There are several specific services that we offer in relation to Initial Public Offerings (IPOs). Given Switzerland’s stable financial environment, strong regulatory framework, and reputation for financial integrity, it presents an ideal location(but not limited to Switzerland) for guiding companies through the IPO process. 

Below are some of the core services our company offers in this area:

1. IPO Preparation and Structuring

• IPO Readiness Assessment: Conducting an initial assessment to determine if the company is ready for an IPO. This includes evaluating the company’s financials, corporate governance, operations, and overall business structure. Providing recommendations on improving financial reporting, governance, and compliance practices in preparation for the IPO.

• Capital Structure Optimization: Helping clients optimize their capital structure to make the company attractive to public investors. This includes advising on share classes, equity distribution, shareholder rights, and dividend policies.

• Corporate Restructuring: If needed, assisting clients with corporate restructuring prior to going public, which may involve simplifying the company’s legal structure, divesting non-core assets, or setting up special purpose vehicles (SPVs) for specific operations.

• Governance & Compliance Alignment: Ensuring the company is in line with corporate governance best practices required for a public listing, including establishing a robust board structure, audit committee, and appropriate internal controls.

2. Legal and Regulatory Compliance

• Swiss Financial Market Regulation (FINMA): Advising on compliance with Swiss Financial Market Supervisory Authority (FINMA) regulations, including listing rules on the SIX Swiss Exchange and ensuring that the company meets all disclosure and corporate governance requirements.

• Securities Laws Compliance: Helping clients navigate Swiss securities laws and regulations, including prospectus requirements, financial reporting standards (e.g., IFRS), and shareholder rights regulations. This also includes compliance with international regulations such as the EU Prospectus Regulation if the company plans to list on European exchanges.

• Stock Exchange Listing: Assisting in the application process for listing on the SIX Swiss Exchange, SIX Swiss Venture Exchange, or other international exchanges, such as the London Stock Exchange or Euronext, including the preparation of the listing application and submission of required documents.

• Cross-Border Regulatory Compliance: For companies listing internationally, offering services to navigate the regulatory and legal requirements in multiple jurisdictions, including prospectus approval, registration with the SEC (if listing in the U.S.), and compliance with European securities regulations.

3. Financial & Valuation Services

• Valuation Advisory: Providing independent financial valuation services to determine the company’s market value prior to the IPO, including analyzing the company’s financials, industry trends, and comparable market transactions to establish an appropriate price range for shares.

• Capital Raising Strategy: Advising on how much capital the company should raise during the IPO, whether through a primary offering (new shares) or secondary offering (sale of existing shares). This includes helping to determine the appropriate offering size based on market conditions, investor demand, and business needs.

• Financial Reporting & Restatement: Assisting with the preparation or restatement of historical financial statements in compliance with IFRS or Swiss GAAP, ensuring transparency and accuracy for investors. This may involve aligning with auditors for independent reviews.

• Investment Banker Selection & IPO Underwriting: Assisting in the selection of underwriters (investment banks) and structuring the underwriting process for the IPO. This includes negotiating underwriting agreements and helping with the pricing of the offering.

4. Prospectus Preparation and Documentation

• Drafting the Prospectus: Helping clients draft the IPO prospectus (or registration statement), which is a key document required by regulators and investors. The prospectus must include financial statements, risk factors, management discussions, business model explanations, and corporate governance information.

• Due Diligence Process: Assisting with the due diligence process, ensuring that all relevant legal, financial, and operational information is disclosed in the prospectus. This includes coordinating with legal teams, auditors, and financial advisors to prepare accurate and comprehensive disclosures.

• Risk Factor Disclosure: Ensuring that potential risks associated with the IPO and the business are fully disclosed in the prospectus, such as market risks, operational risks, and potential regulatory challenges.

• Management and Legal Documentation: Assisting with the drafting of various management and legal documents required for the IPO, such as the shareholder agreement, articles of association, corporate governance framework, and lock-up agreements.

5. Investor Relations and Marketing

• Investor Roadshow Support: Helping clients plan and execute an investor roadshow to present the company’s investment case to potential institutional and retail investors. This includes developing investor presentations and materials and providing strategies for effectively communicating the company’s story.

• Public Relations & Media Strategy: Providing PR support for the IPO, ensuring that the company’s public image is managed effectively during the IPO process. This can include media outreach, press releases, and managing communications around the launch.

• Building Investor Relations (IR): Helping clients establish a robust investor relations framework to manage ongoing communications with investors post-IPO. This includes creating the IR function, preparing quarterly earnings reports, and managing analyst relationships.

6. Tax and Structuring Services

• Tax Planning for IPOs: Advising on tax implications associated with the IPO, including corporate tax, capital gains, and cross-border taxation for international investors. This includes structuring the IPO to minimize tax exposure for both the company and its investors.

• Post-IPO Tax Optimization: Offering post-IPO tax planning services to ensure that the company remains tax-efficient after the listing. This may involve optimizing the company’s legal structure or exploring tax incentives available for public companies in Switzerland.

• Stock Option Plans: Assisting in structuring employee stock option plans (ESOPs) or shareholder equity plans that align with the IPO, ensuring the company’s compensation practices are attractive to top talent while remaining tax-efficient.

7. Corporate Governance Post-IPO

• Board Structure and Composition: Helping to establish a governance structure that aligns with the requirements for public companies. This may involve setting up an independent board of directors, audit committees, and remuneration committees.

• Post-IPO Compliance and Reporting: Ensuring that the company is compliant with ongoing regulatory reporting requirements, including quarterly financial reports, annual filings, and disclosures as per Swiss or international regulations. Offering ongoing advice on SEC reporting (if listed in the U.S.) or EU reporting standards.

• Shareholder Rights & Engagement: Offering advice on managing relationships with public shareholders and institutional investors, including annual general meetings (AGMs), shareholder voting procedures, and dividend policies.

8. Mergers, Acquisitions, and Post-IPO Corporate Strategy

• M&A Strategy & Planning: Assisting in developing an M&A strategy post-IPO, guiding the company on how to strategically acquire or merge with other companies to drive growth and increase shareholder value.

• Post-IPO Corporate Strategy: Providing strategic advice to help the company leverage its public status to expand, enter new markets, or pursue partnerships, while maintaining shareholder value and market confidence.

• Integration Support: If the company plans to use the IPO to facilitate an acquisition, advising on the integration process to ensure that the newly public entity integrates successfully with any newly acquired businesses.

9. Post-IPO Monitoring and Reporting

• Investor Feedback & Market Reaction: After the IPO, helping the company monitor investor feedback and market reactions. This includes reviewing share performance and analyzing whether the company needs to make adjustments to its public profile or investor relations strategies.

• Compliance with Post-IPO Regulations: Offering ongoing support to ensure that the company remains compliant with continuous disclosure obligations and reporting requirements post-IPO, ensuring no lapses in regulatory obligations.

• Corporate Governance Review: After the IPO, continuing to assess and optimize corporate governance structures, board composition, and executive compensation in line with public company standards.

10. Family Offices & Trusts in IPO Structures

• Trust & Foundation Setup for IPO Proceeds: Advising on setting up trusts or foundations for family offices to hold IPO proceeds or manage wealth generated from the IPO. This can include advice on asset protection, tax planning, and generational wealth transfer.

• Wealth Management & Post-IPO Wealth Structuring: Helping high-net-worth individuals involved in the IPO (e.g., founders, early investors) structure their wealth post-IPO, including estate planning, tax strategies, and philanthropy via foundations or charitable trusts.