COMPLY TECHNOLOGIES INC.

Description: Class 35: Regulatory submission management, namely, assisting others in preparing and filing applications and disclosure documents in the fields of banking, finance, security auditing, risk management, and accounting with governmental regulatory bodies
Class 41: Education services, namely, online courses of instruction, non-downloadable webinars, and in-person classes in the field of regulatory compliance requirements in the fields of banking, finance, securities, auditing, risk management, and accounting
Class 42: Software as a service (SAAS) services featuring software for tracking, managing, analyzing, creating reports, searching, and identifying information for regulatory compliance requirements in the fields of banking, finance, securities, auditing, risk management, and accounting
Class 45: Regulatory compliance consulting services in the fields of banking, finance, securities, auditing, risk management, and accounting

Description: Downloadable white papers in the fields of regulatory compliance in the field of banking, finance, securities, auditing, risk management, and accounting industries; downloadable electronic newsletters delivered by email in the field of regulatory compliance in the banking finance, securities, auditing, risk management, and accounting industries | Educational services, namely, providing non-downloadable webinars in the field of regulatory compliance requirements, Senior Managers and Certification Regime, and business conflicts of interest; providing online newsletter via email in the fields of regulatory compliance in the fields of banking, finance, securities, auditing, risk management, and accounting industries

Description: Online media searching and monitoring services using computer software to automatically search and monitor internet websites, online databases and online publications featuring public records, open data, and government records, for customer-specified topics and to capture relevant information on those topics for business purposes; compilation and analysis of information in the nature of public records data, open data and government records for others; monitoring public records data, open data and government records and providing alerts as to any changes therein for business purposes | Telecommunication services, namely, providing electronic messaging in the nature of electronic message alerts and notifications regarding updates in public records, open data and government records information; Telecommunication services, namely, providing electronic message alerts and notifications via the internet and other electronic communications methods regarding updates in public records, open data and government records information | Providing temporary use of online non-downloadable software for searching, monitoring, aggregating and analyzing public records data, open data and government records; Providing customized computer searching services for others, namely, searching, retrieving and monitoring public records data, open data and government records information available on internet websites, online databases, online publications and computer networks at a customer's specific request; Software as a service (SaaS) services featuring software for searching, monitoring, aggregating and analyzing public records data, open data and government records; Providing online non-downloadable software for searching and monitoring of public records, open data and government records having information relating to relating to people, property, businesses, entities, courts, lobbying records, campaign finance data, campaign contributions, bankruptcies, judgments, sanctions, penalties, liens, contracts, domestic and international business registrations and filings, non-profit grants, warrants and arrest records, permits and licenses, regulatory issues, data breaches, adverse events and other public information; Public data, open data and government records document retrieval services; Software as a service (SaaS) services featuring software for monitoring political donations and contributions, campaign finance data, lobbying records and outside business activities for regulatory compliance and risk management | Public records investigation services; searching of government records, open data records and public records for investigation purposes; Regulatory compliance services, namely, investigating, tracking and monitoring political donations and contributions, campaign finance data, lobbying records and outside business activities for regulatory compliance and risk management related to regulatory compliance

Description: Providing online non-downloadable software for use in managing regulatory compliance for registered investment advisors in connection with the management of enterprise risk compliance

Description: Software as a service (SAAS) services featuring database management software that allows users to meet regulatory compliance requirements in the fields of banking, finance, securities, auditing, risk management, and accounting

Description: "IT"; Consulting and design services in the field of information technology for small to mid-sized financial services businesses, namely, computer system design services; computer network infrastructure design; technical support services for small to mid-sized financial services businesses, namely, troubleshooting in the nature of diagnosing computer hardware and software problems; computer services for small to mid-sized financial services businesses, namely, computer system administration; remote online backup of computer data for small to mid-sized financial services businesses that protects data by collecting, encrypting, and copying data through a secure internet connection to secured servers; computer network vulnerability scanning, and penetration testing

