LEGAL

Last Updated: April 2026

Welcome to the Legal Notice and Disclosures section of Humolli Capital Sh.p.k. (“Humolli Capital”, “we”, “us”, “our”). This page sets out the legal framework, disclaimers, and disclosures relevant to the use of our website, engagement with our firm, and interpretation of any data or content provided through this site or our communications. It governs your access to and use of the materials and services provided by Humolli Capital and establishes the terms on which such access is granted. By engaging with this website or any communications from Humolli Capital, you are deemed to accept and agree to the full scope of terms and limitations contained herein.

1. Corporate Identity and Legal Entity Disclosure

Humolli Capital is a legally incorporated entity under the jurisdiction of the Republic of Kosovo, organized as a limited liability company (Sh.p.k.), pursuant to Law No. 05/L-043 on Business Organizations. We maintain our principal place of business at [insert full address], and we operate primarily in the fields of private equity, venture capital, and strategic advisory services. We are not a bank, nor do we engage in retail financial services or consumer finance; all of our operations are focused on institutional, professional, or qualified parties. Any reference to our “firm,” “company,” or “entity” includes all subsidiaries, affiliates, joint ventures, and partnerships directly or indirectly controlled by Humolli Capital Sh.p.k.

2. No Offer or Solicitation

Nothing contained on this website or distributed in connection with Humolli Capital should be construed as an offer to sell, a solicitation of an offer to buy, or a recommendation to invest in any security, fund, investment product, or financial instrument. Any such offer or solicitation will be made only through official offering documents and only to qualified investors as defined by applicable law. Any investment described herein is illustrative and may not be currently available. Furthermore, nothing on this website should be relied upon for the purposes of making an investment decision. Decisions regarding investment must be made after carefully reviewing offering materials and consulting your own independent financial, legal, and tax advisers.

3. Regulatory Status and Disclosures

Humolli Capital is not licensed as an investment adviser, broker-dealer, or financial institution under the laws of Kosovo, the European Union, or any foreign jurisdiction, unless expressly stated otherwise. Our firm operates as a principal investor and adviser to its own private investment vehicles and occasionally provides services to governmental or institutional partners in strategic engagements. Any regulatory disclosures required under the Investment Funds Law, the Law on Public Procurement, or the Law on Prevention of Money Laundering and Terrorist Financing are strictly adhered to as applicable. We make no representation that we are authorized to offer services in any jurisdiction where such offering would require licensing or registration, unless duly authorized to do so.

4. Confidentiality and Proprietary Content

All materials available on this website, including but not limited to documents, videos, financial models, investment theses, branding, text, layout, databases, photographs, and graphics, are the proprietary intellectual property of Humolli Capital or its content providers and are protected under local and international copyright, trademark, and trade secret laws. Use of these materials beyond personal viewing is strictly prohibited. You may not reproduce, store, transmit, distribute, license, sell, publicly display, or use the content in any way without express prior written consent from Humolli Capital. All rights not expressly granted are reserved.

5. Forward-Looking Information Disclaimer

This website may contain forward-looking statements, projections, or forecasts regarding future events, strategies, markets, or economic conditions. Such statements involve risks, assumptions, and uncertainties and are not guarantees of future performance. Forward-looking language includes terms like “expect,” “plan,” “believe,” “intend,” “anticipate,” “may,” “could,” “will,” and similar expressions. Actual results may differ materially from those expressed or implied due to market volatility, regulatory changes, geopolitical events, or other externalities. Humolli Capital disclaims any duty to update forward-looking statements except as required by law.

6. Website Use and User Obligations

By accessing this website, you agree not to engage in any activity that interferes with the proper functioning of the website, circumvents security features, or attempts to gain unauthorized access to any systems, data, or content. Users must not use any automated systems, bots, spiders, or scrapers without written permission. You must not transmit viruses or any malicious code. Any violation of these terms may result in termination of access and potential legal action under Kosovo’s criminal and civil codes.

