IPO Readiness


Being prepared for the demands placed on a public company prior to your IPO is crucial. DLA provides IPO readiness services, and ensures that the presentation of financial statements and other financial data meets with all disclosure requirements.

Typically, pre-IPO Companies need to create an organizational and back office infrastructure with the appropriate internal control and regulatory compliance structure required for publicly traded companies, including:

  • Effective corporate governance policies and procedures
  • Optimized organizational structure and effective processes to support future growth
  • Efficient and effective policies and procedures with appropriate internal controls
  • Complete and accurate financial statements prepared on a consistent and timely basis
  • Robust financial and reporting systems
    • Comprehensive compliance structure to support regulatory requirements (i.e. Sarbanes-Oxley compliance)
Our IPO readiness service offerings include:
  • SOX Readiness, including coordination with independent accountants
    • Financial controls review, coupled with the design and implementation of internal controls
  • Corporate Governance
    • Audit Committee Charter
    • Whistleblower policy and hotline
    • Examine organizational processes and policies
    • Creation of an Internal Audit function (NYSE requirement), including its redacted policies and procedures
    • Governance policies
  • Business Process Improvement
    • Business process assessment and design, including creation of the financial reporting and the quarterly/annual close process
  • Technology Assessment
    • Assess company’s financial and reporting systems
  • Foreign Corrupt Practices Act (FCPA) compliance
  • IPO process project management