Practice area · 07/08
IPO readiness.
Control environment, governance, and reporting infrastructure ahead of S-1. Built so the first 10-Q is not the discovery moment.
Control environment, governance, and reporting infrastructure ahead of S-1. Built so the first 10-Q is not the discovery moment.
The first 10-Q is not the right time to learn that your close cycle is 18 days.
A pre-IPO institution is a private-company control environment about to be measured against public-company standards: SOX 404, quarterly close discipline, audit-committee independence, whistleblower programs, insider-trading controls, disclosure controls, MD&A, segment reporting. The window between filing and effectiveness is the wrong time to assemble all of that.
Our practice maps the gap between where the institution is and what a Form S-1 will require, sequences the remediation, and runs the program through filing. We are not the underwriter, not the law firm, not the auditor — we are the firm that gets the control environment to the place where those parties can do their jobs.
The work usually starts 12 to 18 months before the filing. Eight months is possible. Four is not. We will tell you that on the first call.
Current-state diagnostic against S-1 readiness, sequenced into a remediation roadmap.
Scoping, control identification, testing infrastructure stood up before year-one filing.
Days-to-close, materiality, segment reporting, internal reporting package design.
Audit committee composition, charter, independence, whistleblower program.
DCP design, sub-certifications, MD&A drafting workflow.
Q&A briefing book, earnings-cycle dress rehearsals, IR/communication interface.
Diagnostic, remediation roadmap, board orientation.
SOX scoping, controls, governance, close discipline.
Mock close cycles, mock earnings, mock disclosure committee meetings.
Year-one SOX, quarterly reporting cadence, audit committee rhythm.
Risk Advisory · Internal Controls · 27 yrs
Andres has run pre-IPO readiness for issuers in financial services and adjacent regulated industries, advising boards and audit committees through first filings for twenty-seven years.
We do not act as financial advisor, underwriter, or counsel. We will coordinate closely with the firms that fill those roles, but we keep our lane.