7. Jurisdiction and Governing Law

This website, including its terms of use and all content herein, is governed by and construed in accordance with the laws of the Republic of Kosovo, without regard to conflict-of-laws principles. Any disputes arising from or related to this website or its contents shall be exclusively adjudicated in the competent courts of Prishtina, Kosovo. Users hereby irrevocably submit to the personal jurisdiction of said courts and waive any objections based on venue or forum non conveniens.

8. Indemnification Clause

You agree to indemnify, defend, and hold harmless Humolli Capital, its affiliates, employees, managers, directors, advisors, and agents from and against any and all claims, liabilities, damages, losses, costs, and expenses (including legal fees) arising out of or in connection with your access to or use of the website, your breach of any representations or warranties under these legal terms, or any third-party claims related to your conduct.

9. Data Protection and Privacy Compliance

Humolli Capital is committed to protecting your personal information in accordance with the Law on Protection of Personal Data in Kosovo and, where applicable, the General Data Protection Regulation (GDPR) of the European Union. Information collected through this site is limited to technical and engagement data and is processed solely for business, compliance, or marketing functions. We do not sell or rent personal data to third parties. Please consult our Privacy Policy for detailed disclosures, rights of data subjects, and contact methods for exercising such rights.

10. Anti-Money Laundering (AML) Policy

In accordance with Kosovo’s AML and CFT legislation, Humolli Capital implements stringent internal policies and procedures to prevent illicit financial flows. We conduct due diligence, risk assessments, and ongoing monitoring for all counterparties, including clients, investors, suppliers, and partners. We reserve the right to refuse service or terminate relationships if AML policies are breached or if a counterparty poses a reputational or regulatory risk.

11. Know Your Customer (KYC) Requirements

All potential investors, co-investors, vendors, contractors, and advisory clients are subject to KYC protocols. These may include, but are not limited to, submission of identity documents, beneficial ownership disclosures, proof of funds, and verification against international sanctions or watch lists. These checks are mandatory and non-negotiable, and Humolli Capital reserves the right to suspend, delay, or deny any engagement pending KYC clearance.

12. Risk Factors

Investments in private equity, venture capital, infrastructure, and similar asset classes are inherently speculative, illiquid, and subject to a variety of risks, including but not limited to market risk, credit risk, political risk, legal risk, and operational risk. Investors may lose all or part of their capital. Diversification, while helpful, cannot eliminate risk entirely. You should not invest unless you can bear the complete loss of the invested amount. Nothing on this website alters this fundamental risk profile.

13. Third-Party Content and Links

This website may contain links to or references to third-party websites, content, or resources. Such links are provided for informational purposes only and do not imply endorsement or responsibility for the content or practices of such third parties. We make no warranties or representations regarding their accuracy, legality, or security. Users should consult the terms of those sites independently before engaging.

14. Performance Data Disclaimer

Any financial performance data shown on this website is for illustrative purposes only and should not be relied upon as indicative of future returns. Past performance is not a guarantee of future results. Any internal rate of return (IRR), multiple on invested capital (MOIC), or other metrics shown may not reflect actual investor outcomes due to fees, timing of contributions and distributions, or portfolio changes.

15. Use of Trademarks and Branding

The name “Humolli Capital,” its logo, brand assets, slogans, and proprietary phrases are protected trademarks and service marks of Humolli Capital Sh.p.k. Unauthorized use, reproduction, or impersonation of the brand or its affiliated investment products is strictly prohibited and subject to civil liability and potential criminal sanction.

16. Conflicts of Interest Management

We maintain internal policies to identify, manage, and where necessary disclose potential conflicts of interest in accordance with applicable laws and ethical standards. These include, without limitation, conflicts arising from relationships with portfolio companies, advisory roles, affiliated entities, and co-investment structures. Full disclosures are made when required, and structural barriers ("Chinese walls") may be established to mitigate risk.

17. Website Availability and Maintenance

Humolli Capital does not guarantee uninterrupted access to this website and may suspend or modify its functionality at any time for maintenance, updates, or security reasons. We shall not be liable for any interruption, delay, or inability to access content due to technical issues, outages, or force majeure.

