natgillin/translations-raw huggingface dataset:
antallet af kreditvurderingsanalytikere, som er ansat af ansøgeren, og såfremt kreditvurderingsbureauet har en filial, antallet af kreditvurderingsanalytikere, der er ansat i hver filial
the number of rating analysts contracted to the applicant including, if the credit rating agency has a branch, the number of rating analysts contracted in each branch;
har et kreditvurderingsbureau planer om at etablere en ny filial, gives en beskrivelse af de former for forretningsaktivitet, som den forventes at udføre, dens fulde navn og adresse og tidsrammen for dens etablering
if a credit rating agency is planning to establish a new branch, a description of the type of business activities the new branch is expected to conduct, its full name and address and the timeframe for its establishment;
har et kreditvurderingsbureau planer om at udføre nye accessoriske tjenester, gives en beskrivelse af de nye tjenester og tidsrammen for deres iværksættelse
if a credit rating agency is planning to conduct any new ancillary services, a description of the new services and the timeframe for their commencement;
de indtægter, som kreditvurderingsbureauet har genereret i løbet af de seneste tre år fra både kreditvurderingstjenester og accessoriske tjenester i forhold til de samlede indtægter, fremlagt på regnskabsårsbasis
the revenue generated over the past three years by the credit rating agency from rating and ancillary services as a proportion of total revenue, presented on a financial year basis;
har kreditvurderingsbureauet en eller flere filialer, de indtægter, som hver filial har genereret i løbet af de seneste tre år i forhold til de samlede indtægter, fremlagt på regnskabsårsbasis.
if the credit rating agency has one or more branches, the revenue generated over the past three years by each branch as a proportion of total revenue, presented on a financial year basis.
Kreditvurderingsbureauer skal ligeledes give ESMA følgende oplysninger vedrørende de kreditvurderinger, de udsteder eller foreslår at udstede:
A credit rating agency shall also provide ESMA with the following information regarding the credit ratings it issues or proposes to issue:
den pågældende kreditvurderingsklasse
the class of credit ratings;
oplysninger om, hvorvidt kreditvurderingsbureauet udarbejder opfordrede eller uopfordrede kreditvurderinger eller begge
details of whether the credit rating agency produces solicited or unsolicited ratings or both;
for hver kreditvurderingsklasse, hvor mange års erfaring kreditvurderingsbureauet har med at udarbejde disse kreditvurderinger
for each class of credit rating, the number of years of experience it has in producing these ratings;
for hver kreditvurderingsklasse, den nuværende eller forventede andel af offentlige og private kreditvurderinger.
for each class of credit rating, the current or expected proportion of public ratings and private ratings.
Kreditvurderingsbureauer skal angive, om de har eller forventer at ansøge om status som eksternt kreditvurderingsinstitut (ECAI) i en eller flere medlemsstater, og de skal i givet fald angive den eller de relevante medlemsstater.
The credit rating agency shall indicate whether it currently holds, or expects to apply for, External Credit Assessment Institution (ECAI) status in one or more Member States and, if so, it shall identify the relevant Member State.
Generelle krav ved ansøgning om certificering
General requirements for the application for certification
Kreditvurderingsbureauer skal sikre, at deres ansøgning opfylder kravene i artikel 2-6 vedrørende ansøgningens format, erklæringen om korrekthed, kreditvurderingsklasse, antallet af ansatte og oplysningerne om deres politikker og procedurer, der skal gives til ESMA.
A credit rating agency shall ensure that its application complies with Articles 2 to 6 regarding the format of its application, the attestation of its accuracy, the class of credit ratings, number of employees and the policies and procedures provided to ESMA.
Systemisk betydning
Systemic importance
Kreditvurderingsbureauer skal give ESMA de i bilag XII fastsatte oplysninger om den systemiske betydning af deres kreditvurderinger og kreditvurderingsaktiviteter for de finansielle markeders finansielle stabilitet eller integritet i en eller flere medlemsstater.
A credit rating agency shall provide ESMA with the information set out in Annex XII regarding the systemic importance of its credit ratings and credit rating activities to the financial stability or integrity of the financial markets of one or more Member States.
DOKUMENTREFERENCER
DOCUMENT REFERENCES
(Artikel 2)
(Article 2)
Artikel i eller bilag til denne forordning
Article of, or Annex to, this Regulation
Kreditvurderingsbureauets referencenummer
Credit rating agency reference number
Dokumentets titel
Title of the document
Kapitel, afdeling eller side i dokumentet, hvor oplysningerne fremgår, eller årsag til at oplysningerne ikke gives.
