← Regulators & Supervisors
Offering & Disclosure Review
Reviewing prospectuses and periodic reports — the other side of the IPO and bond issuance chains.
1.1Screen the filing1 wanted
Decide the level of review and the issues to focus on.
- Delivers
- Review plan
- Led by
- Supervisor / reviewer
- Wanted
filing-screening Screen a filing for risk indicators and recommend the scope of review.
1.2Financial and disclosure reviewaudit-xlscomps-analysis1 wanted
Check the disclosure against the form requirements and the financial statements against accounting standards.
- Delivers
- Reviewer notes
- Led by
- Supervisor / reviewer · with Specialists
- Wanted
disclosure-checklist Check a prospectus or annual report against the disclosure requirements