18. No Fiduciary Relationship

Your access to this website or receipt of any communication from Humolli Capital does not create any fiduciary duty or relationship between you and the firm. Unless expressly agreed in a formal written agreement, Humolli Capital assumes no fiduciary responsibility to any user, investor, or third party.

19. Tax Matters

We do not provide tax advice. Any references to tax treatment of investment structures or returns are general and may not apply to your specific situation. Investors should consult their own tax advisers to understand the implications of any investment or engagement with Humolli Capital.

20. Corporate Social Responsibility and ESG

While we may consider Environmental, Social, and Governance (ESG) factors in our investment process, such consideration does not imply any commitment to specific outcomes or compliance with ESG-specific regulations unless stated. Any ESG disclosures are made on a good-faith, voluntary basis unless legally mandated.

21. Use of Artificial Intelligence and Analytics

Humolli Capital may use automated systems, including AI-based analytics and algorithms, for internal analysis, deal flow, and market intelligence. These tools are not deterministic, may produce biased or inaccurate results, and are only supplementary to human decision-making. Reliance on such systems is at the user’s discretion and risk.

22. Intellectual Property Infringement Claims

If you believe that any content on this website infringes your intellectual property rights, please notify our Legal Department immediately by submitting a written claim including identification of the protected work, proof of ownership, and a detailed description of the alleged infringement.

23. Changes to Legal Terms

We may update or revise these Legal Terms at any time without notice. Continued use of the website after such updates constitutes acceptance of the revised terms. We encourage you to periodically review this page to ensure awareness of any changes.

24. Force Majeure

Humolli Capital shall not be held liable for any delay or failure to perform due to events beyond its reasonable control, including but not limited to acts of God, war, terrorism, labor shortages, cyberattacks, internet outages, government orders, or pandemics.

25. Language of Legal Documents

This legal page and all related documents shall be interpreted primarily in English. In the event of any conflict between the English version and any translated version, the English version shall prevail for all legal purposes.

26. Whistleblower Protection

Humolli Capital supports ethical conduct and transparency. Individuals with evidence of unethical, illegal, or noncompliant behavior by any employee, partner, or representative of Humolli Capital may report such concerns confidentially to our Compliance Office. Whistleblowers are protected under applicable labor and anti-retaliation laws.

27. Investor Suitability

Investment opportunities, if presented, are intended for “qualified investors” or “professional clients” as defined by applicable law. We reserve the right to screen and reject potential investors based on suitability assessments, risk appetite, or strategic alignment.

28. Sanctions and Export Control

Humolli Capital complies with all applicable sanctions regimes including those imposed by the United Nations, European Union, United States, and Republic of Kosovo. We do not engage with individuals or entities listed on sanctions registers and perform due diligence to enforce compliance.

29. Media and Public Statements

Only authorized representatives of Humolli Capital may make public statements, media appearances, or commentary on behalf of the firm. Unauthorized dissemination of firm-related information, including investment strategies or internal decisions, is strictly prohibited.

30. Survival of Terms

Provisions related to intellectual property, liability, indemnity, jurisdiction, and privacy shall survive any termination of your right to use the website. These provisions remain binding and enforceable even after cessation of engagement.

31. Investor Onboarding Protocols

Humolli Capital adheres to a rigorous and structured onboarding process for all prospective investors, co-investors, and strategic partners. This includes not only financial and legal verification steps but also a substantive evaluation of alignment with our institutional values, long-term investment philosophy, and operational integrity standards. We reserve the right to deny or defer onboarding where inconsistencies, reputational risks, or red flags are identified, whether arising from financial disclosures, ethical concerns, geopolitical exposure, or conflicts with our ESG policies. The onboarding process may include background checks, reference evaluations, legal compliance reviews, and the execution of binding agreements, all of which are prerequisites before any capital is accepted, funds are deployed, or interests are transferred.

