Listing Readiness Diagnostic
Know Where You Stand. List With Confidence
A 79-item, advisor-administered assessment across the eight domains that determine
whether your company is genuinely ready to list & exactly what it will take to get there.
The companies that list successfully (on time, on budget, with board & investor confidence intact) share one thing in common. They knew exactly where they stood before the process began.
Our Listing Readiness Diagnostic gives you that picture. It maps your current position against the requirements of your target exchange & jurisdiction, identifies precisely what needs to be done & sequences every workstream against your listing timeline - so you can move forward with clarity & confidence - not on the basis of assumptions or at the mercy of unsurfaced risks.
Early preparation is the highest-ROI step in any listing journey. Issues resolved upstream cost a fraction of what they cost later. Workstreams started concurrently compress timelines materially. Founders, Board, CEOs & CFOs who engage early arrive at listing in control - not in catch up mode. This is where the benefits of 'the Executive Agility difference' begin.
What is the Listing Readiness Diagnostic?
A Structured Independent Review
Our Listing Readiness Diagnostic is a structured assessment, delivered over six weeks. We assess 79 critical listing elements across eight domains (scored 0–5), tailored to your specific filing pathway & target exchange.
Every assessment item is benchmarked against applicable regulatory requirements: SEC, CSA, NYSE, Nasdaq, TSX, TSXV, CSE, or OTC markets.
The output is a scored readiness assessment, a visual heatmap of your position by workstream, & a phased implementation roadmap - sequenced to your target listing timeline & ready to act on immediately.
What We Assess: The 8 Diagnostic Domains
1. Board & Governance: Independence & committee composition per Nasdaq / NYSE & NI 52-110; committee charters, D&O insurance, governance policies, PIF readiness & board skills matrix.
2. Financial Reporting: Audit-ready financials, PCAOB / CPAB auditor engagement, IFRS / US GAAP compliance, MD&A framework, cap table integrity, complex accounting positions & CFO capability.
3. Internal Controls & Compliance: COSO 2013 adoption, process narratives, Risk & Control Matrices, SOD assessment, IT General Controls, SOX 302/906 sub-certification framework, Disclosure Controls & Procedures & ICFR readiness.
4. Legal & Corporate Structure: Entity rationalization, articles & by-laws, IP ownership, material contracts, RPT framework, insider trading policy, EDGAR/SEDAR+ agent readiness & PIF completeness for D&O.
5. Operations & Technology: ERP capability for public-company close cycles, chart of accounts, VDR readiness, cybersecurity risk disclosure, ITGC assessment, KPI framework, business continuity, & privacy compliance.
6. Capital Markets & IR: Underwriter selection, transfer agent & DTC eligibility, equity story, IR strategy, Reg FD/NI 51-102 policy, EDGAR/SEDAR+ agent, analyst coverage strategy & investor communications framework.
7. Human Capital & Leadership: CEO & CFO capability for public-company obligations, GC / CLO retained, executive compensation framework, equity plan, key-man risk & HR policy.
8. ESG & Sustainability: ESG materiality, GHG baseline, board-level ESG oversight, diversity disclosure, CFPOA/FCPA anti-bribery compliance & supply chain due diligence.
How It Works: Six Weeks. Three Phases. Complete Clarity
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Phase 1: Align & Plan (Week 1): We kick off with your CEO, CFO & Chair to confirm your listing target, filing pathway & near-term milestones. We review your financial statements, cap table, governance documents, adviser mandates & exchange correspondence - establishing a complete picture of your starting position.
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Phase 2: Eight-Domain Deep Dive (Weeks 2–3): Structured interviews & document review across all eight domains. Every element scored against the specific requirements of your target exchange & jurisdiction - giving you a precise, evidence-based readiness assessment.
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Phase 3: Synthesis & Delivery (Weeks 4–6): All findings consolidated into your deliverables package & presented to your board or executive team - ready to act on from day one.
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Deliverables - What You Walk Away With
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Scored Listing Readiness Diagnostic: 79 critical listing elements scored 0–5 following interviews & document review - tailored to your target jurisdiction & exchange. A precise baseline for everything that follows.
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Listing Readiness Heatmap: A clear visual picture of your position across all eight domains - identifying where you're strong, where to focus first & how workstreams sequence against your timeline.
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Phased Implementation Roadmap: A prioritized, sequenced action plan with domain, owner, regulatory reference & dependency mapping - aligned to your target listing date & ready to execute immediately.
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Score Summary Report Domain: scores, gap analysis & overall listing readiness percentage - giving your team & board a single, clear view of where you stand.
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Board-Ready Findings Pack : Executive summary of all findings, critical path items & recommended workstream sequencing - formatted for board presentation & designed to support confident decision-making.
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Professional Network Introductions: Warm introductions to pre-vetted professionals, ie: PCAOB auditors, securities counsel, investment bankers, EDGAR / SEDAR agents & IR firms - matched to your size, sector & pathway. No referral fees.
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Stage 2 Scope Basis: If you proceed to implementation, the Diagnostic becomes the engagement blueprint. No duplication, no restart - just a clear, sequenced path forward.
