100+ Initial Public Offering (IPO) SOPs (Excel XLSX)

BENEFITS OF THIS EXCEL DOCUMENT

1. Provides a comprehensive framework for executing every stage of your Initial Public Offering with confidence and precision.
2. Delivers actionable tools for managing investor relations, roadshows, underwriting, pricing, and post-IPO performance seamlessly.
3. Provides a step-by-step framework for planning, executing, and optimizing every aspect of your IPO journey.

IPO EXCEL DESCRIPTION

This product (100+ Initial Public Offering [IPO] SOPs) is an Excel template (XLSX), which you can download immediately upon purchase.

Curated by McKinsey-trained Executives

Unlock the Ultimate IPO Success with 150+ Proven SOPs – Complete Excel Template for IPO Readiness, Compliance, and Execution

Are you preparing for an Initial Public Offering (IPO) and need a comprehensive, step-by-step guide to ensure flawless execution? Our 100+ IPO SOPs Excel Package is the only all-in-one solution you'll ever need to manage every aspect of your IPO—from planning and regulatory compliance to investor relations and post-IPO management. Designed for CEOs, CFOs, executives, and IPO teams, this fully structured SOP template guarantees operational excellence, reduces risk, and maximizes IPO outcomes.

This Excel package includes over 150 meticulously crafted Standard Operating Procedures (SOPs) covering every phase of your IPO journey:

1. IPO Preparation & Planning
1. IPO Readiness Assessment
2. Selection of IPO Advisors
3. Defining IPO Objectives
4. Developing IPO Timeline
5. Legal Structure Assessment
6. Assessing Financial Systems Readiness
7. Creating IPO Project Team
8. Identifying Key Stakeholders
9. Preparing IPO Budget
10. Risk Management Planning
11. Tax Structuring for IPO
12. Due Diligence Preparation
13. IPO Roadmap Development
14. Financial Forecasting for IPO
15. IPO Pricing Strategy

2. Legal and Regulatory Compliance
16. SEC Filing Process Overview
17. Preparing Registration Statement
18. SEC Form S-1 Filing
19. Legal Due Diligence Process
20. Antitrust Compliance
21. Drafting Legal Opinions
22. Compliance with Sarbanes-Oxley Act
23. Corporate Governance Structure
24. Corporate Governance Documents Preparation
25. Securities Act Compliance
26. Managing Prospectus Drafting
27. Compliance with Listing Exchange Requirements
28. Establishing Board Committees
29. Underwriter Engagement & Agreement
30. Internal Controls for IPO

3. Financial and Accounting Preparation
31. Financial Statement Audits
32. Preparing Pro Forma Financial Statements
33. Independent Auditor Engagement
34. Restating Financials for IPO
35. Preparing Historical Financial Data
36. Financial Reporting Systems Setup
37. Accounting Policy Review and Updates
38. Preparing Balance Sheets for IPO
39. Developing Financial Models
40. Management's Discussion and Analysis (MD&A)
41. Segment Reporting Preparation
42. Financial Control Framework
43. IFRS/GAAP Conversion
44. Valuation Preparation
45. Profit and Loss (P&L) Review

4. IPO Documentation & Filing
46. Prospectus Drafting and Review
47. IPO Offering Circular Preparation
48. S-1 Registration Drafting
49. Finalizing Underwriting Agreement
50. Shareholder Agreement Preparation
51. Closing Documents Preparation
52. Defining Share Allocation Strategy
53. Investor Relations Communication Plan
54. Updating Articles of Incorporation
55. Filing with Stock Exchange
56. Fulfilling ESOP Reporting Requirements
57. Anti-dilution Clause Review
58. Ensuring Proper Share Class Structures
59. Preparing Directors' and Officers' Disclosure
60. Risk Factor Disclosure Preparation

5. IPO Roadshow & Marketing
61. Developing Roadshow Materials
62. Organizing Investor Roadshows
63. Target Investor Identification
64. Roadshow Schedule Management
65. Developing Key Messaging for Roadshow
66. Investor Presentation Preparation
67. Designing Investor Materials (Pitch Deck, Brochures)
68. Coordinating Roadshow Logistics
69. Managing Investor Q&A Sessions
70. Defining Investor Engagement Strategies
71. Tailoring Investor Pitch to Market Segments
72. Analyst Call Preparation
73. Post-Roadshow Feedback Analysis
74. Investor Perception Surveys
75. Managing Media Relations During IPO