32. Non-Circumvention and Non-Disclosure Agreement (NCNDA)

All parties engaging in business development, due diligence, or exploratory dialogue with Humolli Capital, whether formally mandated or not, are bound by non-circumvention and non-disclosure expectations—whether by contract or common law fiduciary principles. Any sharing of investment opportunities, co-investment strategies, or pipeline insights shall not be used by counterparties or intermediaries to bypass Humolli Capital in future transactions. Unauthorized disclosure, reproduction, or transmission of privileged or confidential information, even in informal settings, will be viewed as a material breach of professional conduct and subject to injunctive relief, damages, and reputational consequences.

33. Exclusivity Agreements and Deal Lockups

In certain circumstances, Humolli Capital may require exclusivity clauses or deal lockups during transaction negotiations, especially in competitive or time-sensitive deals. These agreements legally prohibit the counterparty from engaging with competing bidders, investors, or financing sources during a specified term. The duration, scope, and enforceability of such exclusivity periods are clearly defined in the relevant term sheets, memoranda of understanding, or heads of terms. Violating exclusivity may result in material breach claims, cost recovery demands, and the disqualification of counterparties from future transactions.

34. Side Letter Agreements

Humolli Capital may, at its discretion and subject to regulatory boundaries, enter into side letters or bilateral agreements with select investors, co-investors, or partners to reflect bespoke commercial arrangements, regulatory accommodations, or strategic incentives. These may include but are not limited to, modified fee structures, preferential co-investment rights, or bespoke reporting obligations. While side letters are valid only between the parties who execute them, we ensure they do not materially disadvantage or impair the rights of other stakeholders unless full transparency and legal parity is maintained.

35. Digital Platform Security and Access Control

All digital platforms maintained by Humolli Capital, including internal data rooms, CRM portals, or investor dashboards, are protected by industry-standard encryption, firewall protocols, and access restrictions. Unauthorized attempts to breach, penetrate, or manipulate these systems will be viewed as criminal intrusion and reported to appropriate regulatory, law enforcement, and cybersecurity agencies. Users are responsible for maintaining the confidentiality of their login credentials, and any unauthorized access stemming from negligent handling of such credentials will be deemed a breach of agreement.

36. Internal Code of Conduct

Humolli Capital’s personnel, whether full-time staff, contractors, or strategic advisors, are bound by an internal Code of Conduct which encompasses ethical investing, professional transparency, conflict avoidance, and duty of care principles. The firm enforces disciplinary procedures for misconduct, non-compliance, or violations of regulatory obligations. Our culture emphasizes not only legal compliance but moral and social accountability, especially in relation to governance, transparency, anti-corruption, and alignment with national development priorities.

37. Litigation and Dispute Resolution Policy

In the event that disputes arise between Humolli Capital and a third party—be it an investor, vendor, partner, or former employee—our preference is to resolve such matters amicably and through negotiation or mediation. However, where good-faith efforts fail, we reserve all legal rights to pursue resolution through litigation, arbitration, or administrative proceedings. The chosen method will be determined by the terms of engagement or underlying contractual agreements. All legal disputes will be governed by Kosovo law, and the courts of Prishtina will maintain exclusive jurisdiction unless otherwise agreed.

38. Force Majeure Events and Impact on Performance

Humolli Capital shall not be deemed in breach of its obligations, nor held liable for any delay, failure to perform, or inability to deliver on contractual commitments due to events classified as force majeure. This includes, without limitation, acts of war, terrorism, civil unrest, strikes, embargoes, epidemics, natural disasters, government action, market collapse, or other unforeseeable circumstances beyond the firm’s reasonable control. In such cases, we may invoke suspensions, extensions, or terminations of affected obligations, with appropriate notice provided to relevant stakeholders. Although there remains a wide spectrum of circumstances, this mostly relates to local business activities being affected in such jurisdictions as a result of political instability and such.

