Keep your IPO timeline moving.

Life as a Public Company

What changes when you go public, the IPO timeline, and the part everyone plays.

For: All staff

Your Equity: Awards, Lock-ups and Selling

How equity awards work, what a lock-up means, and selling shares after listing without breaking the rules.

For: Employees with equity

Code of Conduct, Conflicts and Personal Interests

Your code in practice: conflicts, outside interests, fair dealing and ethical decisions.

For: All staff

Speak Up and Protection from Retaliation

What to report, how to report it, and the protection that follows.

For: All staff

Records, Business Communications and Legal Holds

Approved channels, retention, and what to do when a legal hold arrives.

For: All staff

Respectful Workplace and Anti-Harassment

Expected conduct, bystander choices, complaint routes and managers’ duty to act.

For: All staffWhere relevant

MNPI and Insider Trading Fundamentals

Recognising inside information, trading windows, tipping, and when to stop and ask.

For: All staff

Secure Deal Working and Information Barriers

Project code names, insider lists, clean teams and keeping a deal from leaking.

For: Deal teams, finance, legal and assistants

Disclosure and External Communications

Who speaks for the company, social media, rumours and media enquiries.

For: All staff

US Insider Trading and Rule 10b5-1 Plans

Rule 10b-5, blackout periods, 10b5-1 trading plans and ownership reporting for officers.

For: Staff, officers and directors of US-listing companiesUS track

Regulation FD and Investor Communications

Selective disclosure, analyst meetings, earnings calls and correcting a slip.

For: Executives, investor relations, finance and communicationsUS track

UK MAR: Inside Information and Market Abuse

Insider dealing, unlawful disclosure, manipulation, insider lists and market soundings.

For: Staff of UK-listing companiesUK track

PDMRs, Closely Associated Persons and Dealing Controls

Who is a PDMR, closed periods, pre-clearance and dealing notifications.

For: PDMRs, directors and their assistantsUK track

Media, Investors and Difficult Questions

Interviews, investor presentations, hard questions and crisis communications.

For: Executives and spokespeople

Anti-Bribery and Anti-Corruption

UK Bribery Act and FCPA essentials: anything of value, facilitation payments and red flags.

For: All staff

Gifts, Hospitality and Third-Party Risk

Thresholds and approvals, agents and intermediaries, due diligence and payment red flags.

For: Sales, procurement and partnerships

Accurate Books, Records and Fraud Prevention

Truthful records, side letters, pressure to hit the numbers, and the UK failure to prevent fraud offence.

For: All staff

Sanctions and Export Controls

Screening counterparties and end use, spotting red flags, and stopping to refer.

For: International sales, procurement and logisticsWhere relevant

Anti-Money Laundering and Due Diligence

Knowing your customer and partner, beneficial ownership and suspicious activity.

For: Onboarding, finance and higher-risk salesWhere relevant

Modern Slavery and Responsible Sourcing

Forced-labour indicators, supplier due diligence and remediation.

For: Procurement, HR and operationsWhere relevant

Internal Control over Financial Reporting Essentials

What ICFR is, the COSO framework, and what makes a good control.

For: Finance and managers

Control Ownership, Evidence and Testing

Performing and evidencing controls, segregation of duties, testing and remediation.

For: Control owners

IT General Controls and Key Reports

Access, change management, key reports and spreadsheet controls.

For: IT, finance systems and control owners

SOX 302 and 404 and Certifications

Sections 302 and 404, sub-certifications, deficiencies and the annual SOX cycle.

For: CFO organisation and executivesUS track

SEC Reporting Essentials

Forms 10-K, 10-Q and 8-K, the reporting calendar, XBRL and filing deadlines.

For: FinanceFinance and Reporting Academy

MD&A, Materiality and Disclosure Controls

MD&A, materiality assessments, critical accounting estimates and SEC comment letters.

For: Finance and legalFinance and Reporting Academy

Earnings, Auditors and the Audit Committee

Earnings releases, working with external auditors and reporting to the audit committee.

For: Finance leaders and investor relationsFinance and Reporting Academy

The Public Company Financial Close

Month, quarter and year-end close, estimates and judgements, review and representation letters.

For: FinanceFinance and Reporting Academy

Confidential Information, Privacy and Secure Working

Need-to-know sharing, phishing, passwords and MFA, devices and privacy basics.

For: All staff

Cyber Incidents: Escalation and Disclosure

Report quickly, preserve evidence, and how an incident feeds disclosure decisions.

For: All staff

Handling Customer and Personal Data

Customer data, data rights and cross-border transfers.

For: Customer-facing and data teamsWhere relevant

Manager Duties in a Speak-Up Culture

Recognise a report, protect the person, route it promptly and prevent retaliation.

For: People managers

Board and Committee Governance

Committee structures, fiduciary duties, and oversight of reporting, risk and cyber.

For: Directors

Disclosure Committee and Materiality

Capturing information, the disclosure calendar, verification and decision records.

For: Disclosure committee, legal, finance and IR

UK Listing, Disclosure and Governance Responsibilities

Listing principles, the sponsor, the UK Corporate Governance Code and the controls declaration.

For: Directors, senior leaders and company secretariatUK track

Officer Responsibilities and Certifications

Your personal responsibilities as an officer, certifying financial statements and overseeing risk.

For: Executives, CEO and CFO

Leading a Culture of Compliance

Enterprise risk management and the leadership behaviours that make compliance stick.

For: Executives and senior managers

Whistleblowing Triage and Investigations

Intake, safeguards, privilege, interviews and findings.

For: Legal, compliance, HR and investigators