Instruction for Filling Out Web Forms for Funds: UCITS, AIF, OMF and DMF - Applicable from 1.1.2023

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INSTRUCTION FOR FILLING OUT WEB FORMS FOR FUNDS: UCITS, AIF, OMF AND DMF

1. Introduction This Instruction contains a description of the substantive completion of the web forms for funds listed below: UCITS, AIF, OMF and DMF. The web forms are publicly available on the website reports.hanfa.hr. Technical details regarding the preparation and processing of web forms, as well as submission to the computer system of the Croatian Financial Services Supervisory Agency (hereinafter: Hanfa), are prescribed by the Technical Instruction for Registration and Operation with the Interface of the Electronic Data Submission System. Web forms for funds are:
2. Notifications on Registration and Change of General Data of Supervised Entities By selecting this form, information is submitted for funds: UCITS, AIF, OMF and DMF regarding:

• Change of fund name
• Registration/change of AIF's registered office
• Cessation of fund operations if not a status change
• Status changes - merger by absorption
• Status changes - merger by formation of a new entity
• Status changes - division

2. Notifications on Registration and Change of Relevant Business Entities (Legal Persons) By selecting this form, information is submitted for funds: UCITS, AIF, OMF and DMF regarding:

• Registration/change of external auditor
• Registration/change of fund depositary
• Fund liquidator

3. Notifications on Registration and Change of Relevant Business Entities (Natural Persons) By selecting this form, information is submitted for funds: UCITS, AIF, OMF and DMF regarding:

• Registration/change of management board members and executive directors for AIF
• Registration/change of supervisory board members for AIF
• Fund liquidator

4. Funds: UCITS, AIF, OMF and DMF - Submission of Electronic Documents For funds, this form type is used to submit documentation that is not standardized through the above three types of forms.

5. Forms for Funds: UCITS, AIF, OMF and DMF Management companies for UCITS, AIF, OMF and DMF funds submit documentation to Hanfa in the manner prescribed by this Instruction, in accordance with their obligations arising from the Open-ended Investment Funds Act, the Alternative Investment Fund Managers Act, the Mandatory Pension Funds Act, the Voluntary Pension Funds Act and secondary legislation (e.g., primarily referring to regular reports and ad hoc reports requested by Hanfa according to the relevant regulation). For each type of web form, the following fields must be completed, as shown in the table and figure.

Date Entry in this field is mandatory and the date is entered OIB (Croatian Tax ID) Entry in this field is mandatory and the OIB of the management company is entered Funds: UCITS, AIF, OMF and DMF - Notifications on Registration and Change of General Data of Supervised Entities Figure 1. shows the entry of Date and OIB fields 2.1. UCITS, AIF, OMF, DMF - Notifications on Registration and Change of General Data of Supervised Entities 2.1.1. Change of Fund Name This form relates to the submission of notifications regarding the change of fund name Old Fund Name Entry in this field is mandatory and the old fund name is entered New Fund Name Entry in this field is mandatory and the new fund name is entered Fund Type Entry in this field is mandatory and must be selected from the dropdown menu:

1. UCITS
2. AIF
3. Mandatory (OMF)
4. Voluntary (DMF) Upload existing XML file Select XML Show

Change Date Entry in this field is mandatory and refers to the date of entering the date with which the fund name changes, as stated in the decision on change of fund name This form is accompanied by the prescribed documentation in PDF format. 2.1.2. Registration/Change of AIF's Registered Office This form relates to the change of registered office of AIF Fund Name Entry in this field is mandatory Fund ISIN Entry in this field is mandatory Street Entry in this field is mandatory House Number Entry in this field is mandatory Postal Code Entry in this field is mandatory Country Entry in this field is mandatory and the country name is selected from the dropdown menu City Entry in this field is mandatory This form is accompanied by the prescribed documentation in PDF format. 2.1.3. Cessation of Fund Operations (Non-Status Change) This form relates to the submission of notifications regarding the date of cessation of fund operations Fund Name Entry in this field is mandatory Fund OIB Entry in this field is mandatory Fund ISIN Entry in this field is mandatory Country of Incorporation of the Fund Entry in this field is mandatory Cessation Date Entry in this field is mandatory and the date of ceasation of fund operations is entered This form is accompanied by the prescribed documentation in PDF format.