Chapter or section or page of the document where the information is provided or reason why the information is not provided
Fulde navn
Full name
Etableringsland
Country of establishment
Hjemstedsadresse
Address of registered office
Oplysninger om den eller de relevante kontaktpersoner i forbindelse med ansøgningen:
With respect to the contact person(s) for the purpose of the application:
stilling
title;
telefonnummer.
telephone number.
Oplysninger om compliance officer:
With respect to the Compliance Officer:
Beskrivelse af kreditvurderingsbureauets forretningsaktiviteter, herunder accessoriske tjenester, og såfremt det har en eller flere filialer eller datterselskaber, de forretningsaktiviteter, der udføres af hver filial eller hvert datterselskab.
Description of the business activities the credit rating agency conducts, including ancillary services, and if it has one or several branches or subsidiaries, the business conducted by each branch or subsidiary
Identifikation af kreditvurderingsklassen i henhold til den i artikel 5 anførte klassificering, for hvilke kreditvurderingsbureauet ansøger om registrering.
Identification of the class of credit ratings according to the categories specified in Article 5 for which the credit rating agency applies to be registered
I givet fald identifikation af de regulerede markeder, hvor kreditvurderingsbureauet er børsnoteret.
Identification of the regulated markets where the credit rating agency is listed, if applicable
Regnskabsrapporter:
Financial reports:
oplysning om, hvorvidt kreditvurderingsbureauet er underlagt ekstern revision
indication on whether the credit rating agency is an audited entity;
er kreditvurderingsbureauet underlagt ekstern revision, den eksterne revisors navn og nationale registreringsnummer
if the credit rating agency is audited, name of the external auditor and national registration number of the external auditor;
dato for regnskabsårets afslutning.
date of the financial year end.
Antallet af ansatte (ikke medregnet filialernes ansatte) på ansøgningstidspunktet og ved afslutningen af de seneste tre regnskabsår, fordelt på følgende kategorier:
Number of employees (excluding employees located in branches) as at the date of application and as at the close of each of the three most recent financial years, reported in the following categories:
midlertidigt ansatte
temporary employees;
fastansatte med under fem års anciennitet
permanent employees with under five years’ service;
fastansatte med mindst fem års anciennitet.
permanent employees with five years’ or more service.
Har kreditvurderingsbureauet filialer, oplyses følgende for hver filial:
If a credit rating agency has branches, with respect to each branch:
fulde navn
full name;
juridisk status
legal status;
adresse
address; and
antallet af henholdsvis midlertidigt ansatte og fastansatte.
number of temporary employees and of permanent employees.
Liste over lande, hvis kreditvurderinger kreditvurderingsbureauet har til hensigt at validere.
List of countries from which the credit rating agency intends to endorse credit ratings
OPLYSNINGER OM EJERFORHOLD
INFORMATION TO BE PRESENTED WITH REGARD TO THE OWNERSHIP STRUCTURE
Oplysninger om kreditvurderingsbureauets ejere, jf. artikel 8, stk. 1, med følgende detaljeringsgrad:
Identification of the credit rating agency owners referred to in Article 8(1) with the following level of detail:
Kapitalandel
Percentage of capital
Typen af kapitalinteresse: direkte eller indirekte
Nature of the holding: direct or indirect
Andel af stemmerettigheder
Percentage of voting rights
Beskrivelse af de forretningsaktiviteter, som kreditvurderingsbureauets ejere udfører, jf. artikel 8, stk. 1:
Description of the business activities of the credit rating agency owners referred to in Article 8(1):
Oplysninger om forretningsaktiviteterne i de virksomheder, hvori de i artikel 8, stk. 1, anførte ejere har en kapitalinteresse, jf. artikel 8, stk. 2:
Identification of the business activities of the companies in which the owners referred to in Article 8(1) have an interest according to Article 8(2):
Virksomheder, hvori ejeren har en kapitalinteresse, jf. artikel 8, stk. 2.
