Our Services

OTC Markets is a decentralized market where securities are traded directly between parties without a central exchange. Unlike major exchanges like NYSE or NASDAQ, OTC Markets offers:

• Lower listing requirements and costs
• Faster listing process (3-6 months vs 12-18 months)
• Flexible reporting standards
• Access to capital for smaller companies

OTC Markets has different tiers with varying requirements:

• OTCQX: $0.01 minimum bid price, audited financials, 50+ shareholders
• OTCQB: $0.01 minimum bid price, current financial reporting
• Pink Sheets: Minimal requirements, basic company information

Our streamlined process typically takes 3-6 months:

• Preparation and documentation: 4-6 weeks
• Regulatory review and approval: 6-8 weeks
• Market maker engagement: 2-4 weeks
• Trading commencement: 1-2 weeks

A Special Purpose Acquisition Company (SPAC) is a "blank check" company that raises capital through an IPO to acquire or merge with an existing company. Our SPAC services include:

• SPAC formation and IPO preparation
• Target identification and due diligence
• Merger transaction structuring
• Regulatory compliance and reporting

SPAC transactions offer several advantages over traditional IPOs:

• Faster Process: 3-6 months vs 12-18 months for traditional IPO
• Lower Costs: $50,000-$200,000 vs $500,000+ for traditional IPO
• Price Certainty: Negotiated valuation vs market uncertainty
• Access to Capital: Immediate liquidity and growth funding

Successful SPAC transactions require:

• Target Company: $50M+ revenue, growth potential, clean financials
• Due Diligence: Comprehensive financial, legal, and operational review
• Regulatory Approval: SEC filing and shareholder approval
• Market Support: Investor relations and market maker engagement

Our proven methodology ensures successful SPAC transactions:

• Strategic Planning: Comprehensive transaction strategy and timeline
• Expert Team: Experienced professionals in SPAC transactions
• Risk Management: Thorough due diligence and risk assessment
• Ongoing Support: Post-transaction integration and compliance

SEC compliance requirements include:

• Financial Reporting: Quarterly and annual reports (10-Q, 10-K)
• Disclosure Requirements: Material events and insider trading
• Corporate Governance: Board composition and audit committees
• Proxy Statements: Shareholder communications and voting

Our FINRA compliance services include:

• Registration Support: Broker-dealer and representative licensing
• Rule Compliance: Ongoing monitoring and reporting
• Training Programs: Staff education and certification
• Audit Support: Examination preparation and response

Audit requirements vary by market tier:

• OTCQX: Annual audited financial statements
• OTCQB: Quarterly unaudited and annual audited statements
• PCAOB Standards: Public Company Accounting Oversight Board compliance
• Internal Controls: SOX compliance and documentation

Our ongoing compliance services ensure continuous adherence:

• Monitoring Systems: Automated compliance tracking and alerts
• Regular Reviews: Quarterly compliance assessments
• Training Updates: Ongoing staff education on regulatory changes
• Documentation: Comprehensive record-keeping and reporting

Our comprehensive product and service portfolio includes:

• SPAC Advisory Services: Complete SPAC transaction support from planning to completion
• OTC Markets Listing: OTCQX, OTCQB, and Pink Market listing preparation and ongoing support
• Digital Compliance Platform: Self-developed SaaS platform covering full lifecycle of SPAC and OTC projects
• Market Data & Analytics: Real-time market intelligence and data visualization
• Financial Restructuring: Accounting system upgrades and audit preparation
• Investor Relations: Post-transaction support and market communication
• Cross-border M&A: Legal structure optimization for international transactions
• Compliance Management: SEC, FINRA, and OTC Markets regulatory compliance

Our digital compliance platform offers several unique advantages:

• Document Automation: SEC and OTC Markets standard templates with auto-generation
• Compliance Monitoring: Real-time regulatory compliance tracking and alerts
• Data Visualization: Interactive dashboards and comprehensive reporting
• AI Risk Prediction: Machine learning-based risk assessment and mitigation
• Collaboration Tools: Secure document sharing and team coordination
• Efficiency Gains: 30-40% improvement in project execution speed
• Cost Savings: 30% reduction in client advisory costs

We serve a diverse range of companies across multiple sectors:

• Technology Companies: High-growth tech startups and established firms
• Clean Energy & Sustainability: Companies focused on ESG and environmental solutions
• Healthcare & Biotechnology: Life sciences and medical technology companies
• Cross-border Businesses: US-China and international companies seeking US markets
• Manufacturing & Industrial: Traditional and advanced manufacturing companies
• Financial Services: Fintech and traditional financial institutions
• Emerging Markets: Companies from developing economies seeking US capital

Our proven track record demonstrates consistent success:

• Success Rate: 98.2% project completion rate
• Active Clients: 1,250+ companies served
• Revenue Growth: $2.7M YTD revenue with consistent growth
• Project Value: $500M+ total project value managed
• Execution Speed: 50% faster than industry average
• Client Satisfaction: 24/7 support with 99% satisfaction rate
• Market Performance: Consistently outperforming industry benchmarks

Comprehensive ESG advisory services including:

• ESG strategy development and implementation planning
• Green office practices and carbon footprint reduction
• Client industry selection with green focus (renewable energy, clean tech, digital healthcare)
• Carbon neutrality roadmap development (2030 carbon neutral office target)
• ESG disclosure preparation for SEC and international compliance
• Green financing advisory and ESG bond issuance support

Social responsibility and inclusive business practices:

• Small and medium enterprise (SME) financing support at 1/3-1/5 of traditional investment bank fees
• Cross-border compliance empowerment and international standard alignment
• Diverse and inclusive team culture (40% female management, 8 countries/regions represented)
• Capital democratization and entrepreneurial ecosystem diversification
• Cross-cultural communication and international responsibility

Advanced governance and transparency frameworks:

• Independent director system with over 1/3 independent board members
• Three specialized committees: Audit, Compensation, Compliance & Risk Management
• Proactive disclosure through digital IR platform
• Long-term incentive and accountability culture
• International compliance alignment (SEC, EU SFDR, HKEX ESG requirements)
• ESG risk database with AI-powered prediction capabilities

ESG as a strategic differentiator:

• Enhanced investor appeal to pension funds, sovereign funds, and green funds
• Higher valuations and market trust for cross-border and emerging industry clients
• Regulatory compliance advantage with proactive ESG disclosure requirements
• Future-proofing for evolving capital market standards
• Cultural integration of ESG principles across all business operations

Advanced technology development initiatives:

• System stability enhancement targeting 99.99% availability within 3 years
• Cloud-native architecture with microservices for global scalability
• AI-driven operations (AIOps) with 5-minute advance warning and auto-repair
• Intelligent document generation using natural language processing (NLP)
• AI risk identification module for compliance scanning
• Multi-language compliance assistant (Chinese, English, Japanese, German)
• Blockchain notarization for immutable compliance records
• Zero-trust architecture with continuous verification

Comprehensive digital platform ecosystem:

• Unified data center integrating audit, legal, market, and investment data
• Intelligent disclosure and risk warning system
• Global investor relations (IR) platform with multi-language support
• Egifton AI report engine with natural language query capabilities
• Real-time data analysis and visualization tools
• Cross-departmental collaboration and executive dashboard
• Industry database for future data service monetization

Global research and development network:

• Hong Kong: Cross-border compliance for Chinese enterprises
• Singapore: Lightweight compliance tools for Southeast Asian tech startups
• London: ESG disclosure products for European renewable energy companies
• Frankfurt: EU compliance and data protection (GDPR) product enhancement
• Multi-point collaboration with unified standards (SEC, CSRC, MiFID II)
• Local talent acquisition and international rotation programs

AI-powered platform enhancement:

• AI report generator for business plans and market insights
• SQL query robot with natural language processing
• Interactive charts and trend analysis tools
• Real-time data analysis for management decision support
• Multi-language report templates for cross-border services
• AI + capital markets global intelligent ecosystem

Strategic business expansion plans:

• Market Expansion: 200+ clients across North America, Asia, Europe
• Industry Integration: Vertical integration in audit, legal, marketing
• Strategic Partnerships: University AI risk control labs, investment bank alliances
• Capital Operations: A/B round financing, European/Asian SaaS platform acquisition
• IPO Preparation: Nasdaq or HKEX listing as capital markets digitalization leader
• Global Leadership: 300+ global clients, 2000+ platform users by 2030

We are committed to sustainable business practices and responsible corporate governance:

• Environmental: Carbon-neutral operations, green technology investments, and sustainable project financing
• Social: Diversity and inclusion initiatives, community engagement, and employee well-being programs
• Governance: Transparent reporting, ethical business practices, and stakeholder accountability
• ESG Integration: ESG factors integrated into all investment and advisory decisions
• Reporting Standards: Aligned with GRI, SASB, and TCFD reporting frameworks
• Third-party Verification: Annual ESG audits and independent verification

We provide specialized support for ESG-focused companies:

• Clean Energy SPACs: Specialized advisory for renewable energy and sustainability companies
• ESG Due Diligence: Comprehensive ESG assessment and risk evaluation
• Impact Measurement: ESG impact metrics and reporting framework development
• Green Financing: Access to ESG-focused capital and green bonds
• Regulatory Compliance: ESG disclosure requirements and regulatory guidance
• Stakeholder Engagement: ESG communication and investor relations support
• Certification Support: B-Corp, LEED, and other sustainability certifications

Our ESG performance demonstrates our commitment to sustainability:

• Environmental Impact: 100% renewable energy for operations, 50% reduction in carbon footprint
• Social Impact: 40% diverse leadership team, 95% employee satisfaction rate
• Governance: Independent board majority, annual ESG reporting, zero compliance violations
• Community Investment: $500K+ annual community investment, 200+ volunteer hours
• ESG Projects: 60% of portfolio companies have strong ESG ratings
• Transparency: Public ESG reports, third-party verification, stakeholder engagement
• Innovation: ESG technology solutions, sustainable finance products

ESG compliance is integrated throughout our advisory process:

• ESG Screening: Comprehensive ESG assessment of all potential clients and projects
• Due Diligence: ESG factors included in all due diligence processes
• Risk Assessment: ESG risk evaluation and mitigation strategies
• Disclosure Requirements: ESG disclosure guidance and compliance support
• Training Programs: ESG training for all staff and client teams
• Monitoring Systems: Ongoing ESG performance monitoring and reporting
• Stakeholder Engagement: Regular ESG communication with investors and stakeholders

Complete SPAC advisory services including:

• Fundraising Structure Design: Common stock + rights combinations tailored to market conditions
• Rights Structure Innovation: Flexible 1/5, 1/7, 1/10 rights structures based on investor preferences and market environment
• Target Industry Selection: Focus on high-growth sectors including renewable energy, artificial intelligence, digital healthcare, cross-border e-commerce
• SEC Disclosure Document Preparation: S-1, S-4 prospectus writing and comprehensive compliance review
• Merger Structure Arrangement: Strategic planning for target company acquisition and integration
• PIPE Financing Coordination: Private investment in public equity arrangements and investor relations
• Roadshow and Investor Communication: Comprehensive investor outreach and presentation support
• Regulatory Compliance: Full SEC, FINRA, and OTC Markets compliance throughout the process

Comprehensive OTC listing support including:

