Initial Public Offering (IPO) Requirements & SEC Filing Process | 2-Day Workshop | London | 2-Day | GID 53004

Instructor Bio

The course instructor will be one of our highly experienced faculty members.
 

Our Faculty: Expertise That Drivees Success

Shasat is proud to have over 30 world-renowned faculty members, each an expert in their respective fields, who share their hands-on implementation experience through our technical and professional development programs.

This programme is led by one of Shasat’s senior capital markets and SEC reporting experts, with extensive global experience advising founders, CFOs, finance leaders, and boards on US IPOs, SPAC and De-SPAC transactions, and SEC filing requirements. The speaker has supported companies through the going-public process, including IPO readiness, SEC registration filings, regulatory reviews, and post-listing compliance.

The instructor brings deep practical insight into SEC expectations, common review themes, and execution risks across Form S-1, F-1, S-4, and F-4 filings, as well as accounting and disclosure issues under US GAAP and IFRS. Known for a clear, execution-focused teaching style, the speaker combines real-world transaction experience, regulatory perspective, and practical case studies to help participants navigate IPO strategy, SPAC alternatives, and cross-border listings with confidence.

Our faculty combine real-world expertise with academic rigor, ensuring every session is interactive, relevant, and outcomes-driven. Participants gain practical tools, case-based insights, and strategic frameworks that can be immediately applied to enhance sustainability reporting and corporate governance within their organisations.

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Course Description

• Session 1: Going Public Strategy and IPO Readiness Framework

  • Strategic rationale for going public in the United States

  • IPO vs SPAC vs remaining private: decision criteria

  • IPO readiness assessment across finance, legal, governance, and controls

  • Key stakeholders, timelines, and critical path dependencies

  • Common causes of IPO delays and failures

• Session 2: US IPO Requirements and SEC Regulatory Architecture

  • Role of the SEC, PCAOB, and stock exchanges

  • Domestic issuer vs Foreign Private Issuer (FPI) requirements

  • Eligibility criteria and regulatory expectations

  • Overview of US IPO requirements and disclosure standards

  • Pre-filing considerations and confidential submissions

• Session 3: SEC Filing Process and IPO Documentation Requirements

  • End-to-end SEC filing process and review cycle

  • Form S-1 and Form F-1: structure, purpose, and key differences

  • IPO documentation pack and sequencing

  • Prospectus content: business, risk factors, MD&A, financials

  • Exhibits, legal opinions, auditor consents, and supporting documents

• Session 4: SEC Review, Comment Letters, and Financial Reporting Readiness

  • SEC review approach and common comment themes

  • Managing amendments, responses, and regulatory correspondence

  • Financial reporting requirements under US GAAP and IFRS

  • Internal controls, audit readiness, and governance expectations

  • High-judgement accounting and disclosure risk areas

• Session 5: SPACs as an Alternative Route to Going Public

  • SPAC structure, lifecycle, and market rationale

  • Comparison of traditional IPO and SPAC routes

  • Regulatory scrutiny and evolving SEC expectations

  • Strategic considerations for founders, boards, and investors

• Session 6: De-SPAC Transactions, SEC Filings, and Execution Risks

  • Business combination process and transaction mechanics

  • Form S-4 and Form F-4 filing requirements

  • Pro forma financial information and disclosure expectations

  • Execution risks, regulatory pressure points, and failure modes

• Session 7: De-SPAC Accounting and Transaction Structuring

  • Merger accounting and equity classification

  • Warrants, earn-outs, PIPE financing, and sponsor economics

  • Impact of transaction structure on reporting and disclosures

  • Practical implications under US GAAP and IFRS

• Session 8: Global IPO Frameworks and Cross-Border Listing Strategy

  • UK IPO requirements and FCA listing rules

  • Singapore IPO framework and SGX listing requirements

  • India IPO regulations under SEBI (Mumbai listings)

  • Hong Kong IPO requirements and HKEX listing rules

  • Venue selection, dual listings, and cross-border strategy

The course agenda provided herein is the proprietary intellectual property of Shasat. It is intended solely for the use of participants enrolled in the respective course. Any reproduction, distribution, or unauthorized use of this course agenda, in whole or in part, without the explicit written consent of Shasat, is strictly prohibited and may result in legal action.

