front cover, summary, risk factors, offering details
- Drafting compelling business descriptions and competitive positioning
- Writing clear, accurate, and non-misleading forward-looking statements
- Disclosure requirements under Regulation FD (Fair Disclosure)
- Describing core products, services, and technology architecture
- Market opportunity sizing and third-party research integration
- Presenting growth metrics: customer acquisition, retention, CAC, LTV
- Outlining geographic expansion strategy and international risks
- Detailing sales, marketing, and distribution channels
- Explaining pricing models and monetisation strategies
- Revealing customer concentration and reliance on key accounts
- Contractual obligations and deferred revenue recognition
- Principal shareholders and pre-IPO ownership breakdown
- Management team bios and experience disclosure
Module 7: Risk Factor Development and Management - Identifying material risks across operations, finance, and technology
- Drafting specific, actionable risk factor disclosures (not boilerplate)
- Classifying risks: market, regulatory, operational, financial, cybersecurity
- Avoiding omission of known trends that could impact future performance
- Disclosing litigation, investigations, and regulatory enforcement actions
- Addressing supply chain vulnerabilities and single-source dependencies
- Explaining dependence on key personnel and retention challenges
- Highlighting foreign exchange, geopolitical, and import risks
- Detailing environmental, social, and governance (ESG) exposures
- Describing data privacy, GDPR, CCPA, and breach history
- Addressing competition and potential market disruption
- Disclosure of intellectual property infringement claims or disputes
- Outlining risks related to reliance on open source software
- Describing regulatory changes impacting business model viability
- Quantifying exposure to concentrated industries or verticals
Module 8: Underwriting, Valuation, and Pricing - Selecting investment banks and managing underwriter relationships
- Negotiating underwriting agreements and fee structures
- Understanding book-building process and institutional investor demand
- Conducting management roadshows: messaging, delivery, Q&A strategy
- Pitch deck design and content for investor presentations
- Determining IPO price range and final offering price
- Analysing comparables and precedent transactions for valuation
- Using financial models to project revenue, EBITDA, and EPS
- Interpreting EV/Revenue, P/E, and other key multiples
- Assessing market sentiment and macroeconomic influences
- Green shoe option: mechanics and strategic use of over-allotment
- Share lock-up agreements and post-IPO trading restrictions
- Communicating with retail investors and media post-pricing
- Finalising share count, float size, and free cash flow assumptions
Module 9: Internal Systems and Operational Scalability - Assessing ERP system readiness for public reporting
- Integrating finance, HR, and operations systems for consistency
- Migrating from spreadsheets to scalable accounting infrastructure
- Ensuring data integrity across departments and real-time reporting
- Documenting IT general controls (ITGCs) and access management
- Segregation of duties in financial and operational systems
- Implementing change management controls for system updates
- Validating timekeeping, payroll, and benefits administration systems
- Ensuring HRIS systems support SOX-compliant workforce reporting
- Customer support platforms and service level agreement tracking
- Monitoring system uptime, disaster recovery, and business continuity
- Cloud infrastructure security and compliance with SOC 1/SOC 2
- Vendor management and third-party risk assessments
- Procurement and accounts payable workflow automation
- Revenue operations systems and pipeline transparency
Module 10: Cybersecurity and Data Governance - Conducting cybersecurity risk assessments prior to IPO
- Implementing NIST Cybersecurity Framework controls
- Protecting customer, employee, and financial data at scale
- Developing incident response and breach notification plans
- Performing penetration testing and vulnerability scanning
- Encrypting data at rest and in transit
- Monitoring network traffic and detecting anomalous behaviour
- Configuring multi-factor authentication across critical systems
- Establishing employee data access policies and role-based permissions
- Conducting regular security awareness training programs
- Ensuring compliance with GDPR, CCPA, HIPAA, and other regulations
- Documenting data retention and destruction policies
- Auditing third-party vendors for cybersecurity posture
- Reporting cyber incidents in S-1 and periodic filings
- Cyber insurance coverage and policy validation
Module 11: ESG and Sustainability Disclosure - Understanding global ESG reporting frameworks: SASB, TCFD, GRI
- Determining material ESG factors by industry classification
- Measuring and reporting Scope 1, 2, and 3 greenhouse gas emissions
- Setting science-based targets for carbon reduction
- Disclosing energy use, water consumption, and waste management
- Workforce diversity, equity, inclusion, and pay gap analysis
- Employee health, safety, and engagement metrics
- Supplier code of conduct and ethical sourcing practices
- Board oversight of ESG strategy and KPI alignment
- Climate risk scenario analysis and resilience planning
- Community engagement, philanthropy, and social impact
- Anti-corruption, bribery, and foreign payments compliance
- Human rights policies across global operations
- Product safety, lifecycle, and circular economy considerations
- Linking ESG performance to executive compensation
Module 12: Human Capital Management and Talent Readiness - Aligning organisational structure with public company expectations
- Defining executive roles and reporting lines clearly
- Preparing leadership team for public scrutiny and media exposure
- Developing internal communication plans for IPO status
- Managing employee expectations around stock liquidity events
- Designing equity incentive plans for retention and motivation
- Implementing stock option grant processes and exercise guidance
- Creating FAQs for employees on trading blackouts and insider rules
- Training managers on insider trading policies and compliance
- Onboarding new hires with IPO context and regulatory awareness
- Tracking headcount growth, attrition, and productivity KPIs
- HR policy review: handbook updates, benefits, and leave policies
- Executive coaching and media training for C-suite visibility
- Building investor relations capability within the organisation
Module 13: Marketing, Branding, and Investor Relations - Developing investor relations function and staffing needs
- Drafting earnings scripts and quarterly communication plans
- Creating an investor website with SEC filings and press releases
- Designing brand identity for public market positioning
- Aligning marketing messaging with regulatory disclosure obligations
- Differentiating from competitors using factual, non-misleading claims
- Managing media inquiries and crisis communication protocols
- Hosting earnings calls and analyst Q&A preparation
- Responding to shareholder questions and activist investors
- Scheduling ongoing analyst and investor meetings
- Monitoring stock price performance and trading volume trends
- Engaging with proxy advisory firms (ISS, Glass Lewis)
- Preparing for annual shareholder meetings and voting logistics
- Communicating strategic shifts with consistency and transparency
Module 14: Readiness Assessment and Implementation Planning - Conducting a comprehensive IPO readiness self-assessment
- Scoring maturity across governance, finance, legal, and operations
- Identifying critical gaps and prioritising remediation efforts
- Building a 12-month implementation roadmap with milestones
- Assigning ownership and accountability for each action item
- Establishing weekly tracking and steering committee updates
- Creating dependency maps across functional workstreams
- Budgeting for legal, audit, underwriting, and listing costs
- Onboarding outside advisors: counsel, auditors, consultants
- Running dry runs of disclosure drafting and board presentations
- Testing SOX controls and documenting test results
- Finalising internal policies: code of conduct, insider trading, ethics
- Rehearsing roadshow presentations with mock Q&A
- Scheduling SEC pre-filing meetings and feedback loops
- Obtaining board approval for final S-1 submission
Module 15: Post-Submission, Roadshow, and Trading Day - Filing the initial Form S-1 and entering review period
- Responding to SEC comment letters with precision and speed
- Addressing requests for additional disclosures or data
- Coordinating legal, finance, and executive responses efficiently
- Preparing for quiet period compliance and communication limits
- Launching the management roadshow across key cities
- Differentiating public and confidential versions of the S-1
- Monitoring book-building progress and demand signals
- Adjusting price range based on investor feedback
- Finalising valuation and securing approval from board and shareholders
- Executing underwriting agreement and closing documentation
- Completing settlement and deposit of shares with transfer agent
- Commencing trading on NASDAQ, NYSE, or other exchange
- Managing first-day trading volatility and media outreach
- Hosting post-IPO earnings call and follow-up analyst briefings
Module 16: Sustaining Public Company Excellence - Transitioning from IPO project to ongoing public company operations
- Establishing quarterly reporting cycles and deadline calendars
- Drafting 10-Q and 10-K filings with consistency and accuracy
- Preparing MD&A (Management’s Discussion and Analysis) sections
- Reconciling non-GAAP measures with GAAP financials
- Hosting consistent earnings calls with clear guidance
- Managing investor expectations and forward-looking statements
- Maintaining auditor independence and rotating engagement partners
- Updating internal controls and SOX testing annually
- Responding to shareholder proposals and proxy contests
- Expanding ESG reporting with increasing granularity
- Leveraging public status for M&A and strategic partnerships
- Planning secondary offerings and follow-on capital raises
- Building long-term shareholder value and total return focus
- Continuous improvement of governance and disclosure quality
Module 17: Certification, Resources, and Next Steps - Final assessment: comprehensive quiz covering all modules
- Submission of a sample risk factor disclosure for expert feedback
- Completion checklist for governance, financial, and legal readiness
- Downloadable templates: board charters, S-1 outline, SOX plan
- Access to updated regulatory change alerts and alerts dashboard
- Guidance on pursuing advanced designations (CFA, CPA, CGCIO)
- Connecting with peer alumni through exclusive professional network
- Using your Certificate of Completion strategically on LinkedIn, CVs, and boards
- Suggested reading list: SEC manuals, IPO case studies, governance guides
