Securities and Exchange Commission

Publically traded companies are required by the U.S. Securities and Exchange Commission to file annual, quarterly and other filings in a timely manner while complying with accounting and regulatory requirements.  Companies planning to trade publically are not only subject to the SEC requirements from the effective date of their filing, they must comply with certain regulations for several years prior to becoming public companies.  Just as it is important to have capable legal and accounting representation, it is equally important to have seasoned, in-house expertise.

Our professionals have served as hands-on, “C” level executives in public companies.

The SCA Group’s team includes professionals that have extensive experience in working with SEC registrants.  Our professionals have served as hands-on, “C” level executives in public companies; in addition to experience working in national accounting firms, the AICPA, and being Board members of public companies.

The SCA Group’s services include:

  • Manage the preparation of all regulatory filings, including the financial statements and footnotes
  • Manage the company’s response to SEC Comment Letters and other examinations
  • Manage the Internal Control over Financial Reporting audits and evaluations
  • Serve the company as a “C” level executive – including as a Certification Officer
  • Manage the finance/administrative functions unique to public companies such as Proxy Statements and voting, stock options, etc.
  • Manage compliance with the Sarbanes-Oxley Act of 2002
  • In conjunction with the Audit Committee Chairman, direct the internal audit function
  • Prior to an initial registration, prepare a company to be in compliance upon filing
    • What needs to be completed 3-years, 2-years and 1-year prior to registration
    •  Align Board membership with best practices
    • Prepare/mentor the management team for their new responsibilities, including the “Certification Officers”
    • Manage the registration process – from planning to management of the process and management of the company’s advisors
    • Prepare the company for new accounting/reporting requirements such as stock options and equity warrants
    • Determine the appropriate structure for the company’s internal audit function
    • Educate the company’s team on stock trading restrictions, blackout periods, etc.
    • Negotiate per share pricing, valuation and terms with underwriters

The professionals of The SCA Group will exceed your expectations offering the confidence, continuity and experience you need and require.  The SCA Group will integrate its support services into your business model and processes in a seamless fashion.

Next Step

Contact us by e-mail or call our office to discuss how The SCA Group can help with your unique financial, operational, and strategic needs.