Listing Readiness Diagnostic
Know Where You Stand. List With Confidence
A 79-item, 8-domain diagnostic that determines whether your company is ready to list & what it will take to be ready.
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 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.
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. 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 6 weeks. We assess 79 critical listing elements across 8 domains, 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.
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How It Works: 6 Weeks. 3 Phases. Complete Clarity
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Phase 1: Align & Plan (Week 1): Kick off to confirm listing target, filing pathway & near-term milestones. Review of financial statements, cap table, governance documents, adviser mandates & exchange correspondence - establishing starting position.
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Phase 2: 8-Domain Deep Dive (Weeks 2–3): Structured interviews & document review across all domains. Every element scored against the specific requirements of your target exchange & jurisdiction.
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Phase 3: Synthesis & Delivery (Weeks 4–6): Findings consolidated into a deliverables package & presented.
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 picture of your position across all 8 domains - identifying strengths, priority focus areas & strategically sequenced workstreams to match 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: 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 can be used to guide modular workstream support or broader listing readiness execution. No duplication, no restart - just a clear, sequenced path forward.