- Next steps: engaging counsel, auditors, and underwriters with confidence
- Progress tracking and gamified mastery scoring system
- Bookmarking critical sections for future reference and team training
- Sharing access with internal teams under group licensing options
- Updating materials annually to reflect new SEC rule changes
- Forever access to refine, revise, and re-engage with core frameworks
- Understanding the strategic case for IPO vs alternative exits
- Assessing organisational maturity for public markets
- Mapping key stakeholders: board, investors, underwriters, regulators
- Defining success: valuation goals, liquidity events, and long-term vision
- Establishing the IPO steering committee and core responsibilities
- Identifying internal champions and functional leads across departments
- Pre-IPO timeline overview: from preparation to trading day
- Common misconceptions about going public and how to avoid them
- Evaluating economic and market conditions for optimal timing
- Intellectual property readiness and public disclosure implications
Module 2: Regulatory Framework and SEC Compliance - Overview of U.S. Securities and Exchange Commission (SEC) requirements
- Understanding the roles of Regulation S-K and Regulation S-X
- Compliance obligations under the Securities Act of 1933 and Exchange Act of 1934
- Filing obligations: Form S-1, Form 10, Form 8-K, and others
- Digital submission processes via EDGAR system
- Securing CIK and CUSIP numbers for public registration
- Compliance with Sarbanes-Oxley Act (SOX) Section 302 and 404
- Internal control over financial reporting (ICFR) requirements
- Management's Report on Internal Controls and auditor attestation
- Regulatory differences for foreign private issuers (FPIs)
Module 3: Financial Audit and Accounting Readiness - Selecting an independent audit firm with SEC experience
- Understanding the auditor independence rules under Rule 2-01 of Regulation S-X
- Transitioning from GAAP to full SEC-compliant financial statements
- Preparing three years of audited financials with consistent presentation
- Handling non-GAAP measures and ensuring proper reconciliation
- Revenue recognition standards under ASC 606 for subscription and SaaS models
- Inventory and cost of goods sold reporting for manufacturing firms
- Capitalisation and depreciation policies aligned with public standards
- Leases accounting under ASC 842 and balance sheet impact
- Equity-based compensation accounting under ASC 718
- Convertible debt and derivative accounting considerations
- Related-party transaction disclosures and fair-value assessments
- Intercompany eliminations and segment reporting accuracy
- Audit committee oversight of financial reporting and policy changes
Module 4: Governance and Board Structure - Establishing a board of directors meeting independence standards
- Determining appropriate board size and composition for public entities
- Identifying independent directors and avoiding conflicts of interest
- Creating board committees: Audit, Compensation, Nominating/Governance
- Drafting formal charters for each board committee
- Setting meeting frequency and documenting minutes properly
- Implementing director onboarding and annual evaluation processes
- Board diversity and ESG disclosure expectations
- Executive compensation disclosure (Item 402 of Regulation S-K)
- Stock option plans and shareholder approval requirements
- Clawback policies and recovery of incentive compensation
- Related-party transaction review and disclosure protocols
- Board oversight of ESG and sustainability initiatives
- Succession planning for CEO and key executive roles
Module 5: Legal and Corporate Structure Preparation - Reviewing corporate charter and bylaws for public readiness
- Converting LLCs or foreign entities to C-corporation structure
- Amending articles of incorporation to support public trading
- Share class structure: common vs preferred, voting rights, dual-class shares
- Stock split planning and par value considerations
- Handling founder stock, vesting schedules, and restricted stock units
- Cap table clean-up and resolution of legacy ownership issues
- Due diligence on intellectual property ownership and licensing
- Material contracts review: customer, supplier, partnership agreements
- Employment agreements, severance, and change-of-control clauses
- Indemnification agreements for directors and officers
- Insurance requirements: D&O, cyber liability, EPLI
- State of incorporation considerations: Delaware vs other jurisdictions
- Naming a qualified corporate secretary for public filings
Module 6: Disclosure Strategy and S-1 Drafting - Understanding the anatomy of a Form S-1 registration statement
- Preparing the prospectus: front cover, summary, risk factors, offering details
- Drafting compelling business descriptions and competitive positioning
- Writing clear, accurate, and non-misleading forward-looking statements
- Disclosure requirements under Regulation FD (Fair Disclosure)
- Describing core products, services, and technology architecture
- Market opportunity sizing and third-party research integration
- Presenting growth metrics: customer acquisition, retention, CAC, LTV
- Outlining geographic expansion strategy and international risks
- Detailing sales, marketing, and distribution channels
- Explaining pricing models and monetisation strategies
- Revealing customer concentration and reliance on key accounts
- Contractual obligations and deferred revenue recognition
- Principal shareholders and pre-IPO ownership breakdown
- Management team bios and experience disclosure
Module 7: Risk Factor Development and Management - Identifying material risks across operations, finance, and technology
- Drafting specific, actionable risk factor disclosures (not boilerplate)
- Classifying risks: market, regulatory, operational, financial, cybersecurity
- Avoiding omission of known trends that could impact future performance
- Disclosing litigation, investigations, and regulatory enforcement actions
- Addressing supply chain vulnerabilities and single-source dependencies
- Explaining dependence on key personnel and retention challenges
- Highlighting foreign exchange, geopolitical, and import risks
- Detailing environmental, social, and governance (ESG) exposures
- Describing data privacy, GDPR, CCPA, and breach history
- Addressing competition and potential market disruption
- Disclosure of intellectual property infringement claims or disputes
- Outlining risks related to reliance on open source software
- Describing regulatory changes impacting business model viability
- Quantifying exposure to concentrated industries or verticals
Module 8: Underwriting, Valuation, and Pricing - Selecting investment banks and managing underwriter relationships
- Negotiating underwriting agreements and fee structures
- Understanding book-building process and institutional investor demand
- Conducting management roadshows: messaging, delivery, Q&A strategy
- Pitch deck design and content for investor presentations
- Determining IPO price range and final offering price
- Analysing comparables and precedent transactions for valuation
- Using financial models to project revenue, EBITDA, and EPS
- Interpreting EV/Revenue, P/E, and other key multiples
- Assessing market sentiment and macroeconomic influences
- Green shoe option: mechanics and strategic use of over-allotment
- Share lock-up agreements and post-IPO trading restrictions
- Communicating with retail investors and media post-pricing
- Finalising share count, float size, and free cash flow assumptions
Module 9: Internal Systems and Operational Scalability - Assessing ERP system readiness for public reporting
- Integrating finance, HR, and operations systems for consistency
- Migrating from spreadsheets to scalable accounting infrastructure
- Ensuring data integrity across departments and real-time reporting
- Documenting IT general controls (ITGCs) and access management
- Segregation of duties in financial and operational systems
- Implementing change management controls for system updates
- Validating timekeeping, payroll, and benefits administration systems
- Ensuring HRIS systems support SOX-compliant workforce reporting
- Customer support platforms and service level agreement tracking
- Monitoring system uptime, disaster recovery, and business continuity
- Cloud infrastructure security and compliance with SOC 1/SOC 2
- Vendor management and third-party risk assessments
- Procurement and accounts payable workflow automation
- Revenue operations systems and pipeline transparency
Module 10: Cybersecurity and Data Governance - Conducting cybersecurity risk assessments prior to IPO
- Implementing NIST Cybersecurity Framework controls
- Protecting customer, employee, and financial data at scale
- Developing incident response and breach notification plans
- Performing penetration testing and vulnerability scanning
- Encrypting data at rest and in transit
- Monitoring network traffic and detecting anomalous behaviour
- Configuring multi-factor authentication across critical systems
- Establishing employee data access policies and role-based permissions
- Conducting regular security awareness training programs
- Ensuring compliance with GDPR, CCPA, HIPAA, and other regulations
- Documenting data retention and destruction policies
- Auditing third-party vendors for cybersecurity posture
- Reporting cyber incidents in S-1 and periodic filings
- Cyber insurance coverage and policy validation
Module 11: ESG and Sustainability Disclosure - Understanding global ESG reporting frameworks: SASB, TCFD, GRI
- Determining material ESG factors by industry classification
- Measuring and reporting Scope 1, 2, and 3 greenhouse gas emissions
- Setting science-based targets for carbon reduction
- Disclosing energy use, water consumption, and waste management
- Workforce diversity, equity, inclusion, and pay gap analysis
- Employee health, safety, and engagement metrics
- Supplier code of conduct and ethical sourcing practices
- Board oversight of ESG strategy and KPI alignment
- Climate risk scenario analysis and resilience planning
- Community engagement, philanthropy, and social impact
- Anti-corruption, bribery, and foreign payments compliance
- Human rights policies across global operations
- Product safety, lifecycle, and circular economy considerations
- Linking ESG performance to executive compensation
Module 12: Human Capital Management and Talent Readiness - Aligning organisational structure with public company expectations
- Defining executive roles and reporting lines clearly
- Preparing leadership team for public scrutiny and media exposure
- Developing internal communication plans for IPO status
- Managing employee expectations around stock liquidity events
- Designing equity incentive plans for retention and motivation
- Implementing stock option grant processes and exercise guidance
- Creating FAQs for employees on trading blackouts and insider rules
- Training managers on insider trading policies and compliance
- Onboarding new hires with IPO context and regulatory awareness
