Rulebook on Issuing Approval for Establishing and Managing a UCITS Fund and Amending the Prospectus and Rules of a UCITS Fund

ESTABLISHMENT AND MANAGEMENT OF A UCITS FUND
Article 2. (OG 80/26)
(1) The management company, together with the application for issuing approval for establishing and managing a UCITS fund, in addition to the documentation and data specified in Article 243, paragraph 2 of the Act, shall submit:
a) proof of maintenance of the regulatory capital of the management company in accordance with Articles 19 to 21 of the Act, b) consent of the supervisory board to the rules of the UCITS fund, in accordance with Article 195, paragraph 3 of the Act, c) for the depositary referred to in Article 216, paragraph 4, points 1 and 3 of the Act – a copy of the approval for operation of the depositary issued by the Croatian National Bank, d) for the depositary referred to in Article 216, paragraph 4, point 2 and point 5 of the Act – approval for operation of the depositary issued by the competent authority of the member state, e) for the depositary referred to in Article 216, paragraph 4, points 2, 3 and 5 of the Act – a copy of the extract from the court or other appropriate register of the member state, or third country, for the founder of the branch, f) a price list for performing depositary services, if the price list does not form an integral part of the contract for performing depositary services, g) a declaration by the depositary that there are no legal impediments within the meaning of Article 229, paragraphs 4 and 5 of the Act, h) confirmation by the depositary from which it follows that the depositary manager meets the conditions under Article 216, paragraph 7 of the Act regarding relevant experience, i) a copy of the positive opinion on the audit of the depositary's financial reports for the last three business years, j) additional documentation upon request by the Agency.

(2) A management company from another member state intending to establish and manage a UCITS fund in the Republic of Croatia in accordance with the provisions of Article 133 of the Act, together with the application for issuing approval for establishing and managing a UCITS fund, in addition to the documentation and data specified in Article 243, paragraph 2 of the Act and the documentation from paragraph 1 of this Article, shall additionally contain and submit:
a) an extract from the court or other appropriate register for the management company, b) approval for operation of the management company issued by the competent authority of the home member state of the management company, c) confirmation of the maintenance of capital of the management company, d) other documentation upon request by the Agency.

(3) All foreign documents from this Article must be translated by an authorized court interpreter for the Croatian language, and the foreign documents from paragraph 1, points d) and e) of this Article, as well as the documents from paragraph 2, points a) and b) of this Article, must also be certified in accordance with the law and international regulations (Apostille – The Hague Convention of 5 October 1961 Abolishing the Requirement of Legalisation for Foreign Public Documents).

MATERIAL CHANGES TO THE PROSPECTUS OF A UCITS FUND
Article 3. (OG 80/26)
(1) Together with the application for issuing approval for material changes to the prospectus of a UCITS fund from Article 192, paragraph 1 of the Act, the management company is obliged to attach the management board's decision on adopting the changes to the prospectus, in which it will indicate in which parts the prospectus is changed and in what manner, together with a declaration that the remaining parts remain unchanged.

(2) The management company is obliged to specify in the notice of material changes to the prospectus, which is published on the company's website in accordance with Article 193, paragraph 2 of the Act, as well as in the notice delivered to investors in accordance with Article 193, paragraph 3 of the Act, which material changes to the prospectus have been made, the date on which the material changes to the Prospectus enter into force in accordance with Article 193, paragraph 6 of the Act, and to warn of the investor's right under Article 193, paragraph 4 of the Act.

(3) The management company is obliged to deliver the notice of material changes to the prospectus from Article 193, paragraph 3 of the Act to investors in electronic form or in printed form, if the investor has requested receipt of information and/or documents in printed form, in accordance with Article 112 of the Act.

IMMATERIAL CHANGES TO THE PROSPECTUS OF A UCITS FUND
Article 4.
(1) The management company shall, together with the updated prospectus published in accordance with Article 194, paragraph 1 of the Act, simultaneously publish a notice that the prospectus has been updated and what the immaterial changes to the prospectus consist of.

(2) The management company shall deliver the updated prospectus and the accompanying notice, in which it specifies which data have been updated in the sense of immaterial changes, to the Agency electronically in accordance with Article 194, paragraph 2 of the Act.

CHANGES TO THE MANDATORY CONTENT OF THE RULES OF A UCITS FUND
Article 5. (OG 80/26)
Together with the application for issuing approval for changing the mandatory content of the rules of a UCITS fund from Article 197 of the Act, the management company is obliged to attach the management board's decision on adopting the changes to the rules, in which it will indicate in which parts the rules are changed and in what manner, together with a declaration that the remaining parts remain unchanged and the consent of the supervisory board.

FINAL PROVISIONS
Article 6.
(1) In addition to the documentation from this Rulebook, the Agency may, during the processing procedure of the application, request other documentation which it deems necessary for deciding on the issuance of approval, including information prescribed by the law governing the prevention of money laundering and financing of terrorism.

(2) The management companies may submit the documentation from Article 2, paragraph 1, Article 3, paragraph 1, and Article 5 of this Rulebook in the manner and in accordance with the Technical Instruction for Using the System for Submitting Data in Electronic Form of the Croatian Financial Services Supervisory Agency reports.hanfa.hr and the Instruction for Filling Out Web Forms for Management Companies.

(3) It is considered that the management company has submitted the documentation from Article 2, paragraph 1, Article 3, paragraph 1, and Article 5 of this Rulebook at the moment when the documentation is recorded on the server for sending such documentation.

Article 7.
This Rulebook enters into force on the eighth day from the date of publication in the "Official Gazette".

FINAL PROVISION
The Rulebook on Amendments and Supplements to the Rulebook on Issuing Approval for Establishing and Managing a UCITS Fund and Amending the Prospectus and Rules of a UCITS Fund (Official Gazette, No. 41/17) entered into force on 1 May 2017.
Article 2.
This Rulebook will be published in the "Official Gazette" and enters into force on 1 May 2017.

TRANSITIONAL AND FINAL PROVISION
The Rulebook on Amendments and Supplements to the Rulebook on Issuing Approval for Establishing and Managing a UCITS Fund and Amending the Prospectus and Rules of a UCITS Fund (Official Gazette, No. 80/26) entered into force on 30 July 2026.
Article 4.
In the Rulebook on Amendments and Supplements to the Rulebook on Issuing Approval for Establishing and Managing a UCITS Fund and Amending the Prospectus and Rules of a UCITS Fund ("Official Gazette" No. 41/17), in Article 6, paragraph 2, the words: "Technical Instruction for Using the Service for Entering Web Forms and Submitting Documentation in Electronic Form" are replaced by the words:

"Technical Instruction for Using the System for Submitting Data in Electronic Form of the Croatian Financial Services Supervisory Agency reports.hanfa.hr".

Entry into Force
Article 5.
This Rulebook enters into force on the eighth day from the date of publication in the "Official Gazette".