Agenda
Great investment conferences should include more than just back-to-back pitch sessions. The Microcap Conference will deliver high-quality technical content designed to give attendees a 360-degree view of all the important issues happening in the market.
We’ll be offering dozens of educational sessions on a variety of topics. Our goal is to exceed the expectations of our investor-centric audience by offering new ideas and meaningful opportunities to learn, all while enjoying a fantastic networking experience.
The Symposium
Wednesday January 31, 2024
8:30 AM - 9:00 AM
8:30 AM - 9:00 AM • Presentation
How Free Are You? What Business are You Really In... The Power of Relationship Capital
- Challenge the perception of business and ask the pivotal question: "What business are we really in?"
- Embrace the truth that business is about people, connections, and relationships.
- Harness the power of Relationship Capital for unprecedented success and personal fulfillment.
- Cultivate strong, authentic relationships through self mastery, influence mastery, and process mastery.
9:10 AM - 9:30 AM
9:10 AM - 9:30 AM • Presentation
Navigating the Microcap Universe
- Defining microcaps: companies with < $300M market capitalization
- Microcaps, small caps and OTC companies represent 43% of public investment opportunities
- Major investment firms typically ignore these opportunities; microcaps prime for retail investors
- Proceeding with caution: potential for great reward often comes with great risk
- Why Fed rate hikes are historically a boon for microcaps
10:00 AM - 10:20 AM
10:00 AM - 10:20 AM • Panel
Fund Protocols & Concerns for Adding Microcaps to Portfolio
- Balancing microcap and small-cap stocks to mitigate risk and enhance liquidity
- Trade-off: short-term volatility almost certain, long-term rewards likely
- Doing your own research (because big firms don’t play in the microcap space)
- Working with capital management funds specializing in microcaps
- Asset allocation – what’s the right mix?
10:20 AM - 10:40 AM
10:20 AM - 10:40 AM • Panel
Let the Investor Beware! - Fraud Detection & Red Flags
- Examples of the most common frauds being committed by microcap companies that are only caught after the fact
- Early warning signs of hard-to-identify scams
- Protocols for investors and fund managers to help them hedge if there are suspicions of fraud
- Microcap volatility: discerning when legitimate companies are the victim of outside forces, such as naked shorts
- Perspective: legal preventive measures in the early financing stages and later stages that could reduce fraud
10:40 AM - 11:10 AM
10:40 AM - 11:10 AM • Presentation
Cybersecurity for Microcaps: Secure, Smart, and Scalable
- Understand why Microcaps should care about security, privacy, and data governance.
- Learn how Microcaps’ security plans can and should differ from larger companies.
- Discover the importance of scalability when it comes to cybersecurity.
- Understand the risks and the true cost of inaction of not having the security controls in place.
11:15 AM - 11:45 AM
11:15 AM - 11:45 AM • Fireside
Empowering Micro Cap Trading - Navigating Private Offerings for Issuers and Investors
- Enabling investors to make well-informed decisions and seize opportunities in the dynamic micro cap trading
- Efficiently track and close private offerings, enhancing transparency and compliance, thus unleashing growth opportunities for businesses.
11:50 AM - 12:15 PM
11:50 AM - 12:15 PM • Presentation
The Importance of Cybersecurity for All Companies in 21st Century; Key Client Strategies
- Financial and Reputational Risks: Potential consequences of cyberattacks for businesses, including financial losses, regulatory fines, and damage to reputation and customer trust.
- Protection of Sensitive Data: Emphasizing the critical role of cybersecurity in safeguarding sensitive data, intellectual property, and customer information from unauthorized access and theft.
- Legal and Compliance Obligations: Explaining the legal and compliance obligations that companies must adhere to in terms of protecting customer data and personal information, such as GDPR and CCPA regulations.
- Supply Chain Vulnerabilities: Exploring the interconnectedness of supply chains and how cyber threats can also impact third-party vendors, underscoring the need for robust cybersecurity measures across the entire ecosystem.
12:15 PM - 12:45 PM
12:15 PM - 12:45 PM • Presentation
The Use of Reg A in Today’s Capital Markets
- Raise capital from the crowd and list on a National Securities Exchange
- Financing for listed companies out toxic structures
- Raise up to $75 million in a 12 month period
- Form stronger bonds with your community
1:45 PM - 2:05 PM
1:45 PM - 2:05 PM • Fireside
Navigating Regulatory Limitations When Raising Capital
- Baby Shelf requirements can pose significant limitations on small cap raises
- Using shelf registration for a follow-on
- Nasdaq/NYSE 20% rule
- Benefits of at-market offerings
2:05 PM - 2:35 PM
2:05 PM - 2:35 PM • Panel
Markets Are Global, But the US Has the Biggest Draw
- What are the most glaring regulatory and other differences between US markets vs. those in Asia and Europe?
