1. Status of this document

This Entity and Licensing Scope Framework is a counsel working draft for Ohana Capital AG (“Ohana Capital”). It describes the company’s current corporate identity, the services presently offered through the platform, and the licensing questions that must be resolved before any live financial service is launched in a given jurisdiction.

This document is not a legal opinion, regulatory authorization, passport, or license. Company registration in Switzerland does not, by itself, authorize the offering of regulated financial services in Switzerland or abroad.

2. Legal entity

Item	Detail
Legal name	Ohana Capital AG
Legal form	Swiss corporation (AG)
Seat	Zürich
Registered address	Strehlgasse 27, 8001 Zürich, Switzerland
UID	CHE-114.729.131
CH-ID	CH-020.3.033.508-3
FCRO-ID	936493
Brand	Ohana Capital

Public corporate verification should be confirmed against the official Swiss registry (Zefix) for the UID above.

3. Current operating posture

As of the Legal Center version date:

• The platform is operated as a commissioned product environment for evaluating portfolio, risk, reporting, security, and operator workflows.
• Customer-facing external funding and payouts are disabled at application and database boundary layers.
• The platform does not presently accept client money, provide custody of customer assets, or route live orders to an execution venue.
• Public self-service registration is disabled; access is invite- or operator-administered.

Any change to that posture requires separate legal, regulatory, and product approval.

4. What may be offered only after clearance

Counsel should opine, jurisdiction by jurisdiction, before Ohana Capital markets or operates any of the following as live services:

Potential activity	Typical regulatory question
Brokerage / reception-transmission of orders	License / registration as investment firm or broker
Dealing on own account / market making	Trading authorization and capital rules
Custody / safekeeping of client assets	Custody license or banking-equivalent permissions
Accepting client money	Client-money / deposit-taking perimeter
Crypto-asset services	CASP / VASP / DLT trading facility rules where applicable
Portfolio management or advice	Advice / management authorization
Crowdfunding or credit	Separate product regimes
Cross-border solicitation	Local marketing and reverse-solicitation limits

5. Geographic scope method

Until a jurisdiction is expressly approved in writing by counsel (and, where required, by the competent authority):

1. Treat the jurisdiction as not authorized for live solicitation.
2. Do not present the platform as a licensed broker, bank, or crypto exchange in that market.
3. Restrict onboarding, marketing, and product enablement according to geo and eligibility controls.
4. Record the approval decision, effective date, and product set in an internal licensing register.

A working matrix for CH / EU / UK / US disclosure themes appears in the Jurisdictional Disclosure Matrix.

6. Counsel deliverables requested

Counsel is requested to produce or confirm:

1. Perimeter memo — which current and planned features are regulated where.
2. Entity map — whether Ohana Capital AG is the correct contracting entity, or whether affiliates / appointed representatives are required.
3. Cross-border memo — marketing, onboarding, and reverse-solicitation constraints.
4. Authorization roadmap — licenses, registrations, capital, auditors, and timelines for any live launch path.
5. Disclosure pack — mandatory local wording to add to Terms, Risk, and onboarding.

7. Related documents

• Service Relationship Summary
• Client Money and Custody Framework
• Execution and Liquidity Framework
• Jurisdictional Disclosure Matrix
• Terms of Service