IPO Readiness & SEC Services
Assess IPO Readiness
With our IPO Readiness Assessment, we conduct a detailed review of the majority of your company’s financial and internal “housekeeping” including but not limited to:
- Drafting financial statements and related sections of registration statements
- Review internal controls documentation and testing
- Be a bridge between the company and your auditor or attorney to facilitate your audit, answer questions, and prepare schedules when necessary
- Enterprise risk management valuation
- Support corporate strategy and development
- Complete tax planning and other tax considerations of the transition
- Prepare accounting memorandums and review the adoption of new accounting pronouncements
- Ensure accounting standards are PCAOB compliant
SEC Support
Compliance and reporting requirements are different as a public company than a private company, this aspect alone can be one of the most intimidating parts of the IPO process. Our SEC Support services include:
- Assistance in SEC pre-clearance of accounting and financial reporting
- Written responses to SEC comment letters
- Assist with external auditor requests
- Prepare pro forma financial information
- Prepare amended registration statements that incorporate responses to SEC comments
- Update registration statements, if financial statements are no longer accurate
Post-IPO Accounting & Financial Reporting Services
Once the registration statements are filed and the IPO is underway, our team can guide new public companies through the complex regulatory environment governed by the SEC. We’ve helped numerous clients entering that next stage of growth with:
- Preparation of quarterly and annual financial statements, footnotes, accounting memos and documents for review
- Accounting policy development and implementation of new accounting policies
- SEC reporting
- Sarbanes-Oxley Act (SOX) readiness and compliance
- Transaction services and support for future M&A activity
Advisory Services
In addition to our direct accounting services, our professionals can aid in the development of your team or company throughout the IPO process. Our advisory services include:
- Project management
- Designing internal control processes and matrices
- Training for accounting staff, executives, and board members on SEC reporting, SOX compliance, and corporate governance
- Accounting staff and internal audit support
- Assistance with underwriters’ due diligence
- Tax planning services for executives and founders
Related Insights
09/10/25
2025年9月3日，纳斯达克向美国证券交易委员会（SEC）提议采纳新的IPO上市标准。新上市标准会在SEC 批准后立即生效。已启动上市流程的公司享有 30 天过渡期。加速停牌/退市规则会在SEC 批准后 60 天起生效。 新的标准包括以下主要内容： 净利润标准路径公司，公众流通股市值须不低于1500万美元。 市值不足500万美元的公司（并有上市缺陷），加快停牌及退市程序。 主要运营在中国的公司，IPO募集资金须不少于2500万美元。 9月5日，SEC 宣布在其执法部设立一个专门的 “跨境特别工作组”，重点打击国际证券欺诈，尤其针对外国公司的市场操纵行为（如“拉高出货”和“推升抛售”），强化对审计师、承销商等“守门人”的责任追究，并增加新的披露要求或修订规则。此举标志着SEC正大幅加强跨境执法力度，以维护市场诚信。 从长远来看，新规对真正有实力并且重视合规的优质中国企业提供了支持，将其与以往依赖“小募资、低流通”模式的小微型企业区分开来，从而提升整体市场的透明度与投资人信心。 在这个新的形势下，中国企业若计划赴美上市，不仅要提前规划融资规模，而且要重视专业团队的选择，尤其是对审计师和承销商的选择。 以下是现行Nasdaq Capital Market 首次公开募集标准。 主要规定 股权标准…
12/31/24
To say that the biotechnology sector is booming would be a significant understatement.
08/27/24
The number of public companies filing their Form 10-K late has increased about 40% over 2023, but Partner Ro Sokhi and Managing Director…
08/08/24
More and more public companies are filing extensions with the SEC for their financial reports, and professionals are raising red flags over the…
10/23/23
The IPO market continues to struggle as companies rethink their strategy to go public before 2023 closes.
Contact Us
By submitting this form, you agree to be contacted by UHY.
