Regulatory Compliance

Continuous compliance management from IPO through post-merger public company operations.

SEC reporting, corporate governance, and ongoing compliance support for public companies and SPACs throughout their lifecycle.

  • 1. SEC periodic and current reporting (10-K, 10-Q, 8-K)

  • 2. Corporate governance and board advisory

  • 3. NASDAQ listing standards and ongoing compliance

Regulatory compliance service

Overview

Public company compliance is demanding and continuous. Aetherium supports companies through every stage, from initial SEC registration and SPAC-specific reporting requirements through post-merger public company obligations. Our compliance practice ensures clients meet their regulatory obligations without diverting management attention from operations.

What we provide

We manage SEC reporting calendars, coordinate with outside auditors and legal counsel, and advise boards on governance best practices. For SPACs, we handle the specialized reporting requirements around trust fund management, extension votes, and business combination proxy statements.

Ideal for

  • Newly public companies navigating SEC reporting for the first time
  • SPACs requiring specialized compliance during the acquisition search period
  • International companies unfamiliar with US public company obligations

Outcomes

Companies remain in good standing with the SEC and their listing exchange. Boards operate with clear governance frameworks. Management teams focus on business performance while compliance operates reliably in the background.

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