- Tracking headcount growth, attrition, and productivity KPIs
- HR policy review: handbook updates, benefits, and leave policies
- Executive coaching and media training for C-suite visibility
- Building investor relations capability within the organisation
Module 13: Marketing, Branding, and Investor Relations - Developing investor relations function and staffing needs
- Drafting earnings scripts and quarterly communication plans
- Creating an investor website with SEC filings and press releases
- Designing brand identity for public market positioning
- Aligning marketing messaging with regulatory disclosure obligations
- Differentiating from competitors using factual, non-misleading claims
- Managing media inquiries and crisis communication protocols
- Hosting earnings calls and analyst Q&A preparation
- Responding to shareholder questions and activist investors
- Scheduling ongoing analyst and investor meetings
- Monitoring stock price performance and trading volume trends
- Engaging with proxy advisory firms (ISS, Glass Lewis)
- Preparing for annual shareholder meetings and voting logistics
- Communicating strategic shifts with consistency and transparency
Module 14: Readiness Assessment and Implementation Planning - Conducting a comprehensive IPO readiness self-assessment
- Scoring maturity across governance, finance, legal, and operations
- Identifying critical gaps and prioritising remediation efforts
- Building a 12-month implementation roadmap with milestones
- Assigning ownership and accountability for each action item
- Establishing weekly tracking and steering committee updates
- Creating dependency maps across functional workstreams
- Budgeting for legal, audit, underwriting, and listing costs
- Onboarding outside advisors: counsel, auditors, consultants
- Running dry runs of disclosure drafting and board presentations
- Testing SOX controls and documenting test results
- Finalising internal policies: code of conduct, insider trading, ethics
- Rehearsing roadshow presentations with mock Q&A
- Scheduling SEC pre-filing meetings and feedback loops
- Obtaining board approval for final S-1 submission
Module 15: Post-Submission, Roadshow, and Trading Day - Filing the initial Form S-1 and entering review period
- Responding to SEC comment letters with precision and speed
- Addressing requests for additional disclosures or data
- Coordinating legal, finance, and executive responses efficiently
- Preparing for quiet period compliance and communication limits
- Launching the management roadshow across key cities
- Differentiating public and confidential versions of the S-1
- Monitoring book-building progress and demand signals
- Adjusting price range based on investor feedback
- Finalising valuation and securing approval from board and shareholders
- Executing underwriting agreement and closing documentation
- Completing settlement and deposit of shares with transfer agent
- Commencing trading on NASDAQ, NYSE, or other exchange
- Managing first-day trading volatility and media outreach
- Hosting post-IPO earnings call and follow-up analyst briefings
Module 16: Sustaining Public Company Excellence - Transitioning from IPO project to ongoing public company operations
- Establishing quarterly reporting cycles and deadline calendars
- Drafting 10-Q and 10-K filings with consistency and accuracy
- Preparing MD&A (Management’s Discussion and Analysis) sections
- Reconciling non-GAAP measures with GAAP financials
- Hosting consistent earnings calls with clear guidance
- Managing investor expectations and forward-looking statements
- Maintaining auditor independence and rotating engagement partners
- Updating internal controls and SOX testing annually
- Responding to shareholder proposals and proxy contests
- Expanding ESG reporting with increasing granularity
- Leveraging public status for M&A and strategic partnerships
- Planning secondary offerings and follow-on capital raises
- Building long-term shareholder value and total return focus
- Continuous improvement of governance and disclosure quality
Module 17: Certification, Resources, and Next Steps - Final assessment: comprehensive quiz covering all modules
- Submission of a sample risk factor disclosure for expert feedback
- Completion checklist for governance, financial, and legal readiness
- Downloadable templates: board charters, S-1 outline, SOX plan
- Access to updated regulatory change alerts and alerts dashboard
- Guidance on pursuing advanced designations (CFA, CPA, CGCIO)
- Connecting with peer alumni through exclusive professional network
- Using your Certificate of Completion strategically on LinkedIn, CVs, and boards
- Suggested reading list: SEC manuals, IPO case studies, governance guides
- Next steps: engaging counsel, auditors, and underwriters with confidence
- Progress tracking and gamified mastery scoring system
- Bookmarking critical sections for future reference and team training
- Sharing access with internal teams under group licensing options
- Updating materials annually to reflect new SEC rule changes
- Forever access to refine, revise, and re-engage with core frameworks
- Selecting an independent audit firm with SEC experience
- Understanding the auditor independence rules under Rule 2-01 of Regulation S-X
- Transitioning from GAAP to full SEC-compliant financial statements
- Preparing three years of audited financials with consistent presentation
- Handling non-GAAP measures and ensuring proper reconciliation
- Revenue recognition standards under ASC 606 for subscription and SaaS models
- Inventory and cost of goods sold reporting for manufacturing firms
- Capitalisation and depreciation policies aligned with public standards
- Leases accounting under ASC 842 and balance sheet impact
- Equity-based compensation accounting under ASC 718
- Convertible debt and derivative accounting considerations
- Related-party transaction disclosures and fair-value assessments
- Intercompany eliminations and segment reporting accuracy
- Audit committee oversight of financial reporting and policy changes
Module 4: Governance and Board Structure - Establishing a board of directors meeting independence standards
- Determining appropriate board size and composition for public entities
- Identifying independent directors and avoiding conflicts of interest
- Creating board committees: Audit, Compensation, Nominating/Governance
- Drafting formal charters for each board committee
- Setting meeting frequency and documenting minutes properly
- Implementing director onboarding and annual evaluation processes
- Board diversity and ESG disclosure expectations
- Executive compensation disclosure (Item 402 of Regulation S-K)
- Stock option plans and shareholder approval requirements
- Clawback policies and recovery of incentive compensation
- Related-party transaction review and disclosure protocols
- Board oversight of ESG and sustainability initiatives
- Succession planning for CEO and key executive roles
Module 5: Legal and Corporate Structure Preparation - Reviewing corporate charter and bylaws for public readiness
- Converting LLCs or foreign entities to C-corporation structure
- Amending articles of incorporation to support public trading
- Share class structure: common vs preferred, voting rights, dual-class shares
- Stock split planning and par value considerations
- Handling founder stock, vesting schedules, and restricted stock units
- Cap table clean-up and resolution of legacy ownership issues
- Due diligence on intellectual property ownership and licensing
- Material contracts review: customer, supplier, partnership agreements
- Employment agreements, severance, and change-of-control clauses
- Indemnification agreements for directors and officers
- Insurance requirements: D&O, cyber liability, EPLI
- State of incorporation considerations: Delaware vs other jurisdictions
- Naming a qualified corporate secretary for public filings
Module 6: Disclosure Strategy and S-1 Drafting - Understanding the anatomy of a Form S-1 registration statement
- Preparing the prospectus: front cover, summary, risk factors, offering details
- Drafting compelling business descriptions and competitive positioning
- Writing clear, accurate, and non-misleading forward-looking statements
- Disclosure requirements under Regulation FD (Fair Disclosure)
- Describing core products, services, and technology architecture
- Market opportunity sizing and third-party research integration
- Presenting growth metrics: customer acquisition, retention, CAC, LTV
- Outlining geographic expansion strategy and international risks
- Detailing sales, marketing, and distribution channels
- Explaining pricing models and monetisation strategies
- Revealing customer concentration and reliance on key accounts
- Contractual obligations and deferred revenue recognition
- Principal shareholders and pre-IPO ownership breakdown
- Management team bios and experience disclosure
Module 7: Risk Factor Development and Management - Identifying material risks across operations, finance, and technology
- Drafting specific, actionable risk factor disclosures (not boilerplate)
- Classifying risks: market, regulatory, operational, financial, cybersecurity
- Avoiding omission of known trends that could impact future performance
- Disclosing litigation, investigations, and regulatory enforcement actions
- Addressing supply chain vulnerabilities and single-source dependencies
- Explaining dependence on key personnel and retention challenges
- Highlighting foreign exchange, geopolitical, and import risks
- Detailing environmental, social, and governance (ESG) exposures
- Describing data privacy, GDPR, CCPA, and breach history
- Addressing competition and potential market disruption
- Disclosure of intellectual property infringement claims or disputes
- Outlining risks related to reliance on open source software
- Describing regulatory changes impacting business model viability
- Quantifying exposure to concentrated industries or verticals
Module 8: Underwriting, Valuation, and Pricing - Selecting investment banks and managing underwriter relationships
- Negotiating underwriting agreements and fee structures
- Understanding book-building process and institutional investor demand
- Conducting management roadshows: messaging, delivery, Q&A strategy
- Pitch deck design and content for investor presentations
- Determining IPO price range and final offering price
- Analysing comparables and precedent transactions for valuation
- Using financial models to project revenue, EBITDA, and EPS
- Interpreting EV/Revenue, P/E, and other key multiples
- Assessing market sentiment and macroeconomic influences
- Green shoe option: mechanics and strategic use of over-allotment
- Share lock-up agreements and post-IPO trading restrictions
- Communicating with retail investors and media post-pricing
- Finalising share count, float size, and free cash flow assumptions
Module 9: Internal Systems and Operational Scalability - Assessing ERP system readiness for public reporting
- Integrating finance, HR, and operations systems for consistency
- Migrating from spreadsheets to scalable accounting infrastructure
