natgillin/translations-raw huggingface dataset:
Medlemsstaterne stiller krav om, at investeringsselskaberne giver let adgang til oplysninger om kundernes finansielle instrumenter og midler for følgende: kompetente myndigheder, udpegede