39. Environmental Compliance and Carbon Disclosure

While Humolli Capital is not mandated under law to disclose carbon usage or climate risk, we voluntarily align with global standards on environmental transparency where feasible. We assess the environmental impact of large-scale infrastructure investments, energy projects, or industrial holdings, and seek to mitigate adverse effects through technological upgrades, carbon offsets, or ESG-conscious portfolio reshuffling. Our disclosures on environmental metrics are published in good faith and do not constitute binding environmental guarantees unless embedded in transaction documents.

40. Private Placement Disclaimers

Where Humolli Capital or its affiliates issue private placement memoranda or offering materials, they are provided exclusively to sophisticated investors and institutional clients who meet eligibility criteria under applicable laws. Such materials are strictly confidential, non-transferable, and not for public distribution. Unauthorized forwarding, copying, or disclosure of placement materials is strictly prohibited and may result in liability for damages, rescission of investment rights, and disqualification from ongoing offerings.

41. Crisis Management and Contingency Planning

Our firm maintains an internal crisis management protocol designed to respond rapidly to unexpected events, whether arising from reputational incidents, regulatory changes, cybersecurity breaches, or market disruptions. Contingency plans include multi-scenario modeling, chain-of-command activation, and third-party advisory engagement to ensure operational continuity. These protocols are reviewed regularly to align with best practices in enterprise risk management.

42. Digital Communications and E-Mail Disclaimers

Any e-mail, document, or message sent by Humolli Capital or its representatives may contain confidential and privileged information. If you are not the intended recipient, you are prohibited from disclosing, copying, distributing, or using the contents. Unauthorized access or distribution of our communications will be prosecuted to the extent permitted by law. We reserve the right to monitor electronic communications for compliance and quality control purposes.

43. Prohibited Jurisdictions and Restricted Persons

Humolli Capital does not conduct business, directly or indirectly, with individuals, entities, or jurisdictions that are subject to international sanctions, embargoes, or trade restrictions. This includes but is not limited to countries sanctioned by the European Union, United States Treasury’s Office of Foreign Assets Control (OFAC), United Nations Security Council, or Kosovo’s own domestic sanctioning authorities. Any person identified on the OFAC Specially Designated Nationals (SDN) list, EU restrictive measures list, or equivalent, is strictly prohibited from engaging with our firm. We conduct continuous screening of all counterparties and reserve the right to terminate any agreement immediately upon identification of a prohibited link, whether discovered pre- or post-engagement. Knowingly assisting such persons, directly or through intermediaries, constitutes a breach of Kosovo law and may result in referral to competent legal authorities.

44. Succession Planning and Key-Person Risk

Humolli Capital maintains a succession planning framework for key executive functions and leadership roles, in alignment with industry best practices for governance continuity and fiduciary assurance. In the event of incapacitation, resignation, or death of a key person identified in fund documentation or client agreements, the firm will trigger its internal key-person protocol. This may involve temporary delegation of authority, appointment of interim managers, or external advisory support. Investors and partners will be notified where applicable, and appropriate revisions to management or contractual documents may follow. While every effort is made to ensure uninterrupted oversight, key-person events are by nature disruptive and may result in strategic reevaluation or temporary freezes of investment activity.

45. Beneficial Ownership Disclosure

In accordance with Kosovo’s Law on Prevention of Money Laundering and Financing of Terrorism, Humolli Capital requires all legal entities with which it engages—whether as investors, clients, suppliers, or partners—to disclose the natural persons who ultimately own or control the entity. Failure to provide accurate and timely beneficial ownership data will be treated as a material compliance breach and may result in denial of service or legal action. This disclosure requirement applies equally to trusts, nominee arrangements, shell entities, and cross-border holdings. We reserve the right to conduct verification through public registers, investigative firms, or regulatory portals, and to retain documentary evidence of such investigations.

46. Retention of Records and Archiving

Humolli Capital retains all business-critical documentation, communications, contracts, and client records for the legally mandated duration under Kosovo law and, where applicable, EU regulations such as MiFID II, AIFMD, and GDPR. These records include, but are not limited to, KYC files, investor correspondence, board meeting minutes, transaction documentation, and audit logs. Electronic and physical records are stored in secure environments with controlled access, audit trails, and redundancy protections. Requests for record access by data subjects or legal authorities must be submitted in writing, and release will be granted only where legally appropriate and not commercially prejudicial.