Description: Consulting and design services in the field of information technology for small to mid-sized financial services businesses, namely, computer system design services; computer network infrastructure design; technical support services for small to mid-sized financial services businesses, namely, troubleshooting in the nature of diagnosing computer hardware and software problems; computer services for small to mid-sized financial services businesses, namely, computer system administration; remote online backup of computer data for small to mid-sized financial services businesses that protects data by collecting, encrypting, and copying data through a secure internet connection to secured servers; computer network vulnerability scanning, and penetration testing

Description: Educational services, namely, providing programs related to regulatory compliance in the securities field; professional educational services, namely, classes, training sessions, seminars and online seminars for financial and compliance professionals; and providing on-line newsletters in the field of financial industry compliance | Providing temporary use of an on-line tool of non-downloadable software and development tools for a proprietary database providing regulatory and compliance research, forms and information in the field of securities and regulations | Compliance consulting, namely, providing consulting services to the financial services industry on compliance-related matters, policies and procedures and registrations or other regulatory issues

Description: Providing financial information, namely, providing a database featuring financial compliance information | Web-based financial compliance tools, namely, providing temporary use of online non-downloadable software for obtaining and using model forms, policies, software forms, guides, checklists, research library and database of securities laws and regulations, data management system for documents and other forms and tools to assist with compliance and regulatory requirements in the field of financial compliance

Description: Class B: financial regulatory compliance review

Description: Class B: financial regulatory compliance review

Description: Class 36: Providing financial information, namely, providing a database featuring financial compliance information
Class 42: Web-based financial compliance tools, namely, providing temporary use of online non-downloadable software for obtaining and using model forms, policies, software forms, guides, checklists, research library and database of securities laws and regulations, and for accessing and navigating a data management system for documents and other forms and tools to assist with compliance and regulatory requirements, all in the field of financial compliance in the field of securities

Description: Business consultation services; "RIA"

Description: Infrastructure as a service (IAAS) services, namely, hosting software servers for use by others, and hosting software for client relationship management (CRM), cyber security, regulatory compliance and reporting, client management, employee management, productivity tracking, and for use with professional service applications, namely, financial planning, trading, accounting, portfolio rebalancing, tax planning, tax preparation, providing financial information tools, and providing financial research tools for use by others; Platform as a service (PAAS) featuring computer software platforms for client relationship management (CRM), cyber security, regulatory compliance and reporting, client management, employee management, productivity tracking, professional service applications, namely, financial planning, trading, accounting, portfolio rebalancing, tax planning, tax preparation, providing financial information tools, and providing financial research tools for use by others; Desktop as a service (DAAS) services, namely, providing virtual servers for use by others; Software as a service (SAAS) services, namely, providing software for client relationship management (CRM), cyber security, regulatory compliance and reporting, client management, employee management, productivity tracking, daily productivity tools, namely, spreadsheets, presentations, email functions, internet browsers, professional service applications, namely, financial planning, trading, accounting, portfolio rebalancing, tax planning, tax preparation, providing financial information tools, and providing financial research tools for use by others, all of the foregoing for small to mid-market firms in financial services, and legal services; consulting and design services in the field of information technology, computer system design services; computer network infrastructure design; technical support services, namely, troubleshooting in the nature of diagnosing computer hardware and software problems; computer services for small to mid-sized financial services businesses, namely, computer system administration; remote online backup of computer data for small to mid-sized financial services businesses that protects data by collecting, encrypting, and copying data through a secure internet connection to secured servers; computer network vulnerability scanning, and penetration testing; all of the foregoing services excluding healthcare and medical market verticals

Description: Consulting and design services in the field of information technology for small to mid-sized financial services businesses, namely, computer system design services; computer network infrastructure design; technical support services for small to mid-sized financial services businesses, namely, troubleshooting in the nature of diagnosing computer hardware and software problems; computer services for small to mid-sized financial services businesses, namely, computer system administration; remote online backup of computer data for small to mid-sized financial services businesses that protects data by collecting, encrypting, and copying data through a secure internet connection to secured servers; computer network vulnerability scanning, and penetration testing