- Ensuring data integrity across departments and real-time reporting
- Documenting IT general controls (ITGCs) and access management
- Segregation of duties in financial and operational systems
- Implementing change management controls for system updates
- Validating timekeeping, payroll, and benefits administration systems
- Ensuring HRIS systems support SOX-compliant workforce reporting
- Customer support platforms and service level agreement tracking
- Monitoring system uptime, disaster recovery, and business continuity
- Cloud infrastructure security and compliance with SOC 1/SOC 2
- Vendor management and third-party risk assessments
- Procurement and accounts payable workflow automation
- Revenue operations systems and pipeline transparency
Module 10: Cybersecurity and Data Governance - Conducting cybersecurity risk assessments prior to IPO
- Implementing NIST Cybersecurity Framework controls
- Protecting customer, employee, and financial data at scale
- Developing incident response and breach notification plans
- Performing penetration testing and vulnerability scanning
- Encrypting data at rest and in transit
- Monitoring network traffic and detecting anomalous behaviour
- Configuring multi-factor authentication across critical systems
- Establishing employee data access policies and role-based permissions
- Conducting regular security awareness training programs
- Ensuring compliance with GDPR, CCPA, HIPAA, and other regulations
- Documenting data retention and destruction policies
- Auditing third-party vendors for cybersecurity posture
- Reporting cyber incidents in S-1 and periodic filings
- Cyber insurance coverage and policy validation
Module 11: ESG and Sustainability Disclosure - Understanding global ESG reporting frameworks: SASB, TCFD, GRI
- Determining material ESG factors by industry classification
- Measuring and reporting Scope 1, 2, and 3 greenhouse gas emissions
- Setting science-based targets for carbon reduction
- Disclosing energy use, water consumption, and waste management
- Workforce diversity, equity, inclusion, and pay gap analysis
- Employee health, safety, and engagement metrics
- Supplier code of conduct and ethical sourcing practices
- Board oversight of ESG strategy and KPI alignment
- Climate risk scenario analysis and resilience planning
- Community engagement, philanthropy, and social impact
- Anti-corruption, bribery, and foreign payments compliance
- Human rights policies across global operations
- Product safety, lifecycle, and circular economy considerations
- Linking ESG performance to executive compensation
Module 12: Human Capital Management and Talent Readiness - Aligning organisational structure with public company expectations
- Defining executive roles and reporting lines clearly
- Preparing leadership team for public scrutiny and media exposure
- Developing internal communication plans for IPO status
- Managing employee expectations around stock liquidity events
- Designing equity incentive plans for retention and motivation
- Implementing stock option grant processes and exercise guidance
- Creating FAQs for employees on trading blackouts and insider rules
- Training managers on insider trading policies and compliance
- Onboarding new hires with IPO context and regulatory awareness
- Tracking headcount growth, attrition, and productivity KPIs
- HR policy review: handbook updates, benefits, and leave policies
- Executive coaching and media training for C-suite visibility
- Building investor relations capability within the organisation
Module 13: Marketing, Branding, and Investor Relations - Developing investor relations function and staffing needs
- Drafting earnings scripts and quarterly communication plans
- Creating an investor website with SEC filings and press releases
- Designing brand identity for public market positioning
- Aligning marketing messaging with regulatory disclosure obligations
- Differentiating from competitors using factual, non-misleading claims
- Managing media inquiries and crisis communication protocols
- Hosting earnings calls and analyst Q&A preparation
- Responding to shareholder questions and activist investors
- Scheduling ongoing analyst and investor meetings
- Monitoring stock price performance and trading volume trends
- Engaging with proxy advisory firms (ISS, Glass Lewis)
- Preparing for annual shareholder meetings and voting logistics
- Communicating strategic shifts with consistency and transparency
Module 14: Readiness Assessment and Implementation Planning - Conducting a comprehensive IPO readiness self-assessment
- Scoring maturity across governance, finance, legal, and operations
- Identifying critical gaps and prioritising remediation efforts
- Building a 12-month implementation roadmap with milestones
- Assigning ownership and accountability for each action item
- Establishing weekly tracking and steering committee updates
- Creating dependency maps across functional workstreams
- Budgeting for legal, audit, underwriting, and listing costs
- Onboarding outside advisors: counsel, auditors, consultants
- Running dry runs of disclosure drafting and board presentations
- Testing SOX controls and documenting test results
- Finalising internal policies: code of conduct, insider trading, ethics
- Rehearsing roadshow presentations with mock Q&A
- Scheduling SEC pre-filing meetings and feedback loops
- Obtaining board approval for final S-1 submission
Module 15: Post-Submission, Roadshow, and Trading Day - Filing the initial Form S-1 and entering review period
- Responding to SEC comment letters with precision and speed
- Addressing requests for additional disclosures or data
- Coordinating legal, finance, and executive responses efficiently
- Preparing for quiet period compliance and communication limits
- Launching the management roadshow across key cities
- Differentiating public and confidential versions of the S-1
- Monitoring book-building progress and demand signals
- Adjusting price range based on investor feedback
- Finalising valuation and securing approval from board and shareholders
- Executing underwriting agreement and closing documentation
- Completing settlement and deposit of shares with transfer agent
- Commencing trading on NASDAQ, NYSE, or other exchange
- Managing first-day trading volatility and media outreach
- Hosting post-IPO earnings call and follow-up analyst briefings
Module 16: Sustaining Public Company Excellence - Transitioning from IPO project to ongoing public company operations
- Establishing quarterly reporting cycles and deadline calendars
- Drafting 10-Q and 10-K filings with consistency and accuracy
- Preparing MD&A (Management’s Discussion and Analysis) sections
- Reconciling non-GAAP measures with GAAP financials
- Hosting consistent earnings calls with clear guidance
- Managing investor expectations and forward-looking statements
- Maintaining auditor independence and rotating engagement partners
- Updating internal controls and SOX testing annually
- Responding to shareholder proposals and proxy contests
- Expanding ESG reporting with increasing granularity
- Leveraging public status for M&A and strategic partnerships
- Planning secondary offerings and follow-on capital raises
- Building long-term shareholder value and total return focus
- Continuous improvement of governance and disclosure quality
Module 17: Certification, Resources, and Next Steps - Final assessment: comprehensive quiz covering all modules
- Submission of a sample risk factor disclosure for expert feedback
- Completion checklist for governance, financial, and legal readiness
- Downloadable templates: board charters, S-1 outline, SOX plan
- Access to updated regulatory change alerts and alerts dashboard
- Guidance on pursuing advanced designations (CFA, CPA, CGCIO)
- Connecting with peer alumni through exclusive professional network
- Using your Certificate of Completion strategically on LinkedIn, CVs, and boards
- Suggested reading list: SEC manuals, IPO case studies, governance guides
- Next steps: engaging counsel, auditors, and underwriters with confidence
- Progress tracking and gamified mastery scoring system
- Bookmarking critical sections for future reference and team training
- Sharing access with internal teams under group licensing options
- Updating materials annually to reflect new SEC rule changes
- Forever access to refine, revise, and re-engage with core frameworks
- Reviewing corporate charter and bylaws for public readiness
- Converting LLCs or foreign entities to C-corporation structure
- Amending articles of incorporation to support public trading
- Share class structure: common vs preferred, voting rights, dual-class shares
- Stock split planning and par value considerations
- Handling founder stock, vesting schedules, and restricted stock units
- Cap table clean-up and resolution of legacy ownership issues
- Due diligence on intellectual property ownership and licensing
- Material contracts review: customer, supplier, partnership agreements
- Employment agreements, severance, and change-of-control clauses
- Indemnification agreements for directors and officers
- Insurance requirements: D&O, cyber liability, EPLI
- State of incorporation considerations: Delaware vs other jurisdictions
- Naming a qualified corporate secretary for public filings
Module 6: Disclosure Strategy and S-1 Drafting - Understanding the anatomy of a Form S-1 registration statement
- Preparing the prospectus: front cover, summary, risk factors, offering details
- Drafting compelling business descriptions and competitive positioning
- Writing clear, accurate, and non-misleading forward-looking statements
- Disclosure requirements under Regulation FD (Fair Disclosure)
- Describing core products, services, and technology architecture
- Market opportunity sizing and third-party research integration
- Presenting growth metrics: customer acquisition, retention, CAC, LTV
- Outlining geographic expansion strategy and international risks
- Detailing sales, marketing, and distribution channels
- Explaining pricing models and monetisation strategies
- Revealing customer concentration and reliance on key accounts
- Contractual obligations and deferred revenue recognition
- Principal shareholders and pre-IPO ownership breakdown
- Management team bios and experience disclosure
Module 7: Risk Factor Development and Management - Identifying material risks across operations, finance, and technology
- Drafting specific, actionable risk factor disclosures (not boilerplate)
- Classifying risks: market, regulatory, operational, financial, cybersecurity
- Avoiding omission of known trends that could impact future performance
- Disclosing litigation, investigations, and regulatory enforcement actions
- Addressing supply chain vulnerabilities and single-source dependencies
- Explaining dependence on key personnel and retention challenges
- Highlighting foreign exchange, geopolitical, and import risks
- Detailing environmental, social, and governance (ESG) exposures
- Describing data privacy, GDPR, CCPA, and breach history
- Addressing competition and potential market disruption
