Expert Support for Ongoing Listing and Regulatory Compliance
Navigating the U.S. capital market as a publicly listed company can be rewarding, but it is also challenging. From ensuring compliance with SEC regulations to analysing exchange listing requirements, these factors are critical for maintaining your company’s credibility, enhancing investor confidence, and driving sustained growth in the U.S.
Here at Hexcellence, our Ongoing Listing Regulatory Advisory Services are crafted to empower your business with the tools, expertise, and guidance needed to succeed in this complex regulatory environment.
Why Regulatory Compliance Matters
Compliance is more than just meeting deadlines—it is about preserving your company’s reputation, ensuring transparency, and securing the trust of stakeholders. Regulatory non-compliance can result in significant setbacks, including:
- Financial Penalties: Costly fines that impact your bottom line.
- Reputational Damage: Loss of investor and market confidence.
- Operational Risks: Suspension or delisting from U.S. exchanges.
Our team works proactively to identify compliance gaps, implement corrective actions, and establish a robust compliance framework to safeguard your listing status.
Filing Requirements: Stay on Top of Key Obligations
Meeting SEC and exchange filing requirements is central to maintaining your company’s good standing, especially in U.S. capital markets. Here are some essential filings (but not limited to) that your company needs to address:
- Form 10-Q
- Purpose: Quarterly financial disclosures.
- Filing Deadline: 40 Days after the quarter end.
- Form 10-K
- Purpose: Annual financial disclosures and overview.
- Filing Deadline: 60 days after the fiscal year-end.
- Form 8-K
- Purpose: Current reports of material events.
- Filing Deadline: 4 business days after the event.
- Form 3
- Purpose: Initial insider ownership disclosure.
- Filing Deadline: 10 days after becoming an insider.
- Form 4
- Purpose: Changes in insider ownership.
- Filing Deadline: 2 business days after the transaction.
- Schedule 13D/G
- Purpose: Beneficial ownership for large shareholders.
- Filing Deadline: 10 days after acquiring a reportable stake.
- Form S-1/S-3
- Purpose: Registration for securities offerings.
- Filing Deadline: Before public offering.
Failing to file accurately and on time can result in your company falling into delinquent status, facing increased regulatory scrutiny and losing investor trust. With our guidance and advisory, you can meet all deadlines with precision and efficiency.
The Risks of Non-Compliance
Everything comes with a risk, especially running a business or company. In the U.S. capital markets, these risks are exacerbated by evolving regulations that demand constant vigilance.
Non-compliance with U.S. capital markets regulations can lead to:
- Investor lawsuits.
- Regulatory investigations.
- Loss of access to funding opportunities.
With our advisory services, we can help you stay ahead of these risks. We monitor regulatory changes, provide expert insights, and develop strategies that align with the latest requirements to ensure that you are fully compliant, well-prepared, and confidently positioned to navigate the complexities of the US regulatory environment.
Why Choose Us as Your Advisory Partner
As a publicly listed company, ensuring full compliance can be overwhelming with different sets of regulations and requirements.
At Hexcellence, we provide our clients with valuable advice and assistance in complying with the reporting requirements of a publicly listed company, whether SEC reporting requirements or OTC alternative reporting requirements.
Compared to other regulatory advisory services, here’s what sets us apart:
- Expertise You Can Trust: A deep understanding of SEC regulations and exchange-specific requirements, such as revenue recognition (ASC 606), lease accounting (ASC 842), and Leasing Revenue Recognition.
- Customised Solutions: Tailored strategies that fit your company’s unique operational and compliance needs.
- Proactive Approach: Constant monitoring of regulatory updates and assistance with timely filings.
- Efficient Delinquency Resolution: Expertise in resolving late filings to restore compliance quickly and effectively.
With a wealth of experience in the U.S. capital markets, we ensure that you meet the necessary standards and deadlines precisely, minimising compliance risks and enhancing your credibility with investors. We guide you through every step of the process, ensuring accurate reporting and seamless adherence to regulatory expectations.
Build Your Success Today
Your journey to sustained growth and compliance starts here. Whether you are maintaining an existing public listing, navigating the complexities of an RTO, or preparing for a future public offering, our expertise can help you confidently achieve your goals.
Don’t leave your compliance to chance. Partner with us at Hexcellence to ensure seamless regulatory support and focus on what matters most—growing your business. Connect with our experts here or at +60 11 5636 6286 to schedule a consultation and unlock your company’s full potential in the U.S. capital markets.