• Financial Standardization: US GAAP financial statements preparation and PCAOB audit coordination
• Legal Compliance Support: Form 211, Rule 144, Reg A/Reg D document preparation and filing
• Cross-border Compliance Support: China CSRC filing + US SEC requirements dual compliance
• Market Promotion and Investor Relations: Online roadshows, media releases, and investor outreach
• OTCQB / OTCQX Upgrade Path Guidance: Strategic planning for market tier advancement
• Regulatory Filing Management: Complete handling of all required regulatory submissions
• Investor Education: Comprehensive guidance on OTC market requirements and expectations

Ongoing compliance and investor relations services:

• Quarterly/Annual Continuous Disclosure: 10-Q, 10-K, 8-K, and other required SEC filings
• Investor Communication: CEO shareholder letters, semi-annual strategic reports, and regular updates
• Risk Management and Compliance Review: COSO internal control framework implementation and SEC inquiry prediction
• Post-IPO Market Cap Management: Capital market communication and investor relations strategy
• Investor Relations Platform Operation: Dedicated IR platform management and investor engagement
• Regulatory Monitoring: Continuous tracking of regulatory changes and compliance requirements
• Investor Education: Regular briefings and updates for institutional and retail investors

Advanced digital platform solutions:

• Digital Compliance SaaS Platform: Comprehensive compliance management and automation system
• Standardized Document Templates: S-1, S-4, Form 211, 10-Q, 10-K, and other regulatory documents
• Automated Generation and Progress Visualization: Real-time project tracking and milestone management
• Multi-party Collaboration System: Online collaboration platform for lawyers, auditors, and underwriters
• Investor Relations IR Platform: Automated announcement and financial report distribution system
• Investor Interaction Q&A Mechanism: Direct communication channel between companies and investors
• Market Data Visualization: Stock price trends, trading volume, and industry data analysis tools
• Big Data and AI Tools: Merger target screening and investor profiling using advanced analytics
• AI Risk Prediction System: Machine learning-powered risk assessment and compliance monitoring
• Real-time Analytics: Live market data integration and performance tracking

Comprehensive security and compliance framework:

• SEC / FINRA / OTC Markets Comprehensive Compliance: Full regulatory alignment with all major US capital market requirements
• Internal Risk Control System: COSO framework implementation covering finance, IT, and information disclosure
• Independent Trust Account Fund Protection: Secure fund management and investor protection mechanisms
• Data Security and Privacy Protection: GDPR, CCPA standards compliance with end-to-end encryption
• Proactive Transparency Mechanism: Disclosure and investor communication beyond minimum regulatory requirements
• Regulatory Monitoring: Continuous tracking of regulatory changes and compliance updates
• Audit Trail Management: Complete documentation and audit trail for all transactions and communications
• Third-party Security Certification: Regular security audits and compliance certifications

Successful client implementations:

• QSEA: Completed IPO in three months, raised $82.8 million
• QUMSU: 1/7 rights structure, raised $82.8 million
• PELI: Cross-border merger platform, raised $69 million

Comprehensive SPAC structure design and implementation:

• Fundraising Architecture Design: Common stock + rights combinations optimized for market conditions
• Rights Structure Innovation: Flexible 1/5, 1/7, 1/10 rights structures based on investor preferences
• Target Industry Selection: Focus on renewable energy, artificial intelligence, digital healthcare, cross-border e-commerce
• SEC Disclosure Document Preparation: S-1, S-4 prospectus writing and comprehensive compliance review
• Merger Structure Arrangement: Strategic planning for target company acquisition and PIPE financing coordination
• Roadshow and Investor Communication: Comprehensive investor outreach and presentation support

Complete OTC listing and small-cap market services:

• Financial Standardization: US GAAP financial statements preparation and PCAOB audit coordination
• Legal Compliance Support: Form 211, Rule 144, Reg A/Reg D document preparation and filing
• Cross-border Compliance Support: China CSRC filing + US SEC requirements dual compliance
• Market Promotion and Investor Relations: Online roadshows, media releases, and investor outreach
• OTCQB / OTCQX Upgrade Path Guidance: Strategic planning for market tier advancement

