Pre-IPO and Listed Company Advisory

While you are the final decision-maker as to which stock exchange your company will ultimately list, GMAG’s seasoned team of listings/capital markets professionals will help ensure that your decision is fully informed. We will also help you prepare for the listing process (IPO/Spin/Carve), as well as for life as a public company. After listing, we can help you resolve listed company regulatory compliance issues that might arise, refine corporate messaging, and understand public company best practices.

A US listing is the gold standard for top and global-minded companies around the world, providing benefits such as: direct access to the world’s deepest and most liquid pool of capital, maximum financing flexibility, global recognition, enhanced brand reputation, enhanced ability to attract top talent, and acquisition currency. From the very start through the life of your listing, you want to do this the right way, and GMAG can help you do that.

Our advisory services include:

Market Selection

GMAG can help you choose the listing venue(s) that is (are) best for your company, based on profile and objectives. GMAG can also help you understand the pros and cons of listing on a US exchange versus a foreign exchange; the differences and similarities among US stock exchanges (i.e., listing day visibility, post-listing services and support, market model, reputation); and how to navigate the exchange listing and SEC registration processes.

Pre-IPO Advisory

GMAG can guide selection of your IPO professional team (bankers, lawyers, accountants, key internal executives), facilitate communications between management and the IPO professional team, and prepare your company to be regulatory-compliant, investor-friendly, and astute as to public messaging from day one as a public company.

Market-Maker Selection

GMAG can help you understand the role of the Designated Market Marker versus other market makers, and provide insight into the characteristics and reputations of the five DMM firms.

Listed Company Advisory

The GMAG team, with deep experience on both the regulatory and business sides of the listings business, can provide insightful advice as to how to navigate life as a public company, in terms of compliance, corporate governance, disclosures, brand reputation, and investor communications. We can help you:

· Understand public company best practices
· Resolve exchange compliance issues
· Understand continuing listing standards and procedures
· Understand the objectives and thinking of regulators
· Identify and understand regulatory trends

GMAG Advisory Listing Brochure

Capital Markets Advice

How We’ve Helped Our Clients

GMAG was asked to assist a Chinese firm in exploring the development of a pre-IPO incubation platform composed of emerging growth companies based in China.  GMAG reviewed the firm’s business plan, recommended strategic enhancements and guided the firm through various operational and regulatory scenarios. GMAG leveraged the vast capital markets experience of its members to opine on the various considerations related to listing in the U.S.

A Chinese beverage company interested in going public in the U.S., engaged GMAG to assist with their IPO process. GMAG presented a webinar to the company’s senior management on U.S. rules and regulations covering the formation of corporate board/committees, governance, and code of conduct requirements. In addition, we introduced potential candidates for Board of Director positions.