- Disclosure of intellectual property infringement claims or disputes
- Outlining risks related to reliance on open source software
- Describing regulatory changes impacting business model viability
- Quantifying exposure to concentrated industries or verticals
Module 8: Underwriting, Valuation, and Pricing - Selecting investment banks and managing underwriter relationships
- Negotiating underwriting agreements and fee structures
- Understanding book-building process and institutional investor demand
- Conducting management roadshows: messaging, delivery, Q&A strategy
- Pitch deck design and content for investor presentations
- Determining IPO price range and final offering price
- Analysing comparables and precedent transactions for valuation
- Using financial models to project revenue, EBITDA, and EPS
- Interpreting EV/Revenue, P/E, and other key multiples
- Assessing market sentiment and macroeconomic influences
- Green shoe option: mechanics and strategic use of over-allotment
- Share lock-up agreements and post-IPO trading restrictions
- Communicating with retail investors and media post-pricing
- Finalising share count, float size, and free cash flow assumptions
Module 9: Internal Systems and Operational Scalability - Assessing ERP system readiness for public reporting
- Integrating finance, HR, and operations systems for consistency
- Migrating from spreadsheets to scalable accounting infrastructure
- Ensuring data integrity across departments and real-time reporting
- Documenting IT general controls (ITGCs) and access management
- Segregation of duties in financial and operational systems
- Implementing change management controls for system updates
- Validating timekeeping, payroll, and benefits administration systems
- Ensuring HRIS systems support SOX-compliant workforce reporting
- Customer support platforms and service level agreement tracking
- Monitoring system uptime, disaster recovery, and business continuity
- Cloud infrastructure security and compliance with SOC 1/SOC 2
- Vendor management and third-party risk assessments
- Procurement and accounts payable workflow automation
- Revenue operations systems and pipeline transparency
Module 10: Cybersecurity and Data Governance - Conducting cybersecurity risk assessments prior to IPO
- Implementing NIST Cybersecurity Framework controls
- Protecting customer, employee, and financial data at scale
- Developing incident response and breach notification plans
- Performing penetration testing and vulnerability scanning
- Encrypting data at rest and in transit
- Monitoring network traffic and detecting anomalous behaviour
- Configuring multi-factor authentication across critical systems
- Establishing employee data access policies and role-based permissions
- Conducting regular security awareness training programs
- Ensuring compliance with GDPR, CCPA, HIPAA, and other regulations
- Documenting data retention and destruction policies
- Auditing third-party vendors for cybersecurity posture
- Reporting cyber incidents in S-1 and periodic filings
- Cyber insurance coverage and policy validation
Module 11: ESG and Sustainability Disclosure - Understanding global ESG reporting frameworks: SASB, TCFD, GRI
- Determining material ESG factors by industry classification
- Measuring and reporting Scope 1, 2, and 3 greenhouse gas emissions
- Setting science-based targets for carbon reduction
- Disclosing energy use, water consumption, and waste management
- Workforce diversity, equity, inclusion, and pay gap analysis
- Employee health, safety, and engagement metrics
- Supplier code of conduct and ethical sourcing practices
- Board oversight of ESG strategy and KPI alignment
- Climate risk scenario analysis and resilience planning
- Community engagement, philanthropy, and social impact
- Anti-corruption, bribery, and foreign payments compliance
- Human rights policies across global operations
- Product safety, lifecycle, and circular economy considerations
- Linking ESG performance to executive compensation
Module 12: Human Capital Management and Talent Readiness - Aligning organisational structure with public company expectations
- Defining executive roles and reporting lines clearly
- Preparing leadership team for public scrutiny and media exposure
- Developing internal communication plans for IPO status
- Managing employee expectations around stock liquidity events
- Designing equity incentive plans for retention and motivation
- Implementing stock option grant processes and exercise guidance
- Creating FAQs for employees on trading blackouts and insider rules
- Training managers on insider trading policies and compliance
- Onboarding new hires with IPO context and regulatory awareness
- Tracking headcount growth, attrition, and productivity KPIs
- HR policy review: handbook updates, benefits, and leave policies
- Executive coaching and media training for C-suite visibility
- Building investor relations capability within the organisation
Module 13: Marketing, Branding, and Investor Relations - Developing investor relations function and staffing needs
- Drafting earnings scripts and quarterly communication plans
- Creating an investor website with SEC filings and press releases
- Designing brand identity for public market positioning
- Aligning marketing messaging with regulatory disclosure obligations
- Differentiating from competitors using factual, non-misleading claims
- Managing media inquiries and crisis communication protocols
- Hosting earnings calls and analyst Q&A preparation
- Responding to shareholder questions and activist investors
- Scheduling ongoing analyst and investor meetings
- Monitoring stock price performance and trading volume trends
- Engaging with proxy advisory firms (ISS, Glass Lewis)
- Preparing for annual shareholder meetings and voting logistics
- Communicating strategic shifts with consistency and transparency
Module 14: Readiness Assessment and Implementation Planning - Conducting a comprehensive IPO readiness self-assessment
- Scoring maturity across governance, finance, legal, and operations
- Identifying critical gaps and prioritising remediation efforts
- Building a 12-month implementation roadmap with milestones
- Assigning ownership and accountability for each action item
- Establishing weekly tracking and steering committee updates
- Creating dependency maps across functional workstreams
- Budgeting for legal, audit, underwriting, and listing costs
- Onboarding outside advisors: counsel, auditors, consultants
- Running dry runs of disclosure drafting and board presentations
- Testing SOX controls and documenting test results
- Finalising internal policies: code of conduct, insider trading, ethics
- Rehearsing roadshow presentations with mock Q&A
- Scheduling SEC pre-filing meetings and feedback loops
- Obtaining board approval for final S-1 submission
Module 15: Post-Submission, Roadshow, and Trading Day - Filing the initial Form S-1 and entering review period
- Responding to SEC comment letters with precision and speed
- Addressing requests for additional disclosures or data
- Coordinating legal, finance, and executive responses efficiently
- Preparing for quiet period compliance and communication limits
- Launching the management roadshow across key cities
- Differentiating public and confidential versions of the S-1
- Monitoring book-building progress and demand signals
- Adjusting price range based on investor feedback
- Finalising valuation and securing approval from board and shareholders
- Executing underwriting agreement and closing documentation
- Completing settlement and deposit of shares with transfer agent
- Commencing trading on NASDAQ, NYSE, or other exchange
- Managing first-day trading volatility and media outreach
- Hosting post-IPO earnings call and follow-up analyst briefings
Module 16: Sustaining Public Company Excellence - Transitioning from IPO project to ongoing public company operations
- Establishing quarterly reporting cycles and deadline calendars
- Drafting 10-Q and 10-K filings with consistency and accuracy
- Preparing MD&A (Management’s Discussion and Analysis) sections
- Reconciling non-GAAP measures with GAAP financials
- Hosting consistent earnings calls with clear guidance
- Managing investor expectations and forward-looking statements
- Maintaining auditor independence and rotating engagement partners
- Updating internal controls and SOX testing annually
- Responding to shareholder proposals and proxy contests
- Expanding ESG reporting with increasing granularity
- Leveraging public status for M&A and strategic partnerships
- Planning secondary offerings and follow-on capital raises
- Building long-term shareholder value and total return focus
- Continuous improvement of governance and disclosure quality
Module 17: Certification, Resources, and Next Steps - Final assessment: comprehensive quiz covering all modules
- Submission of a sample risk factor disclosure for expert feedback
- Completion checklist for governance, financial, and legal readiness
- Downloadable templates: board charters, S-1 outline, SOX plan
- Access to updated regulatory change alerts and alerts dashboard
- Guidance on pursuing advanced designations (CFA, CPA, CGCIO)
- Connecting with peer alumni through exclusive professional network
- Using your Certificate of Completion strategically on LinkedIn, CVs, and boards
- Suggested reading list: SEC manuals, IPO case studies, governance guides
- Next steps: engaging counsel, auditors, and underwriters with confidence
- Progress tracking and gamified mastery scoring system
- Bookmarking critical sections for future reference and team training
- Sharing access with internal teams under group licensing options
- Updating materials annually to reflect new SEC rule changes
- Forever access to refine, revise, and re-engage with core frameworks
- Identifying material risks across operations, finance, and technology
- Drafting specific, actionable risk factor disclosures (not boilerplate)
- Classifying risks: market, regulatory, operational, financial, cybersecurity
- Avoiding omission of known trends that could impact future performance
- Disclosing litigation, investigations, and regulatory enforcement actions
- Addressing supply chain vulnerabilities and single-source dependencies
- Explaining dependence on key personnel and retention challenges
- Highlighting foreign exchange, geopolitical, and import risks
- Detailing environmental, social, and governance (ESG) exposures
- Describing data privacy, GDPR, CCPA, and breach history
- Addressing competition and potential market disruption
- Disclosure of intellectual property infringement claims or disputes
- Outlining risks related to reliance on open source software
- Describing regulatory changes impacting business model viability
- Quantifying exposure to concentrated industries or verticals
Module 8: Underwriting, Valuation, and Pricing - Selecting investment banks and managing underwriter relationships
- Negotiating underwriting agreements and fee structures
- Understanding book-building process and institutional investor demand