All rights reserved. ©2026, Shasat

Why you must attend?

Taking a company public in today’s regulatory environment requires more than technical knowledge. It demands a clear understanding of US IPO requirements, SEC filing expectations, and the strategic decisions that shape a successful market entry. This programme equips participants with the insight needed to evaluate IPO and SPAC routes to market, anticipate regulatory scrutiny, and make informed decisions at each stage of the going-public process.

In addition, the programme provides a rare opportunity to benchmark SEC-regulated IPOs against global IPO frameworks in financial centres such as London, Singapore, Mumbai, and Hong Kong. Participants develop a practical perspective on IPO readiness, SPAC and De-SPAC strategy, regulatory risk, and execution challenges. This enables them to support founders, boards, and stakeholders with confidence. As a result, the programme is highly relevant for professionals and entrepreneurs involved in capital markets strategy, IPO execution, and cross-border listings.

What sets this programme apart is its execution-first focus. Rather than treating IPOs or SPACs as theoretical concepts, the course concentrates on how decisions are made in practice by founders, CFOs, advisers, and regulators. Participants gain insight into real SEC filing expectations, sequencing of actions, common failure points, and regulatory pressure areas that often delay or derail transactions. This practical emphasis makes the programme especially valuable for organisations seeking to reduce execution risk and avoid costly rework during the IPO or De-SPAC process.

Teaching Methodology

The programme uses a practical, execution-focused teaching approach designed to support professionals and entrepreneurs involved in US IPOs, SPACs, and De-SPAC transactions.

• Structured coverage of US IPO and SEC requirements, including key filing processes and regulatory expectations.
• Targeted application of US GAAP and IFRS to IPO, SPAC, and De-SPAC transactions, with emphasis on financial reporting and disclosure.
• Focused analysis of complex transaction areas, including equity instruments, warrants, earn-outs, PIPE financing, and merger accounting.
• Real-world case studies and regulatory examples drawn from IPO and De-SPAC transactions to illustrate execution challenges.
• Interactive discussions and practical exercises to reinforce decision-making and readiness considerations.
• Guided use of authoritative standards and regulatory materials, including relevant US GAAP, IFRS, and SEC guidance.
• Delivery by experienced practitioners with hands-on involvement in IPO, SPAC, and SEC-regulated transactions.
• Certificate of completion issued at the end of the programme.

This methodology ensures participants move beyond theory and develop a practical understanding of IPO execution, SEC compliance, and SPAC strategy across US and global capital markets

Who should attend?

This programme is designed for professionals and entrepreneurs involved in bringing companies to public markets. It is particularly relevant for founders, CFOs, finance leaders, corporate development teams, investment bankers, lawyers, accountants, auditors, and advisers involved in US IPOs, SPAC, and De-SPAC transactions.

The programme is also suitable for professionals seeking a structured understanding of SEC filing requirements, IPO readiness, and SPAC strategy under US GAAP and IFRS. Whether you are evaluating an IPO route, advising on transactions, or supporting regulatory compliance, this programme provides practical, execution-focused insight for informed decision-making.

Feedback

Upon completion of the course, all delegates will receive an evaluation questionnaire aimed at gathering valuable feedback. This feedback is crucial to Shasat’s ongoing commitment to improving the quality of its learning solutions. By analysing the trends in the responses, we are able to continuously enhance and refine our offerings to meet the evolving needs of our clients.

Venue & other info

Our training programs take place at the most prestigious professional training facilities in the city. Our venues have been meticulously chosen and expertly crafted to deliver an unparalleled and sophisticated learning experience. To further elevate your training journey, we will offer an array of refreshments including gourmet tea/coffee, delectable snacks, and a sumptuous lunch to sustain you throughout the course. Your comfort and satisfaction are of the utmost importance to us.  One week before the program begins, you will receive comprehensive joining instructions that include the exact venue details.

Please note that accommodation arrangements are the responsibility of the attendee.

