AUDITOR
Audit past financial statements and figures for prospectus inclusion
Auditors letter on the pro forma balance sheets, issuing comfort letter for the Prospectus
LEGAL COUNSEL
Conduct legal due diligence; draft, file and complete listing application
Provide guidance on the risks and regulation of the IPO transaction, publicity and disclosure
Provide guidance to regulatory, exchange listing and securities rules
Ensure all regulatory documents are properly filed and disclosure are properly communicated to protect the business from claims after the IPO
Sign off on the necessary documentation
UNDERWRITER
Devise and manage the IPO marketing campaign, presentations and roadshows
Manage the retail and institutional investor offers and pricing process
Target investors and distribute shares to specific investors
Ensure the stability of clients’ shares and review trading performance
Pre-IPO
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Introduction to the regulatory requirements and listing process of IPO
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Prepare proposal on the listing scheme and business metrics
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Assist the reorganization in respect to the capital structure ofthe organisation, if necessary
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Discuss and provide fund raising strategies and channels for business development
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Discuss Pre-IPO capital restructuring or dividend distribution to realise the optimal composition of assets and liabilities
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Establish detailed capital market strategies and corporate plan aiming to maximize client’s value in preparation of the Listing Exercise
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Provide internal control review services, review and assist in establishing internal control procedures on financial reporting processes
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Provide recommendations on compliance process
IPO & Closing
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Develop an Equity Story for the Listing Exercise
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Arrange for the formation of the Due Diligence Working Group (“DDWG”)
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Help to coordinate or liaise with the DDWG to ensure the progress of the listing is in a timely manner
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Assist the company throughout the listing process, including the due diligence exercise and the drafting of the prospectus
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Assist in responding to related regulatory parties such as Securities and Exchange Commission (SEC) in regard to any queries that may arise
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Assist in obtaining all requisite regulatory approvals