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Expand Beyond Borders with our Global Gateway Program™
As an extension of our popular Blue Chip Program™, we prepare select non-U.S. public companies through our Global Gateway Program™ for listings on U.S. exchanges such as the NASDAQ and NYSE. With deep expertise in corporate finance, compliance, and advanced technology, we streamline the process to meet Wall Street's rigorous standards and ensure a successful transition to U.S. capital markets.
Meeting the Rigorous Standards of Wall Street for an Exchange Listing
U.S. stock exchanges like NASDAQ and NYSE set some of the most stringent listing requirements in the world, designed to ensure transparency, stability, and investor protection. Any company seeking to list on these exchanges must meet rigorous standards across financial reporting, corporate governance, legal compliance, and risk management. These requirements serve to uphold investor confidence and the integrity of the U.S. capital markets.
For non-U.S. public companies, the transition to a U.S. exchange involves adapting to a new regulatory environment. The U.S. Securities and Exchange Commission (SEC) mandates detailed disclosures, adherence to U.S. GAAP and/or IFRS accounting standards, and robust internal controls under the Sarbanes-Oxley Act. Additionally, companies must align their corporate governance structures with U.S. norms, including independent boards and properly functioning committees.
These requirements, while designed to protect market participants, can pose significant challenges for companies that are unfamiliar with the U.S. system. However, meeting these standards also brings significant benefits: access to deeper capital markets, increased valuation potential, and enhanced global credibility. Companies that successfully navigate this process position themselves for long-term growth and expansion on the global stage.
Transitioning to United States Securities Markets
While transitioning a foreign-listed company to a U.S. exchange is achievable, the process can range from lengthy and complex to more streamlined and efficient, depending on the company’s level of readiness, its jurisdiction, and its qualifications for a U.S. public exchange.
Successfully making this transition requires addressing critical areas such as compliance, governance, and operational alignment. Here’s what companies can generally expect:
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Accounting Standards
Non-U.S. companies must prepare their financial statements in accordance with U.S. Generally Accepted Accounting Principles (GAAP) or International Financial Reporting Standards (IFRS), which may require reconciling their local accounting standards to align with these frameworks.
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Legal Requirements
Companies must ensure compliance with U.S. securities laws, including filing registration statements (e.g., Form F-1 or F-4) with the SEC, and addressing cross-border legal considerations like dual listing regulations and shareholder agreements.
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Compliance Standards
Robust internal controls and compliance frameworks are essential. Companies must ensure adherence to the Sarbanes-Oxley Act, which governs financial reporting and internal control systems.
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Risk Management
Investors and regulators expect comprehensive risk management practices. This includes identifying and mitigating financial, operational, and compliance risks.
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SEC Reporting
Non-U.S. companies are required to file an annual Form 20-F with the SEC, along with other periodic disclosures. They must implement robust systems to manage and comply with these ongoing reporting obligations.
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Sufficient Resources
Companies must ensure they have the internal resources and external advisors necessary to meet U.S. regulatory and operational requirements.
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Ongoing Compliance and Risk Maintenance
Post-listing, companies must continue to meet U.S. regulations, provide timely disclosures, and maintain strong corporate governance to retain investor confidence.
While not a complete assessment, effectively tackling these encompass the most critical to ensuring a successful transition to Wall Street and achieving a successful listing on a U.S. exchange.
How to Successfully Navigate to a Wall Street Listing
Navigating the process of listing on a U.S. stock exchange requires expertise in corporate finance, technology, and compliance. Without the right guidance, the process can become complex, time-consuming, and costly. That’s why it’s essential to work with a firm that has deep knowledge of U.S. capital markets and a proven process for ensuring success.
Our Global Gateway Program™, an extension of the Blue Chip Program™, is specifically designed to help non-U.S. public companies transition to U.S. exchanges like NASDAQ and NYSE. This program combines expert corporate financial advisory with advanced technology solutions to ensure that every step in the process is addressed comprehensively and efficiently.
Our Global Gateway Program™ provides:
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A structured and methodical approach to meeting all U.S. exchange requirements.
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Expert guidance to ensure full compliance with SEC regulations, GAAP and/or IRFS accounting standards, and corporate governance standards.
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Implementation of our proprietary SEC Compliance PRO technology to streamline reporting and compliance management.
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Comprehensive preparation so that your company is fully ready to engage with a U.S. broker-dealer for a successful public exchange listing.
By working with our team of experts, your company can navigate the complexities of a U.S. listing with confidence, efficiency, and cost-effectiveness.
Getting Started
The first step to transitioning your company to a U.S. stock exchange is understanding your readiness. Through our USER Rating™ (United States Exchange Readiness Rating™), we provide a comprehensive diagnostics analysis to determine your company’s preparedness for listing on a U.S. exchange, such as NASDAQ or NYSE.
Our proprietary system of algorithmic analytics evaluates your company’s current state against the rigorous requirements of U.S. exchanges. By analyzing your financials, governance, legal, and operational readiness, we identify gaps and provide you with a clear, actionable report, including an alpha-numeric rating that reflects your company’s readiness level.
A USER Rating™ provides:
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A detailed assessment of your current compliance with U.S. exchange requirements.
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A clear understanding of gaps that need to be addressed.
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A roadmap for preparing your company for a successful listing on a U.S. exchange.
To get started, click the button below and complete our readiness survey, which will allow us to begin analyzing your company’s information.
Don’t miss the opportunity to take your company to the next level with a listing on the world’s most prestigious stock exchanges.
Wall Street Right Now
U.S. Capital Sources
The following is a list of FINRA-member capital sources to which we send qualified deal flow. This list is provided for informational purposes only and does not imply any partnership, endorsement, or affiliation with these companies.
We are committed to transparency and continuously expanding our network of capital sources to serve our clients better. As such, this list is routinely updated to reflect new relationships as they are established.
If you have any questions or would like more information about our process, please feel free to contact us.
Merrill Lynch
Morgan Stanley
Goldman Sachs
JP Morgan
BMO
Fifth Third Bank
RBC
Raymond James
William Blair
Edward Jones
Jefferies
Piper Sandler
Citi
Paulson & Co, Inc.
Finalis Securities
Janney
Alliance Global Partners
Stifel
Citizens Bank
Boustead Securities
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