47. Ethical Procurement Policy

Our procurement processes are governed by principles of transparency, fairness, and anti-corruption. Humolli Capital selects service providers, vendors, and consultants through a competitive or value-driven process that prioritizes quality, cost-efficiency, ethical labor standards, and alignment with the firm’s ESG ethos. We require all vendors to certify that they do not engage in forced labor, child labor, environmental degradation, or corrupt practices. Any breach of our procurement code may result in termination of contracts, blacklisting from future engagements, and reporting to enforcement agencies.

48. Transparency in Deal Origination

All transactions pursued by Humolli Capital are subject to documentation of origin, purpose, and value justification. We require all introducers, brokers, or intermediaries to declare their financial interest, source of deal, and basis for recommendation. We do not entertain undisclosed introducer fees, off-the-record commissions, or backdoor solicitations. Full transparency in deal origination is critical not only to our due diligence but to preserving the integrity of our pipeline and investment filters. Violators of this principle will be excluded from participation in future mandates or closings.

49. Public Sector and Government Engagement

Where Humolli Capital engages with public institutions, state-owned enterprises, or regulatory authorities - whether through partnerships, tenders, advisory mandates, or co-investment arrangements - we adhere to the highest standards of probity and administrative law. All interactions are documented, and any transfer of value, lobbying, or influence is declared as per local governance frameworks. We do not offer or provide gifts, bribes, political donations, or improper inducements to secure advantage. Breaches of public sector integrity standards are grounds for immediate investigation and zero-tolerance enforcement.

50. Whistleblower Procedures and Anonymity Protections

We maintain a dedicated whistleblower protocol, enabling any employee, contractor, counterparty, or member of the public to report misconduct or unlawful activity anonymously. Submissions may be made through secure online forms, encrypted emails, or in-person disclosure, and are handled by a designated legal or compliance officer. Retaliation against whistleblowers is strictly prohibited and grounds for termination or legal prosecution. Investigations initiated through whistleblower reports are conducted discreetly, with findings reviewed at the highest level of internal governance.

51. Cybersecurity Governance Framework

Humolli Capital implements a robust cybersecurity governance framework, consistent with ISO/IEC 27001 standards. All access points to our systems are secured through multi-factor authentication, encrypted data transit, periodic penetration testing, and third-party vulnerability assessments. We maintain a cybersecurity incident response plan, overseen by designated data security officers, and all breaches (whether suspected or confirmed) are documented and investigated immediately. Clients and partners will be notified in cases where a breach may compromise their data or contractual relationship.

52. Digital Identity Verification Standards

We utilize both manual and automated tools to verify the digital identity of investors, clients, and platform users. Verification protocols include biometric checks, video-KYC, ID verification, and liveness tests. We do not permit anonymous access to investor dashboards, confidential reports, or internal tools. Falsification of digital identity during onboarding or transaction processing constitutes a criminal offense under Kosovo’s digital signature and e-commerce laws, and will be referred to law enforcement.

53. Modern Slavery and Human Trafficking Statement

Humolli Capital maintains a zero-tolerance approach to modern slavery, forced labor, and human trafficking. We actively evaluate our supply chains and investment portfolio companies to identify and mitigate the risk of labor exploitation, especially in industries or geographies that present elevated risk factors. As a matter of policy, we do not invest in or contract with entities that do not maintain clear labor standards or cannot demonstrate compliance with international conventions such as the ILO core labor standards. Our contracts include explicit clauses requiring adherence to anti-slavery principles, and we periodically audit high-risk vendors and business partners to ensure that no form of coercion, servitude, or abuse exists within operational practices or employment relationships.

