The transition from private to public equity represents a pivotal inflection point requiring strategic precision, operational excellence, and regulatory mastery. Policy&'s IPO services deliver end-to-end transformation frameworks that convert listing ambitions into sustainable public market success. In today's volatile capital markets, characterized by heightened regulatory scrutiny, sophisticated investor due diligence, and compressed transaction timelines, organizations require integrated solutions that simultaneously address financial, operational, and governance transformation imperatives.


Policy& approaches the IPO journey through our Public Market Transition Frameworkâ„¢, recognizing that successful listings transcend mere compliance to establish foundations for post-IPO value accretion. Our methodology commences with a comprehensive gap analysis across five critical pillars: financial reporting maturity, governance robustness, operational scalability, investor proposition strength, and regulatory preparedness. This diagnostic quantifies readiness against exchange-specific thresholds while identifying hidden vulnerabilities that could derail listings or compromise valuation.


Central to our differentiation is the synchronization of technical compliance with strategic positioning. Policy& architects' financial control ecosystems that satisfy SEC/PCAOB standards while optimizing working capital efficiency. We redesign governance architectures to meet proxy advisor expectations without sacrificing entrepreneurial agility. The P& Store accelerates this transformation through pre-validated regulatory compliance policies, disclosure committee charters, and board governance protocols that reduce preparation time by 40%. Crucially, we embed investor perspective throughout, crafting equity narratives that resonate with fundamental and ESG-focused funds while stress-testing business models against public market valuation drivers.


Our capital markets expertise delivers structural advantages. Policy& provides real-time intelligence on window opportunities, sector-specific valuation multiples, and investor sentiment shifts through our Capital Markets Observatory. Pricing strategy incorporates sophisticated demand forecasting models that optimize allocation between institutional anchors and retail participation. Post-listing, we implement quarterly business review cadences and investor communication protocols that maintain valuation premiums through market cycles.


For technology unicorns transitioning to GAAP reporting, healthcare companies navigating FDA disclosures, or industrial firms establishing ESG baselines, Policy& transforms the IPO process from a compliance exercise to a strategic value inflection.

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Strategy

IPOReadiness Assessments

IPO Readiness Assessments deliver actionable intelligence on public market preparedness through structured evaluation against exchange listing standards. Policy& employs our proprietary IPO Readiness Indexâ„¢, which scores organizations across 12 dimensions, including financial control maturity, governance independence, disclosure robustness, and investor proposition credibility.

The assessment commences with current-state diagnostics mapping existing capabilities against target requirements:

Financial pillar evaluates IFRS/GAAP conversion status, SOX 404 readiness, and audit committee effectiveness
Governance pillar assesses board independence, related-party protocols, and insider trading controls
Operational pillar examines scalable systems, forecasting accuracy, and investor relations infrastructure
Strategic pillar analyzes equity story differentiation and competitive positioning

Gap analysis quantifies remediation timelines and resource requirements while identifying quick-win improvements that enhance valuation positioning. Policy& conducts mock SEC comment letter simulations to pre-empt regulatory challenges. Financial statement quality reviews identify non-standard practices requiring restatement.

The deliverable is a prioritized transformation roadmap with phase sequencing, accountability matrices, and milestone tracking. Critical path items receive dedicated task forces with Policy& embedded expertise. Readiness validation includes dry-run filings and investor Q&A simulations. The P& Store provides industry-specific readiness checklists that accelerate assessment completion while ensuring regulatory coverage.

Financial Reporting and Compliance

Financial Reporting and Compliance establishes audit-ready disclosure capabilities that meet stringent public market standards. Policy& constructs end-to-end financial control ecosystems integrating technical accounting alignment, SOX compliance, and SEC reporting readiness.

Our methodology begins with GAAP/IFRS conversion analysis that identifies material differences requiring restatement. Complex accounting areas (revenue recognition, stock compensation, M&A accounting) receive technical memorandum development and auditor alignment. Control transformation implements process-level RCMs, automated control points, and segregation of duty frameworks validated through walkthroughs and testing.

SEC reporting readiness features XBRL
tagging protocols, non-GAAP reconciliation frameworks, and MD&A drafting
aligned with SEC guidance. Policy& establishes disclosure committees with
clear documentation workflows and review cadences. Technical accounting
research functions are created to address emerging issues post-IPO.

Implementation includes financial systems assessment for close process acceleration, ERP optimization for real-time reporting, and control automation through RPA. Policy& delivers prospectus financial sections with investor-grade sensitivity analysis and capitalization table structuring. Post-filing, we implement quarterly close playbooks and earnings release protocols.

