The service-specific risk to address first
Treating public-company status as a fundraising permission can create serious regulatory exposure.
A growing manufacturer planning external capital needs a fundraising route review as well as incorporation.
Mistake 1: assuming the same rule applies to everyone
Public company incorporation does not itself permit an unrestricted public fundraise.
Entity type, business activities, transaction facts and the relevant period can change the answer. Before using a checklist or a headline rule, ask which facts make it applicable to you. Verify current official requirements rather than copying an old article.
Mistake 2: sending records that do not reconcile
Document proposed shareholder and director arrangements, capital structure and registered-office evidence.
Flag mismatches and missing items before the adviser starts. Never overwrite an original record simply to make totals match. Preserve an explanation of corrections so the final position can be traced back to its evidence.
Mistake 3: confusing one task with full compliance
Separate company formation from securities-law, listing and capital-raising engagements.
An incorporation, registration, return or report is a particular deliverable. Other permissions, recurring obligations and implementation work may remain. Ask for a written list of what the engagement does not cover.
What to do if work is already wrong
Preserve the original submission or report and ask for an assessment of the available correction route. Do not submit a duplicate application or ignore a communication without checking the consequences. Identify the issue, relevant period and supporting evidence.
Which additional approvals and specialist advice are required for our proposed fundraising route?
Maintain incorporation documents, statutory registers and a governance calendar suitable for the intended activity.
How to use this resource