- Conducting management roadshows: messaging, delivery, Q&A strategy
- Pitch deck design and content for investor presentations
- Determining IPO price range and final offering price
- Analysing comparables and precedent transactions for valuation
- Using financial models to project revenue, EBITDA, and EPS
- Interpreting EV/Revenue, P/E, and other key multiples
- Assessing market sentiment and macroeconomic influences
- Green shoe option: mechanics and strategic use of over-allotment
- Share lock-up agreements and post-IPO trading restrictions
- Communicating with retail investors and media post-pricing
- Finalising share count, float size, and free cash flow assumptions
Module 9: Internal Systems and Operational Scalability - Assessing ERP system readiness for public reporting
- Integrating finance, HR, and operations systems for consistency
- Migrating from spreadsheets to scalable accounting infrastructure
- Ensuring data integrity across departments and real-time reporting
- Documenting IT general controls (ITGCs) and access management
- Segregation of duties in financial and operational systems
- Implementing change management controls for system updates
- Validating timekeeping, payroll, and benefits administration systems
- Ensuring HRIS systems support SOX-compliant workforce reporting
- Customer support platforms and service level agreement tracking
- Monitoring system uptime, disaster recovery, and business continuity
- Cloud infrastructure security and compliance with SOC 1/SOC 2
- Vendor management and third-party risk assessments
- Procurement and accounts payable workflow automation
- Revenue operations systems and pipeline transparency
Module 10: Cybersecurity and Data Governance - Conducting cybersecurity risk assessments prior to IPO
- Implementing NIST Cybersecurity Framework controls
- Protecting customer, employee, and financial data at scale
- Developing incident response and breach notification plans
- Performing penetration testing and vulnerability scanning
- Encrypting data at rest and in transit
- Monitoring network traffic and detecting anomalous behaviour
- Configuring multi-factor authentication across critical systems
- Establishing employee data access policies and role-based permissions
- Conducting regular security awareness training programs
- Ensuring compliance with GDPR, CCPA, HIPAA, and other regulations
- Documenting data retention and destruction policies
- Auditing third-party vendors for cybersecurity posture
- Reporting cyber incidents in S-1 and periodic filings
- Cyber insurance coverage and policy validation
Module 11: ESG and Sustainability Disclosure - Understanding global ESG reporting frameworks: SASB, TCFD, GRI
- Determining material ESG factors by industry classification
- Measuring and reporting Scope 1, 2, and 3 greenhouse gas emissions
- Setting science-based targets for carbon reduction
- Disclosing energy use, water consumption, and waste management
- Workforce diversity, equity, inclusion, and pay gap analysis
- Employee health, safety, and engagement metrics
- Supplier code of conduct and ethical sourcing practices
- Board oversight of ESG strategy and KPI alignment
- Climate risk scenario analysis and resilience planning
- Community engagement, philanthropy, and social impact
- Anti-corruption, bribery, and foreign payments compliance
- Human rights policies across global operations
- Product safety, lifecycle, and circular economy considerations
- Linking ESG performance to executive compensation
Module 12: Human Capital Management and Talent Readiness - Aligning organisational structure with public company expectations
- Defining executive roles and reporting lines clearly
- Preparing leadership team for public scrutiny and media exposure
- Developing internal communication plans for IPO status
- Managing employee expectations around stock liquidity events
- Designing equity incentive plans for retention and motivation
- Implementing stock option grant processes and exercise guidance
- Creating FAQs for employees on trading blackouts and insider rules
- Training managers on insider trading policies and compliance
- Onboarding new hires with IPO context and regulatory awareness
- Tracking headcount growth, attrition, and productivity KPIs
- HR policy review: handbook updates, benefits, and leave policies
- Executive coaching and media training for C-suite visibility
- Building investor relations capability within the organisation
Module 13: Marketing, Branding, and Investor Relations - Developing investor relations function and staffing needs
- Drafting earnings scripts and quarterly communication plans
- Creating an investor website with SEC filings and press releases
- Designing brand identity for public market positioning
- Aligning marketing messaging with regulatory disclosure obligations
- Differentiating from competitors using factual, non-misleading claims
- Managing media inquiries and crisis communication protocols
- Hosting earnings calls and analyst Q&A preparation
- Responding to shareholder questions and activist investors
- Scheduling ongoing analyst and investor meetings
- Monitoring stock price performance and trading volume trends
- Engaging with proxy advisory firms (ISS, Glass Lewis)
- Preparing for annual shareholder meetings and voting logistics
- Communicating strategic shifts with consistency and transparency
Module 14: Readiness Assessment and Implementation Planning - Conducting a comprehensive IPO readiness self-assessment
- Scoring maturity across governance, finance, legal, and operations
- Identifying critical gaps and prioritising remediation efforts
- Building a 12-month implementation roadmap with milestones
- Assigning ownership and accountability for each action item
- Establishing weekly tracking and steering committee updates
- Creating dependency maps across functional workstreams
- Budgeting for legal, audit, underwriting, and listing costs
- Onboarding outside advisors: counsel, auditors, consultants
- Running dry runs of disclosure drafting and board presentations
- Testing SOX controls and documenting test results
- Finalising internal policies: code of conduct, insider trading, ethics
- Rehearsing roadshow presentations with mock Q&A
- Scheduling SEC pre-filing meetings and feedback loops
- Obtaining board approval for final S-1 submission
Module 15: Post-Submission, Roadshow, and Trading Day - Filing the initial Form S-1 and entering review period
- Responding to SEC comment letters with precision and speed
- Addressing requests for additional disclosures or data
- Coordinating legal, finance, and executive responses efficiently
- Preparing for quiet period compliance and communication limits
- Launching the management roadshow across key cities
- Differentiating public and confidential versions of the S-1
- Monitoring book-building progress and demand signals
- Adjusting price range based on investor feedback
- Finalising valuation and securing approval from board and shareholders
- Executing underwriting agreement and closing documentation
- Completing settlement and deposit of shares with transfer agent
- Commencing trading on NASDAQ, NYSE, or other exchange
- Managing first-day trading volatility and media outreach
- Hosting post-IPO earnings call and follow-up analyst briefings
Module 16: Sustaining Public Company Excellence - Transitioning from IPO project to ongoing public company operations
- Establishing quarterly reporting cycles and deadline calendars
- Drafting 10-Q and 10-K filings with consistency and accuracy
- Preparing MD&A (Management’s Discussion and Analysis) sections
- Reconciling non-GAAP measures with GAAP financials
- Hosting consistent earnings calls with clear guidance
- Managing investor expectations and forward-looking statements
- Maintaining auditor independence and rotating engagement partners
- Updating internal controls and SOX testing annually
- Responding to shareholder proposals and proxy contests
- Expanding ESG reporting with increasing granularity
- Leveraging public status for M&A and strategic partnerships
- Planning secondary offerings and follow-on capital raises
- Building long-term shareholder value and total return focus
- Continuous improvement of governance and disclosure quality
Module 17: Certification, Resources, and Next Steps - Final assessment: comprehensive quiz covering all modules
- Submission of a sample risk factor disclosure for expert feedback
- Completion checklist for governance, financial, and legal readiness
- Downloadable templates: board charters, S-1 outline, SOX plan
- Access to updated regulatory change alerts and alerts dashboard
- Guidance on pursuing advanced designations (CFA, CPA, CGCIO)
- Connecting with peer alumni through exclusive professional network
- Using your Certificate of Completion strategically on LinkedIn, CVs, and boards
- Suggested reading list: SEC manuals, IPO case studies, governance guides
- Next steps: engaging counsel, auditors, and underwriters with confidence
- Progress tracking and gamified mastery scoring system
- Bookmarking critical sections for future reference and team training
- Sharing access with internal teams under group licensing options
- Updating materials annually to reflect new SEC rule changes
- Forever access to refine, revise, and re-engage with core frameworks
- Assessing ERP system readiness for public reporting
- Integrating finance, HR, and operations systems for consistency
- Migrating from spreadsheets to scalable accounting infrastructure
- Ensuring data integrity across departments and real-time reporting
- Documenting IT general controls (ITGCs) and access management
- Segregation of duties in financial and operational systems
- Implementing change management controls for system updates
- Validating timekeeping, payroll, and benefits administration systems
- Ensuring HRIS systems support SOX-compliant workforce reporting
- Customer support platforms and service level agreement tracking
- Monitoring system uptime, disaster recovery, and business continuity
- Cloud infrastructure security and compliance with SOC 1/SOC 2
- Vendor management and third-party risk assessments
- Procurement and accounts payable workflow automation
- Revenue operations systems and pipeline transparency
Module 10: Cybersecurity and Data Governance - Conducting cybersecurity risk assessments prior to IPO
- Implementing NIST Cybersecurity Framework controls
- Protecting customer, employee, and financial data at scale
- Developing incident response and breach notification plans
- Performing penetration testing and vulnerability scanning
- Encrypting data at rest and in transit
- Monitoring network traffic and detecting anomalous behaviour
- Configuring multi-factor authentication across critical systems
- Establishing employee data access policies and role-based permissions
- Conducting regular security awareness training programs
- Ensuring compliance with GDPR, CCPA, HIPAA, and other regulations
- Documenting data retention and destruction policies
- Auditing third-party vendors for cybersecurity posture
- Reporting cyber incidents in S-1 and periodic filings
