How to capture retail investors when dual listing on Upstream

Upstream
6 min readMay 17, 2024

Maximizing Retail Investor Reach Through Strategic Engagement Strategies

By Fernanda De La Torre

Last week, we explored the intricate process of dual listing on Upstream, shedding light on how companies can expand their reach and tap into a global pool of investors. This week, we pivot our focus to the crucial aspect of attracting retail investors during and beyond the dual listing process.

Simplifying Access for Retail Investors & Supporting Issuers

Upstream, a MERJ Exchange market, is purpose-built to streamline the trading experience for retail investors. Especially outside the U.S. and Canada, accessing securities can be a cumbersome process, particularly for micro-investments. However, Upstream changes the game by offering a user-friendly platform where investors can effortlessly download the app, fund their accounts using credit/debit card, PayPal, USDC or USD and directly access your company shares 20 hours a day, 5 days a week.

With the technicalities of global investor access taken care of, Upstream empowers issuers and their teams to focus on attracting retail investors to their companies.

Unlike institutional investors who rely on teams of analysts, retail investors often gather information from brokers, advisors, and their own research. This underscores the importance of issuers curating a strong online presence across various platforms, including their website, social media channels, and press releases.

Upstream’s Supportive Tools and Leveraging Social Media:

Recognizing the significance of engaging retail investors effectively, Upstream provides a suite of tools and resources to support issuers in their retail investor engagement efforts. Our comprehensive dual listing guide equips issuers with press release templates, social media content, and email copy, amplifying the visibility surrounding their offering.

Additionally, our marketing package offers issuers a robust campaign strategy to effectively attract retail investors. Recent research from Willis Owen underscores the significance of social media in investor decision-making. With 34% of UK retail investors having made at least one investment change based on social media announcements in the past year, it’s clear that a strong social media presence is crucial for issuers. 1

Along with Upstream’s issuer guide that includes sample social media content, Upstream also has a growing Discord community which issuers can take advantage of to communicate directly to shareholders in real-time about announcements and answer any questions.

Issuers can also take advantage of Upstream’s comprehensive media package with over $100k of IR value. This package leverages our extensive media community network, featuring leading outlets like IBN (InvestorBrandNetwork), InvestmentPitch Media, Spotlight Growth, New to the Street, Mission Matters, ADVFN, and The Average Joe.

Upstream’s shareholder engagement tools can add to, or even be the center of, a marketing campaign for issuers to reward, engage, and drive existing and potential shareholders to their company or products. For example, issuers can launch their own digital coupon campaign using Upstream. These digital coupons are Collectibles that can be claimed on the trading app and redeemed for physical merchandise, products, discounts, or services from an issuer. The goal is to increase visibility for a product, service, or other initiative. This not only works to foster brand loyalty but also has the potential to convert loyal investors into enthusiastic customers, ultimately boosting your corporate revenue.

Conclusion

Dual listing on Upstream opens doors to global retail investors, and with the right strategies in place, issuers can effectively engage and attract these investors to their companies. By simplifying access, providing supportive tools and resources, and leveraging the power of social media, Upstream empowers issuers to capture the attention of retail investors and drive their companies towards success in the global marketplace.

Interested in listing your company? Get started at https://upstream.exchange/GetListed or reach the team at hello@upstream.exchange.

Sources

1 FasterCapital

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.

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Upstream

A MERJ Exchange Market. Ethereum-powered trading app for digital securities and NFTs. Learn more at https://upstream.exchange/.