6. Underwriting & Pricing
76. Underwriter Selection Criteria
77. Underwriting Agreement Negotiation
78. IPO Price Band Determination
79. Book-Building Process Management
80. Underwriting Syndicate Coordination
81. Over-allotment Option (Greenshoe) Management
82. Establishing Price Stabilization Procedures
83. Coordinating Pricing Call with Underwriters
84. Finalizing Offering Price
85. Share Allocation Process
86. Monitoring Demand and Price Adjustment
87. Post-IPO Price Fluctuation Analysis
88. Ensuring Price Transparency
89. Evaluating Market Conditions for IPO
90. Managing IPO Subscription Process

7. Post-IPO & Ongoing Compliance
91. Post-IPO Reporting Requirements
92. Quarterly Earnings Release Process
93. Regulatory Filings Post-IPO (10-Q, 8-K)
94. Financial Statement Disclosures
95. Corporate Governance Post-IPO
96. Managing Shareholder Communications
97. Managing Post-IPO Trading Activities
98. Insider Trading Compliance
99. Investor Relations Management Post-IPO
100. Board and Executive Compensation Plans
101. Managing Lock-up Periods
102. Ensuring Compliance with Section 404 of SOX
103. Monitoring Analyst Coverage
104. Continuous Disclosure Obligations
105. IPO Exit Strategy Management

8. Risk Management & Contingency Plans
106. IPO Risk Assessment
107. Developing IPO Crisis Management Plan
108. Managing Underwriter Risk
109. Identifying Market Fluctuation Risks
110. Legal Risk Management in IPO
111. Credit Risk Management in IPO Process
112. Managing Regulatory Risks
113. Post-IPO Crisis Management
114. Developing Business Continuity Plans
115. Managing Public Relations Risks
116. Employee Stock Option Risk Management
117. Managing Investor Expectations
118. Evaluating Risk Impact on IPO Valuation
119. Monitoring Post-IPO Regulatory Changes
120. Contingency Plan for Failed IPO

9. Investor Relations (IR) Strategy
121. Developing Investor Relations Strategy
122. Engaging with Institutional Investors
123. Developing Shareholder Communication Plan
124. Ongoing Investor Engagement Post-IPO
125. Building Analyst Relationships
126. Maintaining Effective Investor Websites
127. Preparing Earnings Conference Calls
128. Quarterly Shareholder Updates
129. Managing Institutional Shareholder Relations
130. Preparing for Post-IPO Investor Inquiries
131. Handling Investor Activism
132. Investor Targeting Strategy
133. Developing Dividend Policy
134. Implementing Shareholder Feedback Mechanisms
135. IR Reporting Guidelines

10. Employee & Executive Management
136. Preparing Employee Stock Option Plans (ESOP)
137. Employee Communication Strategy Post-IPO
138. Executive Compensation Strategy
139. Executive Transition Plans
140. Employee Retention Strategies Post-IPO
141. Corporate Culture Management Pre/Post-IPO
142. Managing Key Employee Incentives
143. Board Member Appointment Process
144. Setting Executive Remuneration Packages
145. Employee Benefits and Equity Ownership
146. Board Meeting Procedures Post-IPO
147. Implementing Succession Planning
148. Managing Employee Stock Ownership Post-IPO
149. Executives' Securities Transactions Disclosure
150. Post-IPO Workforce Integration

This all-in-one IPO SOP Excel package is designed to give your team complete control, accountability, and visibility throughout the IPO process. Stop wasting time piecing together SOPs from multiple sources—get all 150 SOPs in a ready-to-use, fully editable Excel template, tailored for IPO success, regulatory compliance, investor confidence, and post-IPO growth.



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Source: Best Practices in IPO Excel: 100+ Initial Public Offering (IPO) SOPs Excel (XLSX) Spreadsheet, SB Consulting