- Cyber insurance coverage and policy validation
Module 11: ESG and Sustainability Disclosure - Understanding global ESG reporting frameworks: SASB, TCFD, GRI
- Determining material ESG factors by industry classification
- Measuring and reporting Scope 1, 2, and 3 greenhouse gas emissions
- Setting science-based targets for carbon reduction
- Disclosing energy use, water consumption, and waste management
- Workforce diversity, equity, inclusion, and pay gap analysis
- Employee health, safety, and engagement metrics
- Supplier code of conduct and ethical sourcing practices
- Board oversight of ESG strategy and KPI alignment
- Climate risk scenario analysis and resilience planning
- Community engagement, philanthropy, and social impact
- Anti-corruption, bribery, and foreign payments compliance
- Human rights policies across global operations
- Product safety, lifecycle, and circular economy considerations
- Linking ESG performance to executive compensation
Module 12: Human Capital Management and Talent Readiness - Aligning organisational structure with public company expectations
- Defining executive roles and reporting lines clearly
- Preparing leadership team for public scrutiny and media exposure
- Developing internal communication plans for IPO status
- Managing employee expectations around stock liquidity events
- Designing equity incentive plans for retention and motivation
- Implementing stock option grant processes and exercise guidance
- Creating FAQs for employees on trading blackouts and insider rules
- Training managers on insider trading policies and compliance
- Onboarding new hires with IPO context and regulatory awareness
- Tracking headcount growth, attrition, and productivity KPIs
- HR policy review: handbook updates, benefits, and leave policies
- Executive coaching and media training for C-suite visibility
- Building investor relations capability within the organisation
Module 13: Marketing, Branding, and Investor Relations - Developing investor relations function and staffing needs
- Drafting earnings scripts and quarterly communication plans
- Creating an investor website with SEC filings and press releases
- Designing brand identity for public market positioning
- Aligning marketing messaging with regulatory disclosure obligations
- Differentiating from competitors using factual, non-misleading claims
- Managing media inquiries and crisis communication protocols
- Hosting earnings calls and analyst Q&A preparation
- Responding to shareholder questions and activist investors
- Scheduling ongoing analyst and investor meetings
- Monitoring stock price performance and trading volume trends
- Engaging with proxy advisory firms (ISS, Glass Lewis)
- Preparing for annual shareholder meetings and voting logistics
- Communicating strategic shifts with consistency and transparency
Module 14: Readiness Assessment and Implementation Planning - Conducting a comprehensive IPO readiness self-assessment
- Scoring maturity across governance, finance, legal, and operations
- Identifying critical gaps and prioritising remediation efforts
- Building a 12-month implementation roadmap with milestones
- Assigning ownership and accountability for each action item
- Establishing weekly tracking and steering committee updates
- Creating dependency maps across functional workstreams
- Budgeting for legal, audit, underwriting, and listing costs
- Onboarding outside advisors: counsel, auditors, consultants
- Running dry runs of disclosure drafting and board presentations
- Testing SOX controls and documenting test results
- Finalising internal policies: code of conduct, insider trading, ethics
- Rehearsing roadshow presentations with mock Q&A
- Scheduling SEC pre-filing meetings and feedback loops
- Obtaining board approval for final S-1 submission
Module 15: Post-Submission, Roadshow, and Trading Day - Filing the initial Form S-1 and entering review period
- Responding to SEC comment letters with precision and speed
- Addressing requests for additional disclosures or data
- Coordinating legal, finance, and executive responses efficiently
- Preparing for quiet period compliance and communication limits
- Launching the management roadshow across key cities
- Differentiating public and confidential versions of the S-1
- Monitoring book-building progress and demand signals
- Adjusting price range based on investor feedback
- Finalising valuation and securing approval from board and shareholders
- Executing underwriting agreement and closing documentation
- Completing settlement and deposit of shares with transfer agent
- Commencing trading on NASDAQ, NYSE, or other exchange
- Managing first-day trading volatility and media outreach
- Hosting post-IPO earnings call and follow-up analyst briefings
Module 16: Sustaining Public Company Excellence - Transitioning from IPO project to ongoing public company operations
- Establishing quarterly reporting cycles and deadline calendars
- Drafting 10-Q and 10-K filings with consistency and accuracy
- Preparing MD&A (Management’s Discussion and Analysis) sections
- Reconciling non-GAAP measures with GAAP financials
- Hosting consistent earnings calls with clear guidance
- Managing investor expectations and forward-looking statements
- Maintaining auditor independence and rotating engagement partners
- Updating internal controls and SOX testing annually
- Responding to shareholder proposals and proxy contests
- Expanding ESG reporting with increasing granularity
- Leveraging public status for M&A and strategic partnerships
- Planning secondary offerings and follow-on capital raises
- Building long-term shareholder value and total return focus
- Continuous improvement of governance and disclosure quality
Module 17: Certification, Resources, and Next Steps - Final assessment: comprehensive quiz covering all modules
- Submission of a sample risk factor disclosure for expert feedback
- Completion checklist for governance, financial, and legal readiness
- Downloadable templates: board charters, S-1 outline, SOX plan
- Access to updated regulatory change alerts and alerts dashboard
- Guidance on pursuing advanced designations (CFA, CPA, CGCIO)
- Connecting with peer alumni through exclusive professional network
- Using your Certificate of Completion strategically on LinkedIn, CVs, and boards
- Suggested reading list: SEC manuals, IPO case studies, governance guides
- Next steps: engaging counsel, auditors, and underwriters with confidence
- Progress tracking and gamified mastery scoring system
- Bookmarking critical sections for future reference and team training
- Sharing access with internal teams under group licensing options
- Updating materials annually to reflect new SEC rule changes
- Forever access to refine, revise, and re-engage with core frameworks
- Understanding global ESG reporting frameworks: SASB, TCFD, GRI
- Determining material ESG factors by industry classification
- Measuring and reporting Scope 1, 2, and 3 greenhouse gas emissions
- Setting science-based targets for carbon reduction
- Disclosing energy use, water consumption, and waste management
- Workforce diversity, equity, inclusion, and pay gap analysis
- Employee health, safety, and engagement metrics
- Supplier code of conduct and ethical sourcing practices
- Board oversight of ESG strategy and KPI alignment
- Climate risk scenario analysis and resilience planning
- Community engagement, philanthropy, and social impact
- Anti-corruption, bribery, and foreign payments compliance
- Human rights policies across global operations
- Product safety, lifecycle, and circular economy considerations
- Linking ESG performance to executive compensation
Module 12: Human Capital Management and Talent Readiness - Aligning organisational structure with public company expectations
- Defining executive roles and reporting lines clearly
- Preparing leadership team for public scrutiny and media exposure
- Developing internal communication plans for IPO status
- Managing employee expectations around stock liquidity events
- Designing equity incentive plans for retention and motivation
- Implementing stock option grant processes and exercise guidance
- Creating FAQs for employees on trading blackouts and insider rules
- Training managers on insider trading policies and compliance
- Onboarding new hires with IPO context and regulatory awareness
- Tracking headcount growth, attrition, and productivity KPIs
- HR policy review: handbook updates, benefits, and leave policies
- Executive coaching and media training for C-suite visibility
- Building investor relations capability within the organisation
Module 13: Marketing, Branding, and Investor Relations - Developing investor relations function and staffing needs
- Drafting earnings scripts and quarterly communication plans
- Creating an investor website with SEC filings and press releases
- Designing brand identity for public market positioning
- Aligning marketing messaging with regulatory disclosure obligations
- Differentiating from competitors using factual, non-misleading claims
- Managing media inquiries and crisis communication protocols
- Hosting earnings calls and analyst Q&A preparation
- Responding to shareholder questions and activist investors
- Scheduling ongoing analyst and investor meetings
- Monitoring stock price performance and trading volume trends
- Engaging with proxy advisory firms (ISS, Glass Lewis)
- Preparing for annual shareholder meetings and voting logistics
- Communicating strategic shifts with consistency and transparency
Module 14: Readiness Assessment and Implementation Planning - Conducting a comprehensive IPO readiness self-assessment
- Scoring maturity across governance, finance, legal, and operations
- Identifying critical gaps and prioritising remediation efforts
- Building a 12-month implementation roadmap with milestones
- Assigning ownership and accountability for each action item
- Establishing weekly tracking and steering committee updates
- Creating dependency maps across functional workstreams
- Budgeting for legal, audit, underwriting, and listing costs
- Onboarding outside advisors: counsel, auditors, consultants
- Running dry runs of disclosure drafting and board presentations
- Testing SOX controls and documenting test results
- Finalising internal policies: code of conduct, insider trading, ethics
- Rehearsing roadshow presentations with mock Q&A
- Scheduling SEC pre-filing meetings and feedback loops
- Obtaining board approval for final S-1 submission
Module 15: Post-Submission, Roadshow, and Trading Day - Filing the initial Form S-1 and entering review period
- Responding to SEC comment letters with precision and speed
- Addressing requests for additional disclosures or data
- Coordinating legal, finance, and executive responses efficiently
- Preparing for quiet period compliance and communication limits
- Launching the management roadshow across key cities
- Differentiating public and confidential versions of the S-1
- Monitoring book-building progress and demand signals
- Adjusting price range based on investor feedback
- Finalising valuation and securing approval from board and shareholders