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Investor Relations Strategy

Investor Relations Strategy crafts compelling market narratives that optimize valuation and attract quality shareholders. Policy& transforms corporate stories into investible theses through rigorous positioning analysis, messaging architecture, and roadshow excellence programs.

Our engagement commences with investor perception research analyzing sector valuation drivers and peer communication strategies. Competitive positioning maps identify differentiation opportunities across financial performance, growth vectors, and ESG leadership. The equity story is then crystallized into core messaging pillars supported by proof-point development and financial model integration.

Materials development includes tiered presentation suites: 30-second elevator pitches, 30-minute roadshow decks, and deep-dive Q&A playbooks. Policy& conducts executive media training and investor objection handling simulations. Roadshow strategy optimizes targeting through fund manager profiling, non-deal roadshow sequencing, and virtual roadshow platform configuration.

Post-pricing, we establish ongoing IR infrastructures: investor targeting databases, consensus tracking systems, and earnings call protocols. Crisis communication frameworks prepare for volatility events while shareholder identification analytics monitor ownership composition shifts. Policy& implements ESG communication toolkits that translate sustainability performance into investor-relevant metrics.

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Valuation and Structuring Support

Valuation and Structuring Support optimizes capital formation through data-driven pricing strategies and efficient market positioning. Policy& employs quantitative valuation frameworks integrating comparable company analysis, precedent transactions, and discounted cash flow modeling calibrated to current market sentiment.

Our analysis identifies optimal listing venues and market segments based on sector liquidity, peer valuation premiums, and index inclusion pathways. Structuring recommendations address critical considerations: primary vs. secondary offering mix, greenshoe option sizing, and directed share programs. Lock-up agreement strategies balance insider liquidity needs with market stability concerns.

Investor targeting employs demand forecasting models that predict fund participation levels and anchor investor receptivity. Bookbuilding strategy optimizes price discovery through staged indications of interest and institutional investor tiering. Policy& provides real-time market intelligence during execution, advising on pricing adjustments based on order book momentum.

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Post-IPO Transformation

Post-IPO Transformation institutionalizes
public company disciplines while preserving entrepreneurial value drivers.
Policy& executes structured transitions focusing on governance maturation,
stakeholder alignment, and market expectations management.

Governance enhancement establishes board committee charters, insider trading policies, and shareholder engagement protocols aligned with proxy advisor guidelines. Financial stewardship implements quarterly close acceleration playbooks, SOX 404(b) compliance programs, and investor-grade forecasting models.

Investor relations transitions from transaction mode to ongoing ownership strategy through perception audits, non-deal roadshow programs, and consensus guidance frameworks. Policy& installs earnings call command centers with real-time analyst sentiment monitoring and response coordination systems.

Operational alignment focuses on public-market scalability: upgrading ERP systems for accelerated reporting, implementing internal audit functions, and establishing disclosure controls and procedures. Leadership development programs equip executives for public company scrutiny through media training and shareholder activism preparedness.

Performance management introduces public-market KPIs with investor communication alignment. Policy& establishes quarterly business review cadences that connect operational metrics to total shareholder return objectives. The P& Store provides continuous compliance support through regulatory change alerts and policy template updates.

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Sample of our Deliverables

IPO Readiness Scorecard: Quantifies preparedness gaps across financial, governance, and operational domains. Prioritizes pre-filing remediation.
SEC Compliance Playbook: Details XBRL tagging protocols and disclosure controls. Ensures audit-ready filings (P& Store augmented).
Equity Story Architecture: Defines core investment thesis with tiered messaging. Differentiates in competitive capital markets.
Valuation Optimization Model: Simulates pricing scenarios and investor demand. Maximizes capital formation efficiency.
Roadshow Excellence Kit: Provides tiered presentations and Q&A playbooks. Prepares executives for investor engagement.
Governance Transition Framework: Establishes board committees and public company policies. Meets proxy advisor expectations.
Earnings Release System: Standardizes quarterly disclosure processes. Maintains investor confidence post-listing.
SOX Control Ecosystem: Implements automated financial controls. Prevents material weaknesses post-IPO.
Investor Targeting Database: Profiles fundamental and ESG-focused funds. Optimizes shareholder base quality.
Post-IPO Performance Dashboard: Tracks public company KPIs and consensus metrics. Aligns operations with market expectations.

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Our Guarantees

  • Faster

    Faster

    We deliver instant solutions that can seamlessly integrate within your
    operations.

  • Leaner

    Leaner

    We deliver maximum value while minimizing your resource utilization.

  • Smarter

    Smarter

    We leverage our extensive professional experience with leading practices and the latest technologies.

  • Holistic

    Holistic

    We deliver integrated, world-class quality to optimize performance and drive success.

  • Sustainable

    Sustainable

    We are focused on environmental, social, and economic considerations in our operations.