Owner Promontory Mark, LLC limited liability company organised and existing under the laws of the State of Delaware, United States of America

Service Phillips Ormonde Fitzpatrick

Filing Date 26 July 2011

Class 9 Software tool for use by financial services institutions in identifying, assessing and monitoring regulatory compliance and compliance-related risks and in generating reports relating thereto; software and regulatory compliance diagnostic software tools for use by financial services institutions in identifying, assessing, and monitoring regulatory compliance and compliance-related risks and in generating reports relating thereto; downloadable database for use by financial services institutions in identifying, assessing and monitoring regulatory compliance and compliance-related risks and in generating reports relating thereto; database software application that generates an overall money laundering and terrorist financing risk score and ranking for each country, territory, and jurisdiction for use by financial institutions in complying with the anti-money laundering and terrorist financing laws and regulations and that generates reports relating thereto; electronic database recorded on computer media featuring information for use by financial services institutions in complying with the anti-money laundering and terrorist financing laws and regulations; electronic database recorded on computer media featuring a list of countries, cities, towns, regions, and ports that are either sanctioned directly by government authorities or are located in sanctioned countries for use by financial services institutions in complying with the anti-money laundering and terrorist financing laws and regulations; electronic database featuring a list of bank identification codes designating financial institutions that are either sanctioned directly by government authorities or are located in sanctioned countries for use by financial services institutions in complying with the anti-money laundering and terrorist financing laws and regulations; subscription-based downloadable database of major stock exchange markets of the world that facilitate trading in listed equity securities of publicly held companies by providing risk ratings designed to assist financial services institutions in determining the level of due diligence that should be applied to new or existing customers that are publicly held companies that issue securities listed on public stock markets; electronic downloadable publications, namely, newsletters and bulletins featuring topics in the areas of financial risks, compliance, management, efficiency liquidity, capital, strategic planning and governance, financial services, business consulting and other topics of interest to the financial services and regulatory industries; electronic publications namely, newsletters and bulletins featuring topics in the areas of financial risks, compliance, management, efficiency liquidity, capital, strategic planning and governance, financial services, business consulting and other topics of interest to the financial services and regulatory industries recorded on computer media; audio recordings downloadable via the Internet featuring speeches in the areas of financial risks, compliance, management, efficiency liquidity, capital, strategic planning and governance, financial services, business consulting and other topics of interest to the financial services and regulatory industries; downloadable electronic newsletters delivered by e-mail in the fields of business methodologies, business methodology update proposals and business software release notes distributed via email

Class 16 Printed materials, namely, brochures, reports, announcements, prospectus, written articles, information sheets and speeches featuring topics in the areas of financial risks, compliance, management, efficiency liquidity, capital, strategic planning and governance, financial services, business consulting and other topics of interest to the financial services and regulatory industries; printed publications, namely, newsletters, bulletins featuring topics in the areas of financial risks, compliance, management, efficiency liquidity, capital, strategic planning and governance, financial services, business consulting and other topics of interest to the financial services and regulatory industries; printed periodicals featuring topics in the areas of financial risks, compliance, management, efficiency liquidity, capital, strategic planning and governance, financial services, business consulting and other topics of interest to the financial services and regulatory industries

Class 35 Business consulting services; business consulting services provided to financial institutions in the area of anti-money laundering and terrorist financing compliance; providing information and consulting regarding a business management process for increasing revenues, reducing costs and redeploying resources; providing business consulting in the field of business efficiency; consultancy services regarding business strategies; mergers and acquisitions advisory and consultancy services

Class 36 Financial advisory and consulting services; financial analysis and research services; providing an on-line subscription-based computer database of major stock exchange markets of the world that facilitate trading in listed equity securities of publicly held companies by providing financial risk ratings designed to assist financial services institutions in determining the level of financial due diligence that should be applied to new or existing customers that are publicly held companies that issue securities listed on public stock markets

Class 41 Providing training regarding a business management process for increasing revenues, reducing costs and redeploying resource; training services in the field of sanction and anti-money laundering (AML) compliance for business and control personnel to improve risk management, reduce regulatory risk and prevent terrorism; providing training and educational mentoring to professionals in the field of transaction monitoring, suspicious activity report (SAR) monitoring, and sanctions compliance; training and educational testing of financial services institutions personnel on sanctions compliance and in developing compliance structure for monitoring and tracking regulatory compliance and in identifying and assessing compliancerelated risks; providing advanced training courses in the field of sanctions compliance, sanction rules violations, and the resolution and recording of escalated transactions; business training in the field of business efficiency

Class 42 Providing temporary use on-line of nondownloadable software and regulatory compliance diagnostic software tools for use by financial services institutions in monitoring and tracking regulatory compliance and in identifying and assessing compliance-related risks; providing on-line non-downloadable software and regulatory compliance diagnostic software tools for use by financial services institutions in identifying, assessing and monitoring regulatory compliance and compliance-related risks and in generating reports related thereto; platform as a service (PAAS) featuring a computer software platform that generates an overall money laundering and terrorist financing risk score and ranking for each country, territory, and jurisdiction for use by financial institutions in complying with the anti-money laundering and terrorist financing laws and regulations and that generates reports relating thereto

Class 45 Regulatory compliance consulting services, namely, consulting on standards and practices to assure compliance with financial services institutions laws and regulations; providing an on-line searchable database featuring information for use by financial services institutions in complying with the anti-money laundering and terrorist financing laws and regulations; regulatory compliance services, namely, reviewing standards and practices to identify and assess compliance-related risks with respect to financial services institutions laws and regulations