Ongoing compliance and investor relations management:

• Quarterly/Annual Continuous Disclosure: 10-Q, 10-K, 8-K, and other required SEC filings
• Investor Communication: CEO shareholder letters, semi-annual strategic reports
• Risk Management and Compliance Review: COSO internal control framework, SEC inquiry prediction
• Post-IPO Market Cap Management: Capital market communication and investor relations strategy
• Investor Relations Platform Operation: Dedicated IR platform management and investor engagement

Advanced digital platform and technology solutions:

• Digital Compliance SaaS Platform: Comprehensive compliance management and automation
• Standardized Document Templates: S-1, S-4, Form 211, 10-Q, 10-K, and other regulatory documents
• Automated Generation and Progress Visualization: Real-time project tracking and milestone management
• Multi-party Collaboration System: Online collaboration platform for lawyers, auditors, underwriters
• Investor Relations IR Platform: Automated announcement and financial report distribution
• Investor Interaction Q&A Mechanism: Direct communication channel between companies and investors
• Market Data Visualization: Stock price trends, trading volume, and industry data analysis
• Big Data and AI Tools: Merger target screening and investor profiling using advanced analytics
• AI Risk Prediction System: Machine learning-powered risk assessment and compliance monitoring

Comprehensive security and compliance assurance:

• SEC / FINRA / OTC Markets Comprehensive Compliance: Full regulatory alignment with all major US capital market requirements
• Internal Risk Control System: COSO framework covering finance, IT, and information disclosure
• Independent Trust Account Fund Protection: Secure fund management and investor protection
• Data Security and Privacy Protection: GDPR, CCPA standards compliance with end-to-end encryption
• Proactive Transparency Mechanism: Disclosure and investor communication beyond regulatory requirements

Proven track record and client success stories:

• QSEA (Quartzsea Acquisition Corporation): Completed IPO in 3 months, raised $82.8 million
• QUMSU (Quantumsphere Acquisition Corporation): 1/7 rights structure, raised $82.8 million
• PELI (Pelican Acquisition Corporation): Cross-border merger platform, raised $69 million
• Client Success Methodology: Pre-emptive compliance, cross-disciplinary teams, pragmatic roadshow strategy
• Innovative Structures: Flexible rights structures (1/5, 1/7, 1/10) adapted to market conditions

Our comprehensive advisory services include:

• SPAC Advisory: Complete SPAC transaction support from planning to completion
• OTC Listing: OTC Markets listing preparation and ongoing support
• Compliance Management: SEC, FINRA, and OTC Markets compliance
• Financial Restructuring: Accounting system upgrades and audit preparation
• Investor Relations: Post-transaction support and market communication

Our digital platform provides:

• Document Automation: SEC and OTC Markets standard templates
• Compliance Monitoring: Real-time regulatory compliance tracking
• Data Visualization: Interactive dashboards and reporting
• AI Risk Prediction: Machine learning-based risk assessment
• Collaboration Tools: Secure document sharing and team coordination

Our ongoing support includes:

• Compliance Monitoring: Continuous regulatory compliance support
• Investor Relations: Market communication and investor engagement
• Training Programs: Staff education on regulatory requirements
• Platform Updates: Regular software updates and feature enhancements
• Expert Consultation: Access to legal and financial professionals

Our comprehensive terms of service and legal documentation:

• Service Agreement: Comprehensive terms and conditions governing our professional services
• Client Responsibilities: Clear guidelines for client obligations and compliance requirements
• Fee Structure: Transparent pricing and payment terms for all services
• Confidentiality: Strict confidentiality agreements protecting client information
• Liability Limitations: Professional liability and risk management provisions
• Dispute Resolution: Clear procedures for resolving any service-related disputes
• Regulatory Compliance: Adherence to SEC, FINRA, and other regulatory requirements
• Document Version: Last updated September 13, 2025