2.1.4. Status Changes – Merger by Absorption This form relates to the submission of notifications regarding status change of fund – merger by absorption Name of Absorbed Fund Entry in this field is mandatory OIB of Absorbed Fund Entry in this field is mandatory ISIN of Absorbed Fund Entry in this field is mandatory Fund Type Entry in this field is mandatory and must be selected from the dropdown menu:

1. investment
2. pension Sub-type of Fund Entry in this field is mandatory and must be selected from the dropdown menu:

• UCITS
• AIF
• Mandatory (OMF)
• Voluntary (DMF) Country of Incorporation of the Fund Entry in this field is mandatory and the country name is selected from the dropdown menu Add Allows registration of multiple absorbed funds through one notification This form is accompanied by the prescribed documentation in PDF format. Name of Absorbing Fund Entry in this field is mandatory ISIN of Absorbing Fund Entry in this field is mandatory Date of Status Change Entry in this field is mandatory

2.1.5. Status Changes – Merger by Formation This form relates to the submission of notifications regarding status change of fund - merger by formation Name of Fund Resulting from Merger Entry in this field is mandatory OIB of Fund Resulting from Merger Entry in this field is mandatory ISIN of Fund Resulting from Merger Entry in this field is mandatory Fund Type Entry in this field is mandatory and must be selected from the dropdown menu:

1. investment
2. pension Sub-type of Fund Entry in this field is mandatory and must be selected from the dropdown menu:

• UCITS
• AIF
• Mandatory (OMF) - Voluntary (DMF) Country of Incorporation of the Fund Entry in this field is mandatory and the country name is selected from the dropdown menu Date of Status Change Entry in this field is mandatory Name of Merged Fund Entry in this field is mandatory ISIN of Merged Fund Entry in this field is mandatory Add Allows registration of multiple merged funds through one notification This form is accompanied by the prescribed documentation in PDF format. 2.1.6. Status Changes – Division This form relates to the submission of notifications regarding status change of fund - division Name of Fund Resulting from Division Entry in this field is mandatory OIB of Fund Resulting from Division Entry in this field is mandatory ISIN of Fund Resulting from Division Entry in this field is mandatory Fund Type Entry in this field is mandatory and must be selected from the dropdown menu:

1. investment
2. pension

Sub-type of Fund Entry in this field is mandatory and must be selected from the dropdown menu:

• UCITS
• AIF
• Mandatory (OMF) - Voluntary (DMF) Country of Incorporation of the Fund Entry in this field is mandatory and the country name is selected from the dropdown menu Add Allows registration of multiple funds resulting from division through one notification Name of Dividing Fund Entry in this field is mandatory ISIN of Dividing Fund Entry in this field is mandatory Date of Status Change Entry in this field is mandatory This form is accompanied by the prescribed documentation in PDF format. NOTE: In addition to the aforementioned web forms, if applicable, only one PDF file is submitted containing all necessary documentation that serves as proof for the data entered in the web forms. 2.2. UCITS, AIF, OMF and DMF - Notifications on Registration and Change of Relevant Business Entities (Legal Persons) 2.2.1. Registration/Change of External Auditor This form records data on the external auditor, which is a legal person according to the offered options, and under the start date, the appointment date of the external auditor is entered. Name of Legal Entity Entry in this field is mandatory Type Entry in this field is mandatory and must be selected from the dropdown menu as appropriate Type of Legal Entity Entry in this field is mandatory and must be selected from the dropdown menu as appropriate OIB Entry in this field is mandatory

Street Entry in this field is mandatory House Number Entry in this field is mandatory Postal Code Entry in this field is mandatory Country Entry in this field is mandatory and the country name is selected from the dropdown menu City Entry in this field is mandatory Telephone Entry in this field is mandatory E-mail Entry in this field is mandatory Website Entry in this field is