- Executing underwriting agreement and closing documentation
- Completing settlement and deposit of shares with transfer agent
- Commencing trading on NASDAQ, NYSE, or other exchange
- Managing first-day trading volatility and media outreach
- Hosting post-IPO earnings call and follow-up analyst briefings
Module 16: Sustaining Public Company Excellence - Transitioning from IPO project to ongoing public company operations
- Establishing quarterly reporting cycles and deadline calendars
- Drafting 10-Q and 10-K filings with consistency and accuracy
- Preparing MD&A (Management’s Discussion and Analysis) sections
- Reconciling non-GAAP measures with GAAP financials
- Hosting consistent earnings calls with clear guidance
- Managing investor expectations and forward-looking statements
- Maintaining auditor independence and rotating engagement partners
- Updating internal controls and SOX testing annually
- Responding to shareholder proposals and proxy contests
- Expanding ESG reporting with increasing granularity
- Leveraging public status for M&A and strategic partnerships
- Planning secondary offerings and follow-on capital raises
- Building long-term shareholder value and total return focus
- Continuous improvement of governance and disclosure quality
Module 17: Certification, Resources, and Next Steps - Final assessment: comprehensive quiz covering all modules
- Submission of a sample risk factor disclosure for expert feedback
- Completion checklist for governance, financial, and legal readiness
- Downloadable templates: board charters, S-1 outline, SOX plan
- Access to updated regulatory change alerts and alerts dashboard
- Guidance on pursuing advanced designations (CFA, CPA, CGCIO)
- Connecting with peer alumni through exclusive professional network
- Using your Certificate of Completion strategically on LinkedIn, CVs, and boards
- Suggested reading list: SEC manuals, IPO case studies, governance guides
- Next steps: engaging counsel, auditors, and underwriters with confidence
- Progress tracking and gamified mastery scoring system
- Bookmarking critical sections for future reference and team training
- Sharing access with internal teams under group licensing options
- Updating materials annually to reflect new SEC rule changes
- Forever access to refine, revise, and re-engage with core frameworks
- Developing investor relations function and staffing needs
- Drafting earnings scripts and quarterly communication plans
- Creating an investor website with SEC filings and press releases
- Designing brand identity for public market positioning
- Aligning marketing messaging with regulatory disclosure obligations
- Differentiating from competitors using factual, non-misleading claims
- Managing media inquiries and crisis communication protocols
- Hosting earnings calls and analyst Q&A preparation
- Responding to shareholder questions and activist investors
- Scheduling ongoing analyst and investor meetings
- Monitoring stock price performance and trading volume trends
- Engaging with proxy advisory firms (ISS, Glass Lewis)
- Preparing for annual shareholder meetings and voting logistics
- Communicating strategic shifts with consistency and transparency
Module 14: Readiness Assessment and Implementation Planning - Conducting a comprehensive IPO readiness self-assessment
- Scoring maturity across governance, finance, legal, and operations
- Identifying critical gaps and prioritising remediation efforts
- Building a 12-month implementation roadmap with milestones
- Assigning ownership and accountability for each action item
- Establishing weekly tracking and steering committee updates
- Creating dependency maps across functional workstreams
- Budgeting for legal, audit, underwriting, and listing costs
- Onboarding outside advisors: counsel, auditors, consultants
- Running dry runs of disclosure drafting and board presentations
- Testing SOX controls and documenting test results
- Finalising internal policies: code of conduct, insider trading, ethics
- Rehearsing roadshow presentations with mock Q&A
- Scheduling SEC pre-filing meetings and feedback loops
- Obtaining board approval for final S-1 submission
Module 15: Post-Submission, Roadshow, and Trading Day - Filing the initial Form S-1 and entering review period
- Responding to SEC comment letters with precision and speed
- Addressing requests for additional disclosures or data
- Coordinating legal, finance, and executive responses efficiently
- Preparing for quiet period compliance and communication limits
- Launching the management roadshow across key cities
- Differentiating public and confidential versions of the S-1
- Monitoring book-building progress and demand signals
- Adjusting price range based on investor feedback
- Finalising valuation and securing approval from board and shareholders
- Executing underwriting agreement and closing documentation
- Completing settlement and deposit of shares with transfer agent
- Commencing trading on NASDAQ, NYSE, or other exchange
- Managing first-day trading volatility and media outreach
- Hosting post-IPO earnings call and follow-up analyst briefings
Module 16: Sustaining Public Company Excellence - Transitioning from IPO project to ongoing public company operations
- Establishing quarterly reporting cycles and deadline calendars
- Drafting 10-Q and 10-K filings with consistency and accuracy
- Preparing MD&A (Management’s Discussion and Analysis) sections
- Reconciling non-GAAP measures with GAAP financials
- Hosting consistent earnings calls with clear guidance
- Managing investor expectations and forward-looking statements
- Maintaining auditor independence and rotating engagement partners
- Updating internal controls and SOX testing annually
- Responding to shareholder proposals and proxy contests
- Expanding ESG reporting with increasing granularity
- Leveraging public status for M&A and strategic partnerships
- Planning secondary offerings and follow-on capital raises
- Building long-term shareholder value and total return focus
- Continuous improvement of governance and disclosure quality
Module 17: Certification, Resources, and Next Steps - Final assessment: comprehensive quiz covering all modules
- Submission of a sample risk factor disclosure for expert feedback
- Completion checklist for governance, financial, and legal readiness
- Downloadable templates: board charters, S-1 outline, SOX plan
- Access to updated regulatory change alerts and alerts dashboard
- Guidance on pursuing advanced designations (CFA, CPA, CGCIO)
- Connecting with peer alumni through exclusive professional network
- Using your Certificate of Completion strategically on LinkedIn, CVs, and boards
- Suggested reading list: SEC manuals, IPO case studies, governance guides
- Next steps: engaging counsel, auditors, and underwriters with confidence
- Progress tracking and gamified mastery scoring system
- Bookmarking critical sections for future reference and team training
- Sharing access with internal teams under group licensing options
- Updating materials annually to reflect new SEC rule changes
- Forever access to refine, revise, and re-engage with core frameworks
- Filing the initial Form S-1 and entering review period
- Responding to SEC comment letters with precision and speed
- Addressing requests for additional disclosures or data
- Coordinating legal, finance, and executive responses efficiently
- Preparing for quiet period compliance and communication limits
- Launching the management roadshow across key cities
- Differentiating public and confidential versions of the S-1
- Monitoring book-building progress and demand signals
- Adjusting price range based on investor feedback
- Finalising valuation and securing approval from board and shareholders
- Executing underwriting agreement and closing documentation
- Completing settlement and deposit of shares with transfer agent
- Commencing trading on NASDAQ, NYSE, or other exchange
- Managing first-day trading volatility and media outreach
- Hosting post-IPO earnings call and follow-up analyst briefings
Module 16: Sustaining Public Company Excellence - Transitioning from IPO project to ongoing public company operations
- Establishing quarterly reporting cycles and deadline calendars
- Drafting 10-Q and 10-K filings with consistency and accuracy
- Preparing MD&A (Management’s Discussion and Analysis) sections
- Reconciling non-GAAP measures with GAAP financials
- Hosting consistent earnings calls with clear guidance
- Managing investor expectations and forward-looking statements
- Maintaining auditor independence and rotating engagement partners
- Updating internal controls and SOX testing annually
- Responding to shareholder proposals and proxy contests
- Expanding ESG reporting with increasing granularity
- Leveraging public status for M&A and strategic partnerships
- Planning secondary offerings and follow-on capital raises
- Building long-term shareholder value and total return focus
- Continuous improvement of governance and disclosure quality
Module 17: Certification, Resources, and Next Steps - Final assessment: comprehensive quiz covering all modules
- Submission of a sample risk factor disclosure for expert feedback
- Completion checklist for governance, financial, and legal readiness
- Downloadable templates: board charters, S-1 outline, SOX plan
- Access to updated regulatory change alerts and alerts dashboard
- Guidance on pursuing advanced designations (CFA, CPA, CGCIO)
- Connecting with peer alumni through exclusive professional network
- Using your Certificate of Completion strategically on LinkedIn, CVs, and boards
- Suggested reading list: SEC manuals, IPO case studies, governance guides
- Next steps: engaging counsel, auditors, and underwriters with confidence
- Progress tracking and gamified mastery scoring system
- Bookmarking critical sections for future reference and team training
- Sharing access with internal teams under group licensing options
- Updating materials annually to reflect new SEC rule changes
- Forever access to refine, revise, and re-engage with core frameworks
- Final assessment: comprehensive quiz covering all modules
- Submission of a sample risk factor disclosure for expert feedback
- Completion checklist for governance, financial, and legal readiness
- Downloadable templates: board charters, S-1 outline, SOX plan
- Access to updated regulatory change alerts and alerts dashboard
- Guidance on pursuing advanced designations (CFA, CPA, CGCIO)
- Connecting with peer alumni through exclusive professional network
- Using your Certificate of Completion strategically on LinkedIn, CVs, and boards
- Suggested reading list: SEC manuals, IPO case studies, governance guides
- Next steps: engaging counsel, auditors, and underwriters with confidence
- Progress tracking and gamified mastery scoring system
- Bookmarking critical sections for future reference and team training
- Sharing access with internal teams under group licensing options
- Updating materials annually to reflect new SEC rule changes
- Forever access to refine, revise, and re-engage with core frameworks