IPO / OTC SERVICESFINANCIAL ADVISORY

IPO & OTCQX
LISTING ADVISORY

Full‑service financial adviser · Nasdaq & HKEX track record

IVP · TCJH · RR · PMEC · BANL · 1566 · 380 · 839

Experienced team · OTCQX · Nasdaq · HKEX

Advisory services for public listings & OTC structures | 2026
ROLE & RESPONSIBILITIESCOORDINATION
1.1 Role as Financial Adviser
We act as financial adviser throughout the IPO or listing process.
  • Identify & coordinate with professional parties:
  • Lawyers
  • Auditors
  • Underwriters
  • Sponsors
  • Other advisers
  • Introduce appropriate staff / project personnel
  • Monitor professional fees
  • Monitor work progress & overall timetable
  • Assist company in responding to information requests
  • Act as practical support team to directors & management
  • Coordinate across professionals to keep listing process moving
We bridge the gap – many companies lack a dedicated internal person to manage the listing process.
FEE STRUCTURETRANSPARENT
1.2 Advisory Fee Structure
Based on project scale and time required

Small OTC listing

Nasdaq listing

HKEX listing

Customized fee proposals based on complexity
All fees discussed and agreed upfront
CLIENT PORTFOLIOLISTED COMPANIES
1.3 Our Listed Clients

Nasdaq

IVP TCJH RR PMEC BANL

HKEX

1566 380 839
Track record across US & Hong Kong markets
OTCQX STRUCTURESTWO PATHS
2. OTCQX Listing Structures
TYPE 1OVERSEAS-LISTED
2.1 Type 1 – Overseas-Listed Company Applying for OTCQX

Client Profile

  • Company already listed outside the U.S.
  • Examples: Hong Kong, Canada, Australia, other recognized exchanges

Key Characteristics

  • Easier process due to existing listing record & public reporting
  • Not a shell company
  • Not bankrupt
  • Meet OTCQX financial standards

Indicative Financial Benchmarks

Revenue~US$2M
Net tangible assets~US$1M
Net income~US$500k
Total assets~US$5M
Market cap / floatadequate

Timeline

2 – 4 months (documentation in good order)

Estimated Total Cost

Includes legal, audit, sponsor/adviser, application costs
TYPE 2BUILD FROM SCRATCH
2.2 Type 2 – Company Not Yet Listed in the U.S.

Client Profile

  • Company not suitable for overseas-listed shortcut
  • Needs to build U.S. OTCQX structure from scratch

Key Requirements

  • Audited financial statements
  • Public reporting status
  • Market maker support
  • Shareholder & public float requirements
  • OTC application process

Positioning

OTCQX is not suitable for small shell or weak financial companies.
Intended for established companies with:
  • Reasonable financial strength
  • Proper shareholder structure
  • Good disclosure practices

Timeline

6 – 12 months (depends on audit, legal, shareholder base, reporting)

Estimated Total Cost

Higher if restructuring & extensive compliance work required
DISCLAIMERCONFIDENTIAL
Important Notes

All information provided is for general advisory purposes only. Financial benchmarks are indicative and subject to change based on market conditions and specific company circumstances.

For a detailed assessment and fee proposal, please contact our advisory team.

© 2026 IPO & OTC Services | Not an offer to buy or sell securities. Past performance does not guarantee future results.