90-Day Strategic Compliance Roadmap
A comprehensive execution plan to help move an OTC company from reactive cleanup toward stronger disclosure, governance, and uplisting readiness.
INSTITUTIONAL PREPARATION
From Reactive Cleanup to Market Readiness
For many OTC issuers, addressing an immediate compliance issue is only part of the work. To attract institutional capital, increase liquidity, and eventually uplist to the OTCQX or a national exchange like NASDAQ, a more sustained 90-day work plan can be helpful. Investors look for companies with transparent disclosures, professional board oversight, and clean capitalization tables.
At Ishimbayev Law Firm, we don’t just identify problems; we help move the remediation work forward. Our 90-Day Roadmap is a phased legal work plan designed to improve disclosure, governance, capitalization-table clarity, and overall market readiness.
Roadmap
The Three Phases of the 90-Day Roadmap:
Foundation & Remediation (Days 1-30):
Executing the most critical fixes identified in the initial health check. This includes filing delinquent reports (10-Ks/10-Qs), negotiating with convertible-note holders, and clearing immediate DTC or Transfer Agent bottlenecks.
Governance & Structural Cleanup (Days 31-60):
Building an institutional framework. We assist in appointing independent directors, establishing Audit and Compensation Committees, and formalizing internal controls to meet the requirements of higher-tier exchanges.
Market Readiness & Uplisting (Days 61-90):
Preparing the company for its next major milestone. We audit your readiness for a Tier-Up (e.g., to OTCQB or OTCQX), draft upgraded disclosure documents, and help organize your legal “data room” so it is organized and ready for review by incoming institutional investors.
Key Deliverables
Key Deliverables of the 90-Day Plan:
Compliance Restoration:
Helping bring SEC and OTC Markets filings current and reviewing Rule 15c2-11-related current-information issues.
Capital Table Rationalization:
Negotiating the retirement or restructuring of dilutive convertible instruments and cleaning up historical share issuance errors.
Institutional Governance Suite:
Implementing formal Bylaws, Code of Ethics, and Board Charters that support stronger governance and investor diligence.
Uplisting Feasibility & Application:
A final assessment of eligibility for higher OTC tiers or national exchanges and assistance with the application process where appropriate.
why choose us
Why Partner with Ishimbayev Law Firm?
Execution-Focused Counsel
We focus on execution as well as advice. We work alongside management to track the milestones in the 90-day plan and help coordinate the legal and regulatory work needed for the turnaround.
Building Institutional Trust
We know what institutional investors and exchange examiners are looking for. By implementing a disciplined 90-day framework, the company can show investors a more serious approach to disclosure, governance, and market readiness.
Strategic Dilution Control
Uncontrolled dilution is one of the most significant issues for many OTC issuers. Our roadmap focuses heavily on debt-to-equity strategies that better align the capital structure before the company seeks new investment.
Clear Milestones, Measurable Progress
We provide the Board of Directors with clear bi-weekly progress reports. This transparency helps the company stay on track and provides the Board with a record of the remediation steps being taken.
FAQ
Frequently Asked Questions
Is the 90-Day Roadmap only for companies in trouble?
No. While it is a useful recovery tool, many “healthy” Pink companies use the 90-Day Roadmap specifically as an “uplisting readiness” project to prepare for the jump to the OTCQB, OTCQX, or NASDAQ.
How does this plan help with our stock’s liquidity?
Liquidity is driven by investor confidence. By completing a 90-day professionalization plan, you can improve the information and governance profile investors review. Addressing DTC issues or shell-company concerns may also improve marketability, depending on the facts.
What is the role of the Board during these 90 days?
The Board plays a critical role in approving the new governance structures and committee charters we develop. We work closely with directors to support board-level decision-making throughout the process.
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