Public Filing and Compliance
Public filings and SEC requirements leave no room for error, and accuracy has to hold up under scrutiny. Eventus steps in as an embedded partner to manage filings, control documentation, and ensure precision from start to finish.
When it comes to the time-consuming and labor-intensive world of regulatory compliance, Eventus believes in the proven philosophy of “measure twice and cut once” – that is, diligent preparation, careful planning, and thorough research before taking action are the best ways to guarantee cost-effectiveness and efficient deployment of resources.
Our experience covers the full scope of requirements and compliance issues your company is likely to encounter including:
- Reporting for filings under the Securities Exchange Act of 1934 (Forms 10-K, 10-Q and 8-K)
- Internal Controls and SOX Compliance
- Assistance with registration statements (Form S-1 and Form 10)
- Section 16 Reporting
- Proxy Statements
- Shareholder meeting logistics, materials and management
- Environmental, Social, and Governance (ESG) Policy Guidance, Reporting, and Compliance
- Pay Versus Performance Disclosure Rule Compliance Review and Guidance
- Reference Guide Pay Versus Performance Disclosure
- ESG Reference Guide
The planning for a traditional IPO, the audit preparation, the preparation and filing of a registration statement, as well as the continuing reporting requirements under the Securities Exchange Act of 1934 are intense and time-consuming and require many parties to work together collaboratively. We have the expertise to work with you every step of the way and to seamlessly interact with your SEC counsel and auditors so that you can continue to focus on your daily operations.
APOs aren’t for everyone, but it’s worth exploring whether a reverse-merger with an existing registered or non-registered “shell” may be in your company’s best interest. We can assess the landscape of options and map out the possibilities available to you.
The Jumpstart Our Business Startup Act (JOBS) of 2012 significantly increased the limit on capital raises and reduced the burden and cost of compliance and reporting under Regulation A. We would be happy to walk you through the resulting “Regulation A+”, which provides different kinds of compliance issues with less initial and ongoing expense compared to a traditional IPO.
Unlike a reverse-merger, self-registering with the SEC can be highly appealing as a custom-tailored approval to going public. If this option is right for you, our expertise with the required filings and coordination with SEC counsel and auditors can make this process as cost-effective and efficient as possible.
Going public via a SPAC has become a major public market strategy over the past few years. We have a team of Controllers and SEC Managers dedicated to supporting “sponsors” with IPO preparedness as they create their SPAC entity and head towards an IPO. We efficiently and cost effectively handle all of the financial statement preparation and auditor interface needs for our clients to ensure that they can focus on their strategy.