Workshop Delivery (Online Programs)

The workshop will be delivered via the WebEx platform. Upon registration, all participants will receive comprehensive joining instructions for the live workshop. This fully virtual event will encompass a live-streamed presentation, personalized networking opportunities, interactive Q&A sessions, engaging polls, and post-event consultation to address specific concerns and support your continued growth.
 

In-Person Workshop

Please be advised that for all in-person training programs, joining instructions will be sent via email to registered participants one week prior to the program’s commencement. These instructions will provide comprehensive information regarding the venue location, date, and time, as well as other important details such as parking arrangements, dress code, and any necessary equipment or materials. Kindly ensure that you carefully review the joining instructions and follow the guidelines provided to ensure a smooth and well-organized experience during the program.
 

Changes to the conference

Shasat reserves the right, at its sole discretion, to make modifications to the format, speakers, participants, content, venue location, program, or any other aspect of the conference, at any time and for any reason, without incurring any liability. This policy has been implemented due to recent events such as the Covid-19 pandemic and other jurisdictional restrictions. These modifications may include but are not limited to, changes necessitated by a Force Majeure Event
 

Sponsorship

We are pleased to offer sponsorship opportunities for our training programs, providing companies with a unique platform to showcase their brand and services to a highly engaged and relevant audience. By becoming a sponsor, your organization will have the opportunity to build brand awareness, demonstrate thought leadership, and cultivate valuable relationships with industry professionals. Our programs offer a platform to reach a targeted audience and generate new business leads while showcasing your expertise. The benefits of sponsorship include increased brand exposure, opportunities to connect with key decision-makers, and a platform to promote your products and services. We invite you to take advantage of this prime opportunity and partner with us to enhance your visibility and impact within the industry.
 

Terms and Conditions

We kindly request that you carefully review all of the terms and conditions outlined on our website. This information is critical in ensuring a clear understanding of our policies and procedures. Please follow the link provided to access this information.

About shasat

Discover more about Shasat by exploring our “About Us” page, where you can gain insights into our company’s mission, values, and history, and learn how we can help you achieve your goals.

Payment

Enroll in our program with ease by choosing from our secure online payment options. You can make a payment through our website using PayPal or Stripe, or opt for a bank transfer, demand draft, or cheque payment. Our payment page will provide all necessary options during checkout. If you encounter any issues, our customer service team is here to assist you. Simply reach out to us with your selected course, and we’ll guide you through the payment process.

We kindly request that you take into consideration any associated bank fees when making your course fee payment. To ensure your participation in the program, payment must be received before the course date. Once we have received both payment and a completed registration form, we will confirm your enrollment in the program. Thank you for your understanding and cooperation.

Group discount

Our company is proud to offer a group discount of 15% for organizations or individuals who book a course for 5 or more participants. To take advantage of this offer and receive a personalized group discount code, please reach out to our customer service desk at info@shasat.com. Our team will be delighted to assist you with the booking process and answer any questions you may have. With this group discount, you can invest in the professional development of your team and drive success for your organization. Don’t hesitate to contact us today to learn more.

CPD hours

Upon successful completion of the training course, each participant will receive a certificate of completion that attests to the number of hours spent in training and serves as a valuable representation of their dedication to professional development. The certificate is not only a symbol of their achievement but also serves as proof of continuous professional development (CPD) and demonstrates their commitment to staying current in their field. We believe that CPD is a crucial aspect of career advancement and personal growth, and are proud to provide our participants with this important document.

Enquiries

For further assistance, we invite you to contact our dedicated customer service team. Our experienced and knowledgeable representatives are available to answer any questions you may have and provide the support you need to make informed decisions. We are committed to ensuring that you have a positive experience and are here to help in any way we can. Please don’t hesitate to reach out to us at your convenience.

In-House Training

Enhance your team’s skills and drive success for your business with our custom In-house training program. Our tailored approach aligns with your specific business needs, offering a cost and time-efficient solution for upskilling your employees. This not only improves their productivity but also positions your company as a competitive force in the market. Transform your investment in employee development into tangible results by choosing our In-house training option. To discuss and learn more about our services, please don’t hesitate to contact our training desk. We’re ready to help you create a bespoke program that’s just right for you.