Companies in which the owner has an interest according to Article 8(2)
Oplysninger om moderselskabets ejere, jf. artikel 8, stk. 3:
Identification of the owners of the parent undertaking referred to in Article 8(3):
Kreditvurderingsbureauer skal give følgende oplysninger om politikker og procedurer, jf. artikel 11, stk. 1:
A credit rating agency shall provide the following information regarding policies and procedures referred to in Article 11(1):
en beskrivelse af de ansattes opgaver og ansvarsområder
a description of the roles and responsibilities of the employees;
en beskrivelse af mekanismerne til at overvåge de relevante politikkers eller procedurers effektivitet
a description of the mechanisms to monitor the effectiveness of the policy or procedure;
antallet af ansatte og forholdet mellem antallet af midlertidigt ansatte og antallet af fastansatte
the number of employees and the ratio of temporary to permanent employees;
oplysninger om rapporteringsveje og -hyppighed
information on the reporting lines and the frequency of reporting; and
beskrivelse af samspillet mellem en bestemt funktion og de ansatte, der er direkte involveret i kreditvurderingsprocessen, og mellem denne funktion og enhver anden funktion.
a description of the interaction between the relevant function and employees directly involved in the rating process and between that function and any other functions.
Gennemføres de i punkt 1 i dette bilag anførte foranstaltninger på virksomhedsgruppeniveau, skal kreditvurderingsbureauer give ESMA en kopi af de relevante serviceniveauaftaler, som de har indgået eller foreslår at indgå med andre gruppemedlemmer, samt følgende oplysninger:
Where the arrangements referred to in point 1 of this Annex are carried out at group of undertakings level, a credit rating agency shall provide ESMA with a copy of relevant service level agreements that it has entered into, or proposes to enter into, with other group members, and the following information:
en beskrivelse af de relevante opgaver, der udføres af hver virksomhed i gruppen, herunder af virksomheder i tredjelande
a description of the relevant tasks carried out by each group undertaking, including undertakings located in third countries;
en klar beskrivelse af den virksomhed, der udfører opgaven, med angivelse af dens placering
a clear identification of the undertaking involved in performing the task, specifying its location;
oplysninger om rapporteringsveje og –hyppighed for hver relevant enhed og om, hvorledes oplysningerne indsamles fra hver enhed
information on the reporting lines and frequency of reporting of each entity involved and on the way information is collected from each entity; and
oplysninger om eventuelle særlige ressourcer, der befinder sig i Unionen.
information on any dedicated resources located in the Union.
Er der tale om menneskelige ressourcer, skal kreditvurderingsbureauet angive den tid, der anvendes på den relevante funktion, udtrykt i fuldtidsækvivalenter.
In the case of human resources, a credit rating agency shall specify the time devoted to the function on the basis of full time equivalence.
Kreditvurderingsbureauer skal med hensyn til compliancefunktionen give følgende oplysninger:
With respect to the compliance function, a credit rating agency shall provide the following information:
politikker og procedurer for indberetning af oplysninger som beskrevet i afsnit C, punkt 5, i bilag I til forordning (EF) nr. 1060/2009
the policies and procedures on the reporting of information as described in point 5 of Section C of Annex I to Regulation (EC) No 1060/2009;
beskrivelse af, hvorledes de sikrer en uvildig compliancefunktion
a description on how it ensures the independence of the compliance function;
den seneste rapport fra compliance officer
the most recent report of the compliance officer;
en arbejdsplan for de næste tre år.
a work plan for the next three years.
Kreditvurderingsbureauer skal med hensyn til den interne kontrol, jf. afsnit A, punkt 10, i bilag I til forordning (EF) nr. 1060/2009, give følgende oplysninger:
With respect to the internal audit function carrying out the tasks described in point 10 of Section A of Annex I to Regulation (EC) No 1060/2009, a credit rating agency shall provide the following information:
en redegørelse for, hvorledes deres interne kontrolmetoder udvikles og finder anvendelse i overensstemmelse med de særlige forhold, der gælder for deres aktiviteter, og deres omfang, kompleksitet og risikoniveau
an explanation of how its internal audit methodology is developed and applied in accordance with the special features of its activities and their extent, complexity and risks;
OPLYSNINGER OM SELSKABSLEDELSE
INFORMATION TO BE PRESENTED WITH REGARD TO CORPORATE GOVERNANCE
Oplysninger om medlemmerne af administrations- eller tilsynsorganet eller andre udvalg, jf. artikel 12, stk. 3:
Identification of the members of the administrative or supervisory board and other committees as established in Article 12(3):
Organ i andre virksomheder, hvor vedkommende er medlem, med angivelse af status
Body of other undertakings where the person is a member and position
Oplysninger om de uafhængige medlemmer af administrations- eller tilsynsorganet, jf. artikel 12, stk. 3, og en redegørelse for deres uafhængighed, hvis de er uafhængige medlemmer, og for deres indgående kendskab og store erfaring på ledelsesniveau om markederne for strukturerede finansielle instrumenter, når kreditvurderingsbureauet ansøger om at udstede kreditvurderinger af strukturerede finansielle produkter, jf. afsnit A, punkt 2, i bilag I til forordning (EF) nr. 1060/2009:
Identification of the independent members of the administrative or supervisory board as established in Article 12(3) and justification of their independence if they are independent members and of their in-depth knowledge and experience at a senior level of the market in structured finance instruments, where the credit agency applies to issue credit ratings of structured finance products, according to Section A(2) of Annex I to Regulation (EC) No 1060/2009:
Identifikation af medlemmerne
Identification of the member
Erfaring med strukturerede finansielle instrumenter (ja/nej, i bekræftende fald forelægges dokumentation.
