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IPO Readiness and Registration,
SEC Reporting and Compliance

  • IPO readiness assessments: process maturity, internal control environment, technical accounting, financial reporting and disclosure capabilities, internal resources and organizational structure, third-party advisors, PCAOB audit readiness

  • IPO project management: lead Project Management Office (PMO) activities, define and assign resource roles and responsibilities, coordinate collaboration among internal and external resources, develop and monitor IPO roadmap and timeline, evaluate comparable and peer company filings and metrics, track and report status, accomplishments and challenges to Steering Committee, execute sponsor directives, manage and adapt activities through  evolving circumstances

  • Preparation of Registration Statement: Coordination with management, legal counsel, investment bankers, public relations and finance to draft financial statements, footnotes, business description, MD&A and other disclosures. Coordination with external auditors to support PCAOB audit and comfort letter procedures

  • On-going periodic reporting on quarterly Form 10-Q and annual report on Form 10-K, preparation of earnings release reports and other reportable disclosures

Interim CFO and
Finance Leadership Support

  • Interim services during absence of CFO or other senior finance team members, or during periods of significant capacity limitations due to competing priorities, to maintain continuity of strategic initiatives and ongoing activities such as periodic financial reporting, financial planning and analysis, banking and other relationships, support to functional leadership, team development and other critical finance activities

  • Financial Planning, Analysis, Budgeting and Forecasting to support strategy and business decisions and monitor performance. Develop tools for AOP, 13-week and annual cashflow planning, monitoring and adjusting.  Guidance to functional leadership to better understand drivers and impacts, be accountable for variances, and improve future forecasts.  Implement product margin analysis to support pricing, promotions and sales channel stragegy.

  • Project Management to define priorities, establish timelines and milestones, assign roles and responsibilities, manage progress, identify and resolve obstacles, coordinate parties and activities, monitor and report status to stakeholders

  • Strategic initiatives and special project support including IPO, acquisitions, due diligence, capital raising, ERP assessment and implementation, internal control design and evaluation, budgeting, forecasting and analysis, accounting policy formalization, accounting position analysis and documentation, audit support, preparation of BOD / investor / lender presentations, management reporting of financial and operational metrics, finance team development 

  • Bench strength when circumstances and competing priorities strain the capacity of the core team, or needs arise for expertise on matters outside the experience of current personnel

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Internal Control, Sarbanes-Oxley and Process Improvement

  • Internal controls are fundamental to effective and successful business practices, regardless of regulatory requirements (e.g., Sarbanes-Oxley applicable to public companies). It is efficient to promote the maintenance of controls as an integral component of processes, rather than an additional documentation exercise, often viewed as burdensome and secondary priority by control owners

  • As required by regulatory requirements, such as Sarbanes-Oxley. Implement and maintain a control environment and documentation in accordance with accepted framework (e.g., COSO) to include risk assessment, process documentation, design and operating effectiveness evaluation, remediation and conclusions

  • Design controls that fit the organization's needs, capabilities and maturity. Effective controls can take many forms and the same control is not suitable or practical to achieve the same control objective for all companies

  • Design and implement formal policies, procedures, structured responsibilities and accountability to perform routine tasks, achieve deadlines and execute ad hoc activities

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Technical Accounting and Financial Reporting

  • Technical accounting memorandums to document considerations and conclusions regarding the applicability of authoritative guidance to the facts and circumstances of the company, to support a position for accounting and disclosure treatment. Common topics include Segment Reporting, non-GAAP financial measures, share-based compensation and business combinations, among others

  • Formal accounting policies and procedures to serve as process and control documentation, training and reference materials and audit support

  • Driven by various purposes including assessment of new accounting pronouncements and financial reporting requirements, changes in the company's operations, enhanced control documentation, audit requirements, and strategic initiative readiness 

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