Legal
Compliance &
Compliance &
Disclaimers.
Read this page carefully. It defines what OTC IPO Expert is, what it is not, and what nothing on this site can promise you.
Read this page carefully. It defines what OTC IPO Expert is, what it is not, and what nothing on this site can promise you.
OTC IPO Expert is an independent strategic readiness, diligence, documentation, and referral platform. We assess whether growth companies — principally in China, Hong Kong, Singapore, Taiwan, and wider Asia — are realistically prepared for a U.S. OTC market path, we identify the gaps that would stall that path, we help organize the documentation licensed professionals require, and we coordinate introductions and referrals to those professionals.
OTC IPO Expert is not a broker-dealer, not a securities exchange, not a law firm, not a PCAOB-registered auditor, not a transfer agent, and not an investment adviser. It is not a member of FINRA or of any exchange or self-regulatory organization, and it is not registered with the U.S. Securities and Exchange Commission in any capacity. Activities that require registration or licensure are performed exclusively by the licensed third parties engaged for that purpose.
Nothing on this site is an offer to sell or a solicitation of an offer to buy any security, nor a recommendation of any security, issuer, or transaction. Nothing on this site constitutes legal, audit, tax, investment, or broker-dealer advice. Content is provided for general informational and educational purposes only, and no engagement or professional relationship is created by reading it or by submitting an intake.
Admission to any OTC Markets tier (including OTCQB and OTCQX), Form 211 clearance, market-maker sponsorship, financing, trading liquidity, and any subsequent uplisting are never guaranteed and cannot be guaranteed — by us or by anyone. Every one of these outcomes depends on licensed third parties, regulators, and market conditions outside any adviser's control. Treat any promise to the contrary, from any party, as a warning sign.
Form 211 is filed only by a qualified market maker — a FINRA-member broker-dealer — that chooses, in its own judgment and under its own regulatory obligations, to initiate or resume quotation of a security. Issuers cannot file Form 211, cannot pay a market maker for filing it, and neither can we. Our role is limited to helping an issuer prepare the information package a market maker would need in order to evaluate sponsorship.
The interactive tools on this site — including the readiness score, the market-fit tool, and the gap analyzer — are educational only. Their outputs are illustrative self-assessments, not eligibility determinations, not predictions, and not advice. Actual eligibility is determined by OTC Markets Group, regulators, and the licensed professionals who review a company's specific facts.
Where we introduce a company to auditors, counsel, transfer agents, market makers, or other professionals, those professionals act under their own licenses, their own engagement terms, and their own professional judgment. We do not control their work, their conclusions, or their fees. Where any referral arrangement involves compensation to us, it will be disclosed to the client.
Site content describes regulatory frameworks, market-tier requirements, and market practice in general terms. Rules, fees, and market-tier standards change; content may not reflect the most current regulatory developments and is not updated in real time. Any forward-looking statement about markets, timelines, or outcomes is inherently uncertain. Verify current requirements with licensed professionals and primary sources before acting.
OTCQB, OTCQX, OTCID, and OTC Markets are marks of OTC Markets Group Inc. Nasdaq and NYSE are marks of their respective owners. All marks are used for identification only. OTC IPO Expert is not affiliated with, sponsored by, or endorsed by OTC Markets Group Inc., Nasdaq, NYSE, or any exchange, regulator, or self-regulatory organization.
This site runs no advertising trackers and no analytics pixels. Information submitted through the intake form is used solely for confidential case assessment; it is not sold, rented, or used for advertising. Client identities are not published.