Regulatory & SEC Compliance
Comprehensive regulatory compliance ensuring adherence to SEC rules, NASDAQ listing standards, and evolving SPAC regulations.
Contact usAetherium maintains an unwavering commitment to regulatory compliance across all aspects of our operations. Our legal and compliance team monitors the evolving regulatory landscape for SPACs and ensures that every transaction, disclosure, and corporate action meets the highest standards of transparency and legal rigor.
Compliance Areas
- SEC reporting and disclosure (Forms 10-K, 10-Q, 8-K, S-1, S-4)
- NASDAQ listing standards and continued listing compliance
- Sarbanes-Oxley Act internal controls and certification
- SPAC-specific regulations and proposed rule changes
- Insider trading policies and Section 16 compliance
Regulatory Monitoring
Our team actively tracks SEC rulemaking, enforcement actions, and staff guidance related to SPACs and business combinations. This proactive approach enables us to anticipate regulatory changes and adapt our practices before requirements take effect.
Governance Framework
We have established a robust corporate governance framework that includes independent board oversight, comprehensive disclosure policies, and regular compliance training for all team members, ensuring that Aetherium operates with the integrity expected of a publicly listed entity.