For more information on our Modern Slavery Policy, please read our Modern Slavery Statement

54. Remuneration Policy and Pay Governance

Humolli Capital’s remuneration policies are structured to align performance incentives with long-term institutional goals, regulatory compliance, and ethical risk-taking behavior. Compensation for executives and investment professionals includes fixed salaries, performance-based bonuses, and long-term carried interest, but is subject to clawback provisions in the event of misconduct or gross negligence. All compensation arrangements are reviewed periodically by an independent remuneration committee or external auditor to ensure proportionality, gender equity, and transparency, especially in cases involving the distribution of profits derived from public or developmental capital sources.

55. Board Oversight and Decision-Making Authority

The firm is governed by a board of directors or managing partners who retain final decision-making authority over capital allocation, risk frameworks, strategic exits, and corporate governance decisions. Where delegated authority exists (for example, within investment committees or regional leadership units) these bodies are subject to clearly defined mandates, conflict disclosure requirements, and escalation procedures. Minutes of board meetings are documented, archived, and reviewed to ensure proper oversight, risk awareness, and alignment with investor interests.

56. Ethical Marketing and Communications Policy

Humolli Capital maintains strict guidelines on marketing, communications, and promotional activity. All outward-facing content, including pitch decks, social media, press releases, and webinars, must be approved by a compliance officer and communications director to ensure factual accuracy, legal compliance, and brand integrity. We prohibit misleading performance claims, testimonials not supported by documentation, or exaggeration of firm capabilities. Any third-party content or logos featured in our materials are used only with express written permission. Breaches of this policy are considered reputational risks and are treated accordingly.

57. Internal Audit and Self-Assessment Protocols

Our internal audit function is empowered to review any process, department, or transaction within the firm. Internal audit reports are reviewed by senior management or the board and may result in corrective action plans, risk reclassifications, or remedial training. These assessments cover operational efficiency, financial integrity, cybersecurity, compliance adherence, and investment process transparency. Findings are not made public unless required by law but form a key part of our institutional governance record.

58. Licensing and Fund Registration Disclosures

Humolli Capital does not currently operate regulated investment funds under the AIFMD, UCITS, or any other fund directive unless specifically stated in the relevant jurisdiction. Any fund, SPV, or investment vehicle mentioned on this website is illustrative and does not imply registration with or supervision by financial regulators in Kosovo or abroad. All such entities are subject to separate offering documents, which must be reviewed carefully by qualified investors and legal counsel before participation. Investors should assume that the funds are private placements subject to limited liquidity, disclosure, and redemption rights.

59. Fee Transparency and Cost Disclosure

Fee structures applied to any transaction or investment strategy are disclosed fully in relevant legal documentation. These may include management fees, performance fees, administrative charges, or third-party advisory costs. All fees are calculated on a pre-agreed basis and clearly articulated to investors prior to capital commitment. We do not charge hidden fees, retroactive markups, or spread-based costs unless clearly defined in fund formation documents or side letters. Questions regarding any aspect of fees may be directed to our finance or investor relations departments.

60. Tax Compliance and Withholding Obligations

Humolli Capital complies with all applicable tax reporting, withholding, and disclosure obligations under Kosovo law and applicable cross-border tax treaties. We may be required to withhold tax on certain payments to non-resident investors or counterparties, including interest, dividends, or capital gains, as dictated by local statutes or double taxation agreements. We may provide personal tax advice however we recommend that all investors and clients seek independent tax counsel to understand the implications of their investments with us.

61. Transparency in Political and Governmental Dealings

We ensure full disclosure of our financial interests, avoid conflicts of interest, and adhere to Kosovo’s procurement and anti-corruption statutes. Any interactions with public officials are subject to internal reporting and approval mechanisms, and gifts or hospitality extended are strictly within permitted legal and ethical boundaries.

62. Record of Regulatory Correspondence

All regulatory inquiries, audits, inspections, or information requests received from Kosovo authorities or international regulators are logged in our compliance record system. These include correspondence with the Central Bank of Kosovo, Financial Intelligence Unit, Tax Administration, and relevant European supervisory bodies. We fully cooperate with such authorities, and our policy is to respond within the legal timeframe provided by statute or formal request.

