The Microcap Conference 2024
The Microcap Conference is the the largest independent event for microcaps.
DealFlow Events is pleased to offer the complete set of audio/video recordings from this event.
Watch our thought leading speakers from The Microcap Conference 2024.
Call us at (516) 876-8006 or email team@dealflowevents.com with questions.
Presenting Companies
Flushing Financial
NAS: FFIC
Jaguar Health
NAS: JAGX
Aspira Women’s Health
NAS: AWH
Scripps Safe
NAS: SCRP
Ur-Energy
NYS: URG
Guard Dog
Private
PetVivo Holdings
NAS: PETV
Genie Energy
NYS: GNE
Pacific Rim Energy
Private
Cloud DX
TSXV: CDX
Energy Finders Inc
OTC: EGYF
First Wave BioPharma
NAS: FWBI
Society Pass Incorporated
NAS: SOPA
Heritage Global
NAS: HGBL
3Forces
Private
Hovnanian Enterprises
NYS: HOV
Greenland Technologies
NAS: GTEC
C6 Capital, LLC.
Private
Scienjoy
NAS: SJ
Unicycive Therapeutics, Inc.
NAS: UNCY
SOLOWIN HOLDINGS
NAS: SWIN
NEXGEL Inc.
NAS: NXGL
The Real Brokerage
NAS: REAX
VCI Global
NAS: VCIG
Nova Leap Health Corp.
TSXV: NLH
RE Royalties Ltd
TSXV: RROYF
Indonesia Energy Corporation
ASE: INDO
Alternus Clean Energy Inc.
NAS: ALCE
Nemaura Medical
NAS: NMRD
MtronPTI
ASX: MPTI
ApartmentLove Inc.
CSE: APLV
Bioxytran, Inc.
OTC: BIXT
Ethema Health Corporation
OTC: GRST
Eden Research plc
OTCQB: EDNSF
Pineapple Financial, Inc.
NYSE: PAPL
Danam Health
Private
La Rosa Holdings Corp.
NAS: LRHC
LGL Group Inc.
ASE: LGL
Pain Reform
NAS: PRFX
LM Funding America, Inc.
NAS: LMFA
Acurx Pharmaceuticals, Inc.
NAS: ACXP
Alico, Inc.
NAS: ALCO
Partnership Solutions International LTD
Private
Loop Industries
NAS: LOOP
BitMine Immersion Technologies, Inc.
OTC: BMNR
Cytta Corp
OTC: CYCA
BIO-key International, Inc.
NAS: BKYI
Xcelerate, Inc.
OTC: XCRT
FendX Technologies Inc.
OTC: FNDX
Alzheimer's Treatment Centers of America
Private
Sonim Technologies
NAS: SONM
Envoy Medical Inc
NAS: COCH
BioStem Technologies
OTC: BSEM
Intrusion, Inc.
NAS: INTZ
Soluna Holdings
NAS: SLNH
FingerMotion
NAS: FNGR
Advanced Health Intelligence
ASX: AHI
Dyadic International Inc
NAS: DYAI
Canoo
NAS: GOEV
Soligenix, Inc
NAS: SNGX
Inmed Pharmaceuticals
NAS: INM
No Limit Technology Holdings, Inc
Private
Ring Energy, Inc.
ASE: REI
Aquafil
OTC: QX
Alternative Health, Inc
OTC: EXMT
Urbanimmersive
TSX: UI
BlueFire Equipment, Corp.
OTC: BLFR
Teton Advisors, Inc.
NAS: TETAA
Generation Income Properties
NAS: GIPR
Terran Orbital
NYS: LLAP
SinglePoint Inc
OTC: SING
RedCloud Technologies
Private
Nutriband Inc.
NAS: NTRB
Toragen, Inc.
Private
Inca One Gold Corp.
TSX: INCA
Electriq Power Holdings
OTC: ELIQ
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
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