Experience in structured finance instruments (YES/NO) and if YES, provide justification
Kreditvurderingsbureauer skal give ESMA en kopi af følgende dokumenter, jf. artikel 12, stk. 4:
A credit rating agency shall provide to ESMA a copy of the following documents as established in Article 12(4):
de seneste tre referater af møderne i administrations- og tilsynsorganet
the last three sets of minutes of the meetings of the administrative and supervisory board;
det seneste referat af møderne i ethvert andet udvalg, herunder lønnings- eller strategiudvalget
the most recent minutes of the meetings of any other committees, such as the remuneration or strategy committees; and
de seneste tre udtalelser eller rapporter fra de uafhængige medlemmer til administrations- eller tilsynsorganet.
the last three opinions or reports presented to the administrative or supervisory board by the independent members.
EGENERKLÆRING
SELF DECLARATION
Hvert medlem af den øverste ledelse skal i en egenerklæring, jf. artikel 15, stk. 2, litra b), angive, om vedkommende er omfattet af én af følgende kategorier:
In the self-declaration to be provided under Article 15(2)(b), each member of the senior management shall state whether the relevant person falls under any of the following categories:
har været straffet i henhold til straffeloven
has been convicted of any criminal offence;
har været omfattet af eller er blevet indkaldt i forbindelse med en procedure af disciplinær art ved et tilsynsorgan eller ved et organ af strafferetlig art
has been subject to or has been notified of any proceedings of a disciplinary nature brought by a regulatory body or of a criminal nature;
har været tiltalt i forbindelse med en civil retssag vedrørende leveringen af finansielle tjenesteydelser, embedsforseelse, svig eller administrationen af en retlig enhed
has been subject to any adverse finding in civil proceedings in connection with the provision of financial services, misconduct, fraud or the management of a legal entity;
er bekendt med at have været genstand for en verserende eller tidligere undersøgelse foretaget af et tilsynsorgan eller et offentligt organ eller agentur
has to his or her knowledge been subject to any existing or previous investigation by any regulatory authority or government bodies or agencies;
har haft at gøre med en virksomhed, hvis registrering eller tilladelse er blevet trukket tilbage af et tilsynsorgan
has been involved with an undertaking whose registration or authorisation was withdrawn by a regulatory body;
er blevet nægtet ret til at udøve aktiviteter, der kræver registrering eller tilladelse fra et tilsynsorgan
has been refused the right to carry on activities which require registration or authorisation by a regulatory body;
har været involveret i administrationen af en virksomhed, der er gået konkurs eller har været under likvidation eller administration, mens vedkommende var tilknyttet virksomheden eller mindre end et år efter, at vedkommende ophørte med at være tilknyttet virksomheden
has been involved in the management of an undertaking which has gone into insolvency, liquidation or administration while this person was connected to the undertaking or within a year of the person ceasing to be connected to the undertaking;
har haft at gøre med en virksomhed, der har været genstand for en undersøgelse, eller hvis aktiviteter er blevet suspenderet af et tilsynsorgan, hvilket har resulteret i en tvangsforanstaltning
has been involved with an undertaking which was investigated or suspended by a regulatory body and which resulted in an enforcement action;
har været genstand for en undersøgelse, en suspension eller en straf fra et tilsynsorgan
has been investigated, suspended or sanctioned by a regulatory body;
er blevet frataget retten til at fungere som direktør eller til at varetage en ledende stilling, eller hvis ansættelse i eller anden tilknytning til en virksomhed er blevet ophævet som følge af påstande om embedsforseelse eller uregelmæssighed.
has been disqualified from acting as a director, disqualified from acting in any managerial capacity, dismissed from employment or other appointment in an undertaking as a consequence of allegations of misconduct or malpractice.
