The situation
A mid-cap financial-services business had the scale and growth trajectory to be a credible US listing candidate. What it needed was a multi-year runway to align governance, audit, disclosure, and investor readiness with US public-company standards — before running a formal process.
Our approach
- Diagnostic against SEC and exchange-listing standards
- Transition to a PCAOB-registered audit firm
- Board and committee build-out; disclosure controls and SOX design
- Pre-IPO investor positioning, targeting, and roadshow rehearsal
The outcome
- PCAOB audit in place with prior periods re-audited
- Governance and controls at public-company standards
- Institutional investor coverage warmed ahead of a filing decision
Note
Illustrative case study. Actual client identities and terms are only shared under NDA.