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Disclosure Training-Public Company Readiness

Objectives

• Prevent disclosure violations and possible delays to the IPO by providing employee disclosure training for employees and developing key corporate governance documents for four clients in the process of going public.
• Prepare public company infrastructure for implementation following IPO effective date
• Prevent insider trading violations once company is public.

Program

• Develop and implement orientation program tailored to three distinct employee groups: executive management, outward-facing employees (i.e., those typically representing the company at trade shows), and rank-and-file employees (no exceptions!).
• Develop Disclosure Committee structure and guidelines, counsel on the nuances relating to discussing both historical results and forward-looking information, create ready-response communications plan to ensure the funneling of outside media and investor inquiries to the appropriate company representative for reply,

Develop content for the investor relations website and Investor Kits.

Results

• No inadvertent disclosure issues at high profile trade shows such as the Consumer Electronics Show.
• Managements demonstrate they take disclosure regulations seriously; in the event of future violations, such programs usually mitigate in favor of the companies that employ such trading

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