UDSTEDELSE OG REVISION AF KREDITVURDERINGER
ISSUANCE AND REVIEW OF CREDIT RATINGS
(artikel 16, 17 og 18)
(Articles 16, 17 and 18)
Oplysningerne om politikker og procedurer for så vidt angår udvikling, validering og kontrol af kreditbureauers kreditvurderingsmetoder, jf. artikel 16, stk. 2, litra a), skal omfatte:
The information regarding the policies and procedures referred to in Article 16(2)(a) regarding the development, validation and review of the CRA’s rating methodologies shall include:
ansvarsfordelingen og processerne for udvikling og sign off af kreditvurderingsmetoder, herunder oplysninger om sammensætningen af udvalgene vedrørende kreditvurderingsmetoder og procedurerne for udvælgelse af medlemmer
the responsibilities and process for rating methodology development and sign off, including details on the composition of the rating methodology committees and the procedures for members’ selection;
ansvarsfordelingen og processerne for kreditvurderingsmetoder, herunder:
the responsibilities and process for rating methodology, including:
kontrol og validering af en kreditvurderingsmetode
the verification and validation of a rating methodology;
validering af en kreditvurderingsmetode baseret på historiske data, herunder hvorledes resultaterne af back-testing tages til efterretning.
the validation of the rating methodology based on historical data, including how the results of the back-testing are taken into account.
Kreditvurderingsbureauet skal ligeledes inddrage resultaterne af en sådan validering eller back-testing for de seneste tre år, såfremt der foreligger kvantitative data
In addition, the credit rating agency shall also include the results of such validation/back-testing for the past three years, where quantitative data is available;
rapporteringen af resultatet af kontrollen af en kreditvurderingsmetode
the reporting of the outcome of the rating methodology review; and
gennemførelsen af en ændring af metode, model eller vigtig udgangshypotese.
the implementation of a change in methodology, model or key rating assumptions.
Oplysningerne om politikker og procedurer for så vidt angår udstedelse af kreditvurderinger, jf. artikel 17, stk. 1, litra c), skal omfatte:
The information regarding the policies and procedures referred to in Article 17(1)(c) regarding the issuance of credit ratings shall include:
hvert trin i proceduren for udarbejdelse af kreditvurderinger og proceduren for kontrol af dokumentationen fra de udstedere eller om de værdipapirer, der skal kreditvurderes.
the sequence of steps followed for the production of ratings; the process for reviewing the documentation of issuers or securities to be rated.
Dette skal omfatte ethvert benchmark, der anvendes til at fremme kontrollen
This shall include any benchmark used to facilitate the review;
en evaluering af de oplysninger, der mindst skal gives for at iværksætte og opretholde en kreditvurdering, herunder både offentlige og ikke-offentlige oplysninger
an assessment of the minimum information requirements to initiate and maintain a rating, including both public and non-public information;
kontrolmekanismerne for udstedelse af kreditvurderinger, herunder den rolle, som udsteder/formidler/investor/administrator spiller i denne proces
the controls mechanisms for the issuance of credit ratings, including the involvement of the issuer/arranger/investor/servicer within this process;
processen for indsamling, analyse og evaluering af de oplysninger, der anvendes med henblik på at fastsætte en kreditvurdering, herunder i givet fald anvendelse af analyser fra et andet kreditvurderingsbureau eller tredjeparter
the process for collation, analysis and assessment of the information used to determine a rating, including, where applicable, reliance on analysis by another credit rating agency or other third parties;
vurderingsanalytikernes rolle og ansvarsområder samt udvælgelsesprocessen for disse i forhold til specifikke værdipapirer
the role and responsibilities of rating analysts, as well as the process and procedures for their selection on specific securities;
godkendelsesprocessen for kreditvurderinger, herunder en beskrivelse af den rolle og de ansvarsområder, som de personer, der godkender kreditvurderingerne, har, samt de gældende processer og procedurer for deres udvælgelse
the rating approval process, including the identification of the role and responsibilities of the persons approving the ratings as well as the process and procedures for their selection;