AST GROUP

business consulting and advisory services in the field of corporate governance, proxy solicitation, information agency, and business management and record services, namely, data processing, document creation, printing, graph designing, filing, distribution, and mailing services in the fields of corporate, legal, and financial matters, excluding (i) any pooled investment vehicle or investment company registered, or exempt from registration, under the Investment Company Act of 1940, as amended, and (ii) investment advisory services provided to and/or managing of any pooled investment vehicle or investment company registered, or exempt from registration, under the Investment Company Act of 1940

financial consulting, advisory, broker-dealer, and escheatment services; transfer agency services rendered to issuers of securities, employee stock plan administration, and investment management services, all excluding (i) any pooled investment vehicle or investment company registered, or exempt from registration, under the Investment Company Act of 1940, as amended, and (ii) investment advisory services provided to and/or managing of any pooled investment vehicle or investment company registered, or exempt from registration, under the Investment Company Act of 1940

regulatory compliance consulting in the field of corporate governance, proxy solicitation, and escheatment