SONATA ONE

Owners

Goods & Services

Private equity fund investment services and investment management; private equity securities investment services; private market fund brokerage services; financial risk management services; providing customer financial due diligence information in the private funds market; financial services, namely, transfer agency services rendered to issuers of investment securities

Providing authentication of personal identification information in the nature of verification of investor personal identification information in the nature of name and date of birth with suitable authentication documentation; regulatory compliance assessment and verification of investor identity and securities laws accreditation, namely, authentication of investors' identity documentation and performing background screening of investors to find adverse media, political exposure and sanctions in the field of anti-money laundering and other laws and regulations concerning investments; regulatory compliance assessment, verification of investor identification information and securities laws accreditation, namely, verifying the identity of investors in the private markets including their beneficial owners, verifying investors eligibility to participate in private markets funds in accordance with applicable securities laws; providing designated individuals to serve as Anti-Money Laundering (AML) Officers for private funds, who report suspicious activity and assessing private funds' compliance with applicable AML regulations; preparing and providing regulatory compliance reports relating to risk and compliance with anti-money laundering laws along with reports to be submitted to tax authorities under FATCA/CRS agreements in the fields of anti-money laundering, tax and securities laws; provision of regulatory compliance consulting services relating to tax compliance, including FATCA/CRS and Withholding Tax compliance

Marketing services relating to private funds; business records management services relating to regulatory compliance documentation

Provision of online, non-downloadable computer platforms for conducting investment exchange, financial information exchange and regulatory compliance services in the nature of verification of investor securities law accreditation and identity and tax related compliance services, namely, tax form management and reporting; Software as a Service featuring software for placement of investors in private funds for investment exchange, financial information exchange and regulatory compliance services in the nature of verification of investor accreditation under securities laws and identity and tax related compliance services, namely, tax form management and reporting