12 STEPS Listings process 17. Instruct professional advisors to commence the IPO and/or listing process. 18. Prepare the financial statements required for the IPO, in accordance with generally accepted accounting standards. 19. Have lawyers prepare required legal documents. 20. Work with underwriters to begin due diligence of the deal, and of the individuals associated with the deal (which will include formal review sessions with management, counsel and auditors). 21. Determine which listing vehicle is most suitable for your company. 22. Prepare relevant listing application documents (i.e. prospectus, listing application, annual information form, etc.), which are typically completed with the assistance of lawyers, auditors, and other professional advisors. 23. Begin preparing your marketing documents and the “road show” presentation that will introduce your company to investors. 24. Complete initial submissions to the applicable securities commission(s) and your chosen Exchange. 25. Await review of initial submission documents by the relevant securities commission(s) and/or the Exchange, who will note any deficiencies and communicate them, along with any other comments, to your company and professional advisors. 26. With the assistance of your professional advisors, address deficiencies in the application, and respond to any other comments, to the satisfaction of the Exchange/relevant securities commission(s). 27. Await conditional approval of your listing from the Exchange. 28. Begin presentations to potential investors. 29. Decide on initial price of shares. 30. File final prospectus and commence your offering. Transaction closing 31. Satisfy any and all conditions set forth in the conditional acceptance letter issued by the Exchange. 32. Become a publicly traded listed company. 33. Join TMX at a Listing Ceremony to celebrate your successful listing.
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