- How does the capital raise process and interest level for microcaps in Asia and Europe compare with in the US?
- Has the economic growth surge of China impacted markets in the rest of Asia and even in Europe, and in what ways?
- Is the LSE still as attractive as a public vehicle for international companies as it was a decade ago, or has the US regained its allure?
- ASEAN member nations appear to be favoring the US market as opposed to the geographically closer Chinese one. Why is that?
3:00 PM - 3:20 PM
3:00 PM - 3:20 PM • Presentation
Leveraging an Investor Outreach Desk to Meet the Goals of Your Capital Campaign
- Everything depends on successful outreach
- Putting together a team
- Identifying the target: the best investors for your company
- The real costs of a capital raise and budgeting for them
- Messaging, marketing, identifying the best channels for outreach
- How an investor outreach desk can help make the process run smoother
3:20 PM - 3:40 PM
3:20 PM - 3:40 PM • Presentation
When to Trade Options On a Microcap or De-SPAC and When to Issue Options
- How options offer many possibilities to increase returns in an up, down or range-bound market
- Optionable stocks represent small slice of microcap universe
- Using margin accounts
- Options on small-cap ETFs
- Why the bid/ask spread is critical to successful options trading
3:40 PM - 4:00 PM
3:40 PM - 4:00 PM • Presentation
SEC Enforcement in the Microcap Market: Risks and Compliance
Hear from a SEC Enforcement Alum and Leading SEC Defense Practitioner about …
- SEC Enforcement: Microcap Market Targets
- Investigations Feeding Frenzy: Who is Talking to the SEC, PCAOB, and DOJ
- Gatekeeper Liability: Auditors, Lawyers, and Compliance Officers in the Cross-Hairs
- Common Mistakes Causing Enforcement Liability
- Dark Hole of OTC Markets Skull and Cross-Bones and SEC Trading Suspensions
- Mitigating against Enforcement Risk
4:00 PM - 4:35 PM
4:00 PM - 4:35 PM • Presentation
Pros & Cons of Microcaps vs. Larger NYSE & NASDAQ Companies
- Microcaps far more often undervalued compared to their bigger brothers on large exchanges
- Potential for greater returns with microcaps and small caps
- Many microcaps represent ground-floor investment opportunities
- Cons: stock volatility, low liquidity, typically much greater risk
- Minimal public information about some microcap companies makes analysis difficult
4:35 PM - 4:55 PM
4:35 PM - 4:55 PM • Presentation
Preserving Cash and Raising Capital in the Microcap Space
Discussion of Cash Preservation Techniques
- Discussion of costs associated with the range of professional services that a public company should anticipate requiring
- Discussion of the importance of controlling costs and efficient use of capital
Discussion of the Equity Market
- Types of Equity Financings (private placements versus registered offerings)
- Timing considerations
Thursday February 1, 2024
8:30 AM - 8:50 AM
8:30 AM - 8:50 AM • Virtual Presentation
Outlook of the 2024 Economy and Its Effect on Microcap Companies and Investors
9:00 AM - 9:20 AM
9:00 AM - 9:20 AM • Presentation
Exploring Listing Options: Navigating Nasdaq's Sub-$1 Stocks
- Nasdaq sets 180-day limit to regain compliance for minimum $1 stock price
- Differences in Nasdaq Global Select Market, Nasdaq Global Market and Nasdaq Capital Market
- Due diligence: Is low stock price just a blip or the start of an existential crisis?
- Impact of a delisting on investors
- Cost savings and other advantages of moving a listing to the OTC
9:20 AM - 9:40 AM
9:20 AM - 9:40 AM • Presentation
ESG Trends Impacting MicroCap D&O Insurance
- Trends on Regulation and Fines
- Liability Exposures
- Recent Anti-ESG Litigation Backlash Discussed
- Risk Management Tools
- D&O Underwriter Concerns
10:00 AM - 10:30 AM
10:00 AM - 10:30 AM • Presentation
How to Assemble a Microcap Portfolio as a Subcategory of an Overall Retiree Portfolio
- Using the growth aspect to offset inflation and depletion
- Balancing with the fixed-income portion of a portfolio
- The Holy Trinity: Choosing the right mix of stocks, bonds and cash
- Aligning goals with risk tolerance
10:30 AM - 11:00 AM
10:30 AM - 11:00 AM • Panel
Entrepreneur's Dilemma: Sharing the Baby With the Public and the Risk of Losing It
- What drives an Entrepreneur to create a company, and what factors determine when the public company route becomes a consideration?
- What are the pros and cons that an Entrepreneur should weigh before going public?
- How should an entrepreneur evaluate which capital raising route to take, such as a Reg-A, SPAC, Reverse Merger/PIPE, et al., and what are the obstacles, pros and cons of each?
- Are there examples of entrepreneurs who managed to successfully steer a company into the public arena without sacrificing too much of the original vision?
- Are there examples of entrepreneurs who hated going public but later found that the company turned out better than the original vision?
11:00 AM - 11:20 AM
11:00 AM - 11:20 AM • Presentation
Leveraging Linkedin for Public Company CEOs
- Proactive Audience Building – Who did you want to meet? Practical strategies to get in front of the capital markets universe.
- Efficient Personal and Corporate Branding - Leveraging connections to tell your story.
- Tangible, Measurable, Results - The multiple objectives for public companies. Don’t just put out a press release and hope someone reads it!
11:20 AM - 11:40 AM
11:20 AM - 11:40 AM • Presentation
Analyzing Buffett's Best Investments & Overcoming Cognitive Bias
- Learning from Cognitive Bias: Exploring the common cognitive biases that can hinder investors’ decision-making.
- Quantitative Value Investing: Overcoming cognitive bias by systematically investing in microcap stocks.
11:40 AM - 12:00 PM
11:40 AM - 12:00 PM • Presentation
Cybersecurity Disclosure Requirements for Public Companies
Come to a Fireside Chat with Andrea Cataneo, a 25 year veteran corporate and securities attorney and Partner with Mitchell Silberberg and Knupp (MSK) and cybersecurity expert and CEO of SideChannel, Inc. (OTCQB:SDCH), Brian Haugli.
Get the insights and tools you need- and know how to access the experts if you need them.. See why thousands of people have already been paying attention to what this duo has to say.
12:00 PM - 12:20 PM
12:00 PM - 12:20 PM • Presentation
3 Essential Steps to Reaching $10M in Revenue & Becoming Cash Flow Positive
- Go-to-Market Strategy - dominate a niche
- Customer acquisition communications - accelerate customer word of mouth
- Transformative Business Development, or “Let’s go whale hunting"
12:20 PM - 12:40 PM
12:20 PM - 12:40 PM • Presentation
Detecting Legacy Red Flags for De-SPAC and Rev. Mergers
- Incomplete Financial Disclosures: Detecting legacy red flags involves scrutinizing financial disclosures to identify any inconsistencies, omissions, or questionable accounting practices that might have been overlooked during the SPAC process or reverse merger.
- Regulatory Compliance Concerns: A thorough examination of the company's regulatory history is essential to identify any past or ongoing compliance issues that could pose risks post-De-SPAC or reverse merger, such as unresolved legal disputes or regulatory violations.
- Governance and Management Evaluation: Assessing the qualifications and track record of the company's management team and board members is critical to spot any red flags related to their past business practices or potential conflicts of interest, which could impact the company's future performance and credibility
12:40 PM - 1:00 PM
12:40 PM - 1:00 PM • Presentation
Preparing and Executing a Microcap IPO
- IPO preparedness: Ensuring execution model is deeply integrated with IPO information requirements
- Creating an IPO roadmap - an insiders’ perspective with a differentiated approach
- Current IPO market intelligence - What it really takes to succeed
- Post IPO listing strategies - Creating liquidity and awareness
2:00 PM - 2:20 PM
2:00 PM - 2:20 PM • Presentation
The Power of Seasonal Investing: Using Cycles, Seasonality & Recurring Patterns To Enhance Investment Portfolio Returns
- Impact of four-year presidential election cycle
- Tactical seasonal switching strategies
- Making sector ETF selections
- Uncovering undervalued, off-the-radar stocks
- The January indicator Trifecta: Santa Claus Rally, First five days and the January Barometer
- Major seasonal opportunities and dangers
2:20 PM - 2:50 PM
2:20 PM - 2:50 PM • Panel
What Microcaps Need to Do to Attract Institutional Investors
- Lessons learned from raising money for microcap portfolio managers
- How to digitally market to draw in investors
- Management quality and track record
- A good website
- Well-articulated business model, with key financial metrics institutional investors focus on
- "Small Cap Giants" and total addressable markets
- Discipline and capital allocation
2:50 PM - 3:10 PM
2:50 PM - 3:10 PM • Presentation
In Hospitability of Public Company Ecosphere for Smaller Cap Issuers
- U.S. public markets are inhospitable to smaller cap issuers
- Destruction of aftermarket incentives killed broker/dealer sponsorship model
- This has resulted in massive stock illiquidity for smaller cap issuers
- Which has resulted in wide-spread toxic capital financing
- In hospitability of public markets has led to shrinking size of U.S. public markets
- HR 6623, Main Street Growth Act, introduced to address these issues
3:10 PM - 3:30 PM
3:10 PM - 3:30 PM • Presentation
How Microcaps Can Form a Non-Profit Humanitarian Spinoff Without Hurting Asset Base
- Launching a nonprofit creates positive publicity that can’t be bought
- Identifying the mission of the new entity/aligning with corporate parent
- Fundamentals of non-profit formation and operating structures
- Promoting the spinoff with effective marketing & messaging
3:30 PM - 3:50 PM
3:30 PM - 3:50 PM • Presentation
”More Bang for Your Buck” High Profitability at Cheap Valuations in Europe
- Financial theory suggests there are two ways to outperform the market
- Earnings growth lacks persistence beyond random chance, and cheap assets can remain cheap for extended periods of time
- Asset productivity has been shown to persist over time
Investor Sessions
Wednesday January 31, 2024
Thursday February 1, 2024
Microcap Investment Strategies
- Stock Screening Strategies to Find Undervalued Microcaps
- What “Multi-bagger” or “Ten-bagger” Stock Investments Have in Common
- Signs to be Aware of when Considering Selling a Microcap Position
- What to Listen for During a Small Cap Earnings Call
- How to Invest in Small Caps During a Recession
- 10 Ways to Find Under-the-Radar Microcaps
- How to Discover and Position Yourself for Microcap M&A Opportunities
- How to Identify Great (and Not-so-Great) Company Management
- Key Technicals to Watch when Trading Microcaps
- Promising Sectors to Mine for Microcap Opportunities
- An Overview of the Short-Swing Profit Rule & Other Trades that Can Trip You Up
PIPEs & Private Placements
- An Overview of PIPE Investment Structures
- Update on Reg D and General Solicitation Rules
- Legal Documents & Filing Requirements Needed for a PIPE Investment
- Activist Investment Strategies for Microcaps
- How to Negotiate the Best Possible Terms for your PIPE Transaction
- Ways to Protect your Direct Investment from Short Sellers
- The Vital Role PIPEs have Played in the SPAC Market
- Insiders and the Blackout Period: What you Should Know
Markets & Trading
- The Current State of the Microcap IPO Market
- The Implications of the SEC’s Position on OTC Markets Relating to Resale Registration Statements
- Small Cap IPO Strategies
- Financing Options for Microcap Companies
- Understanding the SEC’s Amendments to Rule 15c2-11 & the OTC’s Expert Market
- OTC Markets: Issues with Outstanding Convertible Debt
- Investor Relations in the Age of Social Media
- China Audit Issues & the Latest Regulatory Concerns
- A Discussion of Reg SHO & Short Selling
- Fintwit: What it is, How it Works & the Impact of the SEC’s Proposals
Regulation A
- A Rundown of Why Reg A has Gained in Popularity for both Public and Private Companies
- Online & Offline Marketing Strategies to Raise Capital
- Understanding the Interplay Between Reg A & Crowdfunding
- Legislative & Regulatory Updates that Impact the Small Stock IPO Market
- Reporting Requirements Governing Tier 1 & Tier 2 Offerings
- Using Social Media to Promote Your Deal & Making Sure you Adhere to Allowable Forms of Communication
- Benefits of Orchestrating a “Testing the Waters” Campaign
Fund Administration
- Year-end Tax Planning for Microcap Investors
- Overview of Crypto Tax Compliance Issues
- How the SEC’s Proposed Investment Advisers Act Rules will Impact Compensation at PE Funds
- Best Practices for Consistent Microcap Equity Valuation
- How ESG Reporting Rules will Impact PE and Hedge Funds
SPACs
- SPACs 101: Understanding the Underwriting & DeSPAC Process
- What the SEC’s Regulatory Proposals Mean for the Future of SPACs
- Why there’s Increasing Interest in Cross-Border SPAC Activity
- How Sponsors Identify & Negotiate with Merger Targets
- How to Navigate a Bear Market in SPACs
- Insurance Considerations when Putting Together Your SPAC Deal
- How Sponsors are Closing Deals Even in a Challenging Market
- Why there’s New Interest in Mini-sized SPACs
- Insights into Recent & Pending Litigation so you can Avoid Common Mistakes
Portfolio Management
- Identifying Mistakes that Will Hurt your Investment Returns
- Microcap Portfolio Construction: How to Appropriately Allocate Capital to this Class of Investments
- How to Arrive at a Microcap Stock’s Intrinsic Value
- How to Manage your PIPE Portfolio and Strategies for Tracking your Warrants
- Important Valuation Metrics for Small Stocks
- The Black Scholes Model: What it is, How it works, and Understanding Options Valuation
- Alternative Approaches for Valuing Illiquid or Restricted Securities