63. Public Interest Commitment

Humolli Capital commits to investing in sectors and businesses that produce meaningful social and economic benefits to Kosovo and the Western Balkans. This includes energy transition, infrastructure, SME development, education, and agriculture. While we operate for profit, we recognize the long-term societal value created by strengthening local enterprise, formalizing employment, and promoting transparent capital markets. These values guide both our investment selection and portfolio management philosophy.

64. Prohibition on Insider Trading

Humolli Capital enforces a strict policy prohibiting the misuse of material, non-public information obtained during the course of diligence, board participation, or strategic advisory work. Employees and partners are prohibited from trading in the securities of any company where they possess privileged or confidential information, and all insider trading concerns are referred to our legal and compliance teams for escalation. Violation of this policy may lead to criminal liability, regulatory penalties, and immediate termination.

65. Joint Venture and Partnership Ethics

Where Humolli Capital enters joint ventures or co-managed investment vehicles, we ensure that partnership agreements include clauses on governance, dispute resolution, revenue sharing, and exit rights. We do not engage in partnerships that expose the firm to reputational or legal risk, nor do we tolerate opaque ownership structures or governance ambiguity in any joint arrangement. All partners are expected to meet the same due diligence standards imposed on portfolio companies.

66. Exit Strategy and Divestment Planning

Every investment made by Humolli Capital is accompanied by a clearly articulated exit thesis, whether by strategic sale, IPO, recapitalization, or redemption. Exit scenarios are modeled at the outset of each investment and periodically reassessed as market conditions evolve. We are committed to responsible divestment practices, including proper handover to successors, fair treatment of minority stakeholders, and compliance with regulatory closure requirements. Opportunistic exits are balanced with long-term reputational impact.

67. Social Media and Online Engagement

Employees, affiliates, and consultants of Humolli Capital are prohibited from representing the firm on social media platforms without explicit authorization. All online content related to the firm’s business, partnerships, performance, or personnel must be vetted and approved by the communications department. Unauthorized posts, leaks, or speculative commentary, even when made in a personal capacity, may result in disciplinary or legal action.

68. Legal Notice Interpretation Clause

The headings, section titles, and formatting used in this Legal Notice are for reference only and do not affect its interpretation. If any provision herein is found to be invalid or unenforceable, such invalidity shall not affect the remaining provisions, which will continue in full force and effect. Failure by Humolli Capital to enforce any provision does not constitute a waiver of that or any other provision.

69. Surveillance and Monitoring

To ensure operational security and compliance, Humolli Capital reserves the right to monitor, audit, and record all digital communications, workstation activity, and access logs on its internal systems. This includes employee emails, document editing history, access to confidential investor data, and interactions with financial software platforms. Monitoring is performed in accordance with privacy law and internal policies.

70. Technology Partner Compliance

All third-party service providers and technology vendors engaged by Humolli Capital must demonstrate compliance with relevant data protection, cybersecurity, and ethical sourcing standards. Contracts include clauses on data breach notifications, service level agreements, and audit rights. Providers that fail to meet these obligations may be terminated and held liable for losses incurred.

71. Language of Legal Engagements

All official legal documents issued by or executed with Humolli Capital are drafted in English and/or Kosovan Albanian. In the event of inconsistency or ambiguity, the English version shall prevail unless otherwise explicitly agreed in the executed instrument. Parties are responsible for obtaining translations at their own cost if required for local regulatory filings.

72. Acceptance and Consent

By accessing this website, engaging with our firm, or entering into any dialogue or transaction (whether digitally, in writing, or in person) you acknowledge that you have read, understood, and agreed to the terms outlined in thisLegal Notice. These terms are binding and represent the complete legal framework governing your interaction with Humolli Capital, unless superseded by a duly executed contract.

Contact Information for Legal Matters

For all legal correspondence, official notices, or data requests, please direct communications to:

H.C Legal Department
Humolli Capital Sh.p.k.
legal@humollicapital.com