Rulebook on the Content and Method of Keeping the Register of UCITS Fund Management Companies and UCITS Funds

Croatian Financial Services Supervisory Agency, 10000 Zagreb, Franje Račkoga 6, p.p. 164, Croatia t: 01 6173 200, f: 01 4811 507, e: info@hanfa.hr, OIB: 49376181407, MB: 02016419, w: www.hanfa.hr

RULEBOOK ON THE CONTENT AND METHOD OF KEEPING THE REGISTER OF UCITS FUND MANAGEMENT COMPANIES AND UCITS FUNDS ("Narodne novine", No. 41/17 and 34/22 – unofficial consolidated text)

INTRODUCTORY PROVISIONS

Article 1. (1) This Rulebook regulates the content and method of keeping the register of UCITS fund management companies to which the Croatian Financial Services Supervisory Agency (hereinafter: the Agency) has issued a license for operation and UCITS funds to which the Agency has issued a license for establishment and management. (2) The register referred to in paragraph 1 of this Article (hereinafter: the register) is kept in electronic form and in accordance with the provisions of this Rulebook, and certain data from the register are available on the Agency's official website.

Article 2. Entry and amendment of data in the register are carried out on the basis of received data and notifications from UCITS fund management companies and ex officio.

DATA ENTERED INTO THE REGISTER

Article 3. (NN 34/22) (1) The following data about the UCITS fund management company (hereinafter: management company) are entered into the register:

1. company name,
2. registered office,
3. OIB (Tax Identification Number),
4. subject identification number (MBS),
5. date of issuance of the license for operation,
6. date of withdrawal of the license for operation,
7. share capital,
8. activities,
9. date of issuance of the license for operation in relation to each activity from Article 13, paragraph 1, point 1, subpoints b), c) and d) and Article 13, paragraph 1, point 2, subpoints a), b) and c) of the Act,
10. date of withdrawal of the license for operation in relation to each activity from Article 13, paragraph 1, point 1, subpoints b), c) and d) and Article 13, paragraph 1, point 2, subpoints a), b) and c) of the Act,
11. date of adoption of the decision establishing the cessation of validity of the license for operation,
12. contact details (email, website, telephone, fax),
13. board of directors or executive directors (first and last name, position and authority for representation, OIB, residence, date of birth, telephone, email, date of issuance of license, date of assumption of office, date of termination of office, date of withdrawal of license),
14. procurists (first and last name, position and authority for representation, OIB, residence, date of birth, telephone, email, date of assumption of office, date of termination of office),
15. supervisory board or administrative board (first and last name, position, OIB, residence, date of birth, telephone, email, date of assumption of office, date of termination of office),
16. auditor of the management company (company name, registered office, OIB, telephone, email),
17. members of the management company (company name/name or first and last name, OIB, registered office or residence, date of birth, telephone, email, ownership share in percentage),
18. deletion of the management company,
19. unique identifier LEI. (2) The data from paragraph 1, points 1, 2, 3, 8, 12, and 19 of this Article are publicly published in accordance with Article 1, paragraph 2 of this Rulebook.

Article 4. (NN 34/22) (1) The following data about the UCITS fund (hereinafter: fund) are entered into the register:

1. fund name,
2. company name of the management company of the fund,
3. OIB,
4. ISIN code (number),
5. date of approval for establishment and management of the fund,
6. date of withdrawal of approval for management of the fund,
7. date of cessation of fund operations,
8. depositary of the fund (company name, registered office, OIB),
9. auditor of the fund (company name, registered office, OIB, telephone, email),
10. country in which the fund was established if established outside the Republic of Croatia,
11. liquidator of the fund (company name or first and last name, date of assumption of office, OIB, registered office or residence, telephone, email),
12. status change of the fund,
13. deletion of the fund,
14. unique identifier LEI. (2) If a management company manages multiple UCITS funds, all UCITS funds managed by that company are entered and published in the register. (3) The data from paragraph 1, points 1, 2, 4, and 14 of this Article are publicly published in accordance with Article 1, paragraph 2 of this Rulebook.

DATA THE AGENCY ENTERS EX OFFICIO

Article 5. The Agency ex officio enters into the register in Article 3 and Article 4 of this Rulebook: – the date of withdrawal of the license for operation of the management company, – the date of withdrawal of the license for operation in relation to each activity from Article 13, paragraph 1, point 1, subpoints b), c) and d) and Article 13, paragraph 1, point 2, subpoints a), b) and c) of the Act, – the date of adoption of the decision establishing the cessation of validity of the license for operation, – the date of withdrawal of the license from a member of the board of directors or executive director, – deletes the management company from the register, – the date of withdrawal of approval for management of the UCITS fund, – enters the liquidator of the fund when appointed, – deletes the fund from the register.

DELIVERY OF DATA

Article 6. (1) The management company is obliged to deliver to the Agency, within 30 days from the date of issuance of the license for operation, the data from Article 3 of this Rulebook, which the Agency does not enter ex officio. (2) The management company enters accurate and up-to-date data from Article 3 of this Rulebook electronically and delivers them on the prescribed form from Appendix 1 of this Rulebook, and the last page of the form from Appendix 1 of this Rulebook must be signed by persons authorized to represent the management company. (3) The management company is obliged to deliver to the Agency, within 30 days from the date of issuance of approval for establishment and management of the UCITS fund, the data from Article 4 of this Rulebook, which the Agency does not enter ex officio, in the manner prescribed by Article 8 of this Rulebook.

AMENDMENT OF DATA

Article 7. (1) Data entered into the register must be accurate and up-to-date. If there is a change in the data from Article 3 or Article 4 of this Rulebook, which the Agency does not enter ex officio, the management company is obliged to notify the Agency without delay and submit documentation proving the mentioned change along with the notification. (2) The management company is obliged to notify the Agency without delay about any incorrect data observed in the register and submit the accurate data for entry into the register with documentation proving the mentioned change. (3) The management company is obliged to deliver the notification and data from paragraphs 1 and 2 of this Article to the Agency in the manner prescribed by Article 8 of this Rulebook.

DELIVERY BY ELECTRONIC MEANS

Article 8. (1) The management company is obliged to deliver to the Agency the data from Article 4 of this Rulebook, which the Agency does not enter ex officio, and the data and documentation from Article 7 of this Rulebook in the manner and in accordance with the Technical Instruction for the use of the WEB form entry service and delivery of documentation in electronic form and the Instruction for filling out WEB forms for management companies and the Instruction for filling out WEB forms for funds. (2) It is considered that the management company has delivered the data and documentation from Article 4 and Article 7 of this Rulebook at the moment when the data and documentation are recorded on the server for sending such documentation. (3) In justified cases of technical impossibility of delivery or delivery that was not correctly executed (e.g., system failure, inability to read received documentation, etc.) in the manner prescribed by paragraph 1 of this Article, the management company is obliged to deliver the data and documentation in written form, directly or by mail, for the purpose of timely reporting. The management company is obliged to deliver the data and documentation in the manner prescribed by paragraph 1 of this Article as soon as the reasons for the impossibility of such delivery cease, and no later than within 8 days from the cessation of circumstances that caused the technical impossibility of such delivery. (4) The Agency may, if necessary, request the management company to deliver certain documentation prescribed by this Rulebook in the original or certified copy, regardless of the electronic delivery performed.

TRANSITIONAL AND FINAL PROVISIONS

Article 9. The existing register of UCITS fund management companies and UCITS funds of the Republic of Croatia becomes an integral part of the register from Article 1 of this Rulebook.

Article 10. With the entry into force of this Rulebook, the Rulebook on the content and method of keeping the register of UCITS fund management companies and UCITS funds ("Narodne novine", No. 90/13) ceases to be valid.

Article 11. This Rulebook will be published in "Narodne novine" and enters into force on May 1, 2017.

Rulebook on Amendments and Supplements to the Rulebook on the Content and Method of Keeping the Register of UCITS Fund Management Companies and UCITS Funds ("Narodne novine" No. 34/22), entered into force on March 24, 2022.

TRANSITIONAL AND FINAL PROVISIONS

Article 5. (1) The management company is obliged to deliver data on the unique LEI identifier from Articles 1 and 2 of this Rulebook to the Agency within 30 days from the entry into force of this Rulebook. (2) This Rulebook enters into force on the eighth day from the date of publication in "Narodne novine".

APPENDIX 1. (NN 34/22) CROATIAN FINANCIAL SERVICES SUPERVISORY AGENCY REGISTER OF MANAGEMENT COMPANIES AND UCITS FUNDS DATA FOR THE MANAGEMENT COMPANY: This Appendix 1 of the form is filled out and delivered to the Agency in the manner and within the time limit prescribed by Article 6 of this Rulebook when the Agency issues a license for operation to the company.

Company name: Registered office: OIB: Subject identification number (MBS): LEI:

Date of issuance of the license for operation: Share capital: Activities: Date of issuance of the license for operation in relation to each activity from Article 13, paragraph 1, point 1, subpoints b), c) and d) and Article 13, paragraph 1, point 2, subpoints a), b) and c) of the Act Contact details: (email) (website) (telephone) (fax)

Board of Directors: 1. (first and last name) (position and authority for representation) (OIB) (residence) (date of birth) (telephone) (email) (date of issuance of license) (date of assumption of office) (date of termination of office) 2. (first and last name) (position and authority for representation) (OIB) (residence) (date of birth) (telephone) (email) (date of issuance of license) (date of assumption of office) (date of termination of office) 3. (first and last name) (position and authority for representation) (OIB) (residence) (date of birth) (telephone) (email) (date of issuance of license) (date of assumption of office) (date of termination of office)

Procurists: 1. (first and last name) (position and authority for representation) (OIB) (residence) (date of birth) (telephone) (email) (date of assumption of office) (date of termination of office) 2. (first and last name) (position and authority for representation) (OIB) (residence) (date of birth) (telephone) (email) (date of assumption of office) (date of termination of office)

Supervisory Board: 1. (first and last name) (position) (OIB) (residence) (date of birth) (telephone) (email) (date of assumption of office) (date of termination of office) 2. (first and last name) (position) (OIB) (residence) (date of birth) (telephone) (email) (date of assumption of office) (date of termination of office) 3. (first and last name) (position) (OIB) (residence) (date of birth) (telephone) (email) (date of assumption of office) (date of termination of office)

Executive Directors: 1. (first and last name) (position and authority for representation) (OIB) (residence) (date of birth) (telephone) (email) (date of issuance of license) (date of assumption of office) (date of termination of office) 2. (first and last name) (position and authority for representation) (OIB) (residence) (date of birth) (telephone) (email) (date of issuance of license) (date of assumption of office) (date of termination of office) 3. (first and last name) (position and authority for representation) (OIB) (residence) (date of birth) (telephone) (email) (date of issuance of license) (date of assumption of office) (date of termination of office)

Administrative Board 1. (first and last name) (position) (OIB) (residence) (date of birth) (telephone) (email) (date of assumption of office) (date of termination of office) 2. (first and last name) (position) (OIB) (residence) (date of birth) (telephone) (email) (date of assumption of office) (date of termination of office) 3. (first and last name) (position) (OIB) (residence) (date of birth) (telephone) (email) (date of assumption of office) (date of termination of office)

Auditor of the management company: (company name) (registered office) (OIB) (email)

Members of the management company: First and last name or company name First and last name or company name/name OIB Residence or registered office Ownership share (%) For natural persons: (first and last name) (date of birth) (telephone) (email)