CORPORATE COMPLIANCE

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Holland Financial Inc. renders assistance to public companies in the fulfillment of the regulatory filing and reporting requirements mandated by the U.S. Securities and Exchange Commission. Our firm can also provide guidance on corporate actions matters. Corporate compliance advisory services are available for micro-cap public companies. 

Public companies must file corporate documents with the Securities and Exchange Commission, including; annual and quarterly reports; information statements; material event filings; proxy statements; registration filings and ownership documentation. The capital markets and the process of disseminating and filing the necessary documents can be a complex process. Our firm has the expertise required to help organizations navigate through this process.

The SEC (Securities and Exchange Commission) requires periodic reporting to be done as electronic filings through its EDGAR (Electronic Data Gathering, Analysis and Retrieval) system.  To initiate the fulfillment process, access the area at the bottom of this page entitled: SEC FILING REQUEST. Upon receipt, we will review your submission and provide a service agreement for review. Regulatory fulfillment offerings for public companies include:

• Expediting compliant EDGAR documents ( Registration Statements, Annual Reports)
• EDGAR and XBRL Filings
• Annual Report (10K) and Proxy Statement Printing
• Registered Holder Mailing
• Notice and Access Web Hosting
• Online & Phone Voting and Tabulation for Registered Holders

Under the Securities and Exchange Commission’s Notice and Access rule, corporate issuers must make proxy materials available on a public website, and may choose to send a Notice of Internet Availability of Proxy Materials rather than the complete proxy package.

Holland Financial Inc. can provide assistance in determining the appropriate method for distributing your proxy communications, relieving your organization of the administrative burden associated with the management of the proxy process.

Holland Financial Inc. is a multi-disciplined financial services firm that seeks compliance assignments and compensation from issuers for services including document formating for EDGAR, XBRL, financial printing, mailing and e-services.

 Holland Financial Inc. may work with other compliance service bureaus in order to adequately serve the needs of its clients. Our firm maintains contractual relationships with financial intermediaries, professional advisers and other business entities, in order to provide the appropriate solutions necessary to address compliance mandates.

Holland Financial Inc. will not violate the confidentiality or privacy of any party under these executed agreements. In certain instances some of these entities may have an individual on their staff that is licensed to practice law, or provide forensic accounting, in a completely separate capacity. Certain compliance matters however, may require deferring to these types of professional advisers in circumstances whereby it is anticipated that through a particular client engagement, an analysis, or discovery could be subject to judicial scrutiny or administrative review. In general, these professional advisers have experience in operating in a commercial legal environment. This allows the validation of methodologies pertaining to the evidentiary value relative to financial and other relevant data of a business entity.

Any client engaging Holland Financial Inc. for matters pertaining to compliance consulting should be advised that the firm does not provide legal and professional protections that would normally exist under an attorney-client relationship such as the following: (a) privileged communication between an attorney and client; (b) the requirement for an attorney to use a client trust account for safekeeping of fees paid in advance; or (c) prohibitions preventing an attorney from having impermissible relationships with clients, representing other persons with conflicting interests, receiving referral fees from third-party vendors, or prospectively limiting liability for malpractice through a contractual provision in a client agreement.

Under no circumstances is there any expressed or implied warranty offered, nor is there any guarantee that any compliance consulting work or registration filing assistance provided by Holland Financial Inc. will be favorably received by an applicable regulatory authority, nor can the firm make any assurances concerning the specific outcome of a compliance consulting matter for which it has been engaged for.

Please be advised that an entity or individual utilizing a service bureau for registration filing assistance is not intended to be a substitute for adhering to appropriate regulatory and legal responsibilities in accordance with the federal securities laws. This includes the timely submission of complete and accurate filings. It is highly recommended that an entity or individual seeking to address specific legal matters retain qualified