Dual Listing Process on Upstream

A streamlined guide for issuers dual listing on Upstream

By Anastasia Samaras

Recently, we’ve discussed the benefits of dual listing, including reaching a wider audience, engaging with international investors, and helping to propel your company’s growth. We’ve also addressed key considerations issuers face when embarking on a dual listing strategy, such as navigating regulatory hurdles, pricing, and finding the right platform.

Here at Upstream, a MERJ Exchange market, we understand these challenges. That’s why we offer a cost-effective solution specifically designed to address them. You maintain your current exchange listing requirements on your primary exchange and without any additional regulatory filings, your shares can be dual listed on Upstream. We allow international shareholders to deposit their shares with ease and allow for international buyers to purchase your company shares directly from the Upstream trading app. Note U.S. persons may not deposit, buy, or sell securities on Upstream.

So, here’s how to start the dual listing process and globalize the opportunity to invest in exciting growth opportunities like yours.

1. Tell us a little more about your company: Head over to the Upstream Get Listed page, enter the issuer's name, email, contact, and what you’re interested in listing to get started. You will receive a welcome email with additional details on the listing process.
2. Connect with your Listing Advisor: Please look out for an email from a MERJ Sponsor Advisor who will schedule a call at your convenience to answer any additional questions you may have about listing on Upstream. They will be your guide throughout Upstream’s listing process to help answer any questions you have.
3. Integration & Approval: Once your application is approved, your securities will be integrated onto Upstream. You will then notify your investors that they will have a venue to trade their securities on and may open accounts to do so. Again, this is for non-U.S. investors.
4. Listing Day: It’s the big day! Enjoy a virtual bell-ringing ceremony, press release, and joint announcement. Continue to connect your investors using our shareholder engagement tools.

As we continue to kick off our 2024 dual listing program, U.S. issuers can dual list for just $10,000 and international issuers can dual list for $5,000 for a limited time to reach global investors. We are also offering over $100k in IR value through our media partners like IBN, Investment Pitch Media, Spotlight Growth, New To The Street, ADVFN, Mission Matters, and The Average Joe.

Sources: 1 AIM/LSE(BakerMcKenzie)| 2 Nasdaq | 3 TSX | 4 NYSE(BakerMcKenzie)

Ready to unlock the potential of a global investor base? Start your dual listing journey with Upstream today at https://upstream.exchange/GetListed or reach the team at hello@upstream.exchange.

Disclaimers

U.S. persons may not deposit, buy, or sell securities on Upstream.

This communication shall not constitute an offer to sell securities or the solicitation of an offer to buy securities in any jurisdiction where such offer or solicitation is not permitted. NFTs have no royalties, equity ownership, or dividends. NFTs are for utility, collection, redemption, or display purposes only. Anyone may buy and sell NFTs on Upstream. All orders for sale are non-solicited by Upstream and a user’s decision to trade securities must be based on their own investment judgment.

Upstream is a MERJ Exchange market. MERJ Exchange is a licensed Securities Exchange, an affiliate of the World Federation of Exchanges, a National Numbering Agency, and a member of ANNA. MERJ is regulated in the Seychelles by the Financial Services Authority, https://fsaseychelles.sc/, an associate member of the International Association of Securities Commissions (IOSCO). MERJ supports global issuers of traditional and digital securities through the entire asset life cycle from issuance to trading, clearing, settlement, and registry. It operates a fair and transparent marketplace in line with international best practices and principles of operations of financial markets. Upstream does not endorse or recommend any public or private securities bought or sold on its app. Upstream does not offer investment advice or recommendations of any kind. All services offered by Upstream are intended for self-directed clients who make their own investment decisions without aid or assistance from Upstream. All customers are subject to the rules and regulations of their jurisdiction. By accessing the site or app, you agree to be bound by its terms of use and privacy policy. Company and security listings on Upstream are only suitable for investors who are familiar with and willing to accept the high risk associated with speculative investments, often in early and development-stage companies. U.S. persons may not deposit, buy, or sell securities on Upstream. There can be no assurance the valuation of any particular company’s securities is accurate or in agreement with the market or industry comparative valuations. Investors must be able to afford market volatility and afford the loss of their investment. Companies listed on Upstream are subject to significant ongoing corporate obligations including, but not limited to disclosure, filings, and notification requirements, as well as compliance with applicable quantitative and qualitative listing standards.

NFT products are akin to a digital sticker of an underlying artwork and should not be considered a financial investment; a security token, an e-money token, or a form of digital currency. NFTs should not, therefore, be purchased by anyone seeking financial gain or with an expectation to profit from the purchase, ownership in the entity, dividends or distributions, sale or resale of an NFT. By buying an NFT you agree that you are not doing so for investment purposes or for the purposes of obtaining a security or an appreciating asset. You understand that the benefit you receive for buying an NFT is limited to supporting athletes, celebrities and other brands. You also acknowledge that ownership of an NFT does not carry with it any rights, express or implied, including (without limitation) copyright, trademarks or other intellectual property or proprietary rights in and to the underlying artwork. The copyright to the digital artwork remains with the copyright holder.

Forward-Looking Statements

This communication contains “forward-looking statements.” Such statements may be preceded by the words “intends,” “may,” “will,” “plans,” “expects,” “anticipates,” “projects,” “predicts,” “estimates,” “aims,” “believes,” “hopes,” “potential,” or similar words. Forward-looking statements are not guarantees of future performance, are based on certain assumptions, and are subject to various known and unknown risks and uncertainties, many of which are beyond the Company’s control, and cannot be predicted or quantified, and, consequently, actual results may differ materially from those expressed or implied by such forward-looking statements. Such risks and uncertainties include, without limitation, risks and uncertainties associated with (i) difficulties in obtaining financing on commercially reasonable terms; (ii) changes in the size and nature of our competition; (iii) loss of one or more key executives or brand ambassadors; and (iv) changes in legal or regulatory requirements in the markets in which we operate. The Company assumes no obligation to publicly update or revise its forward-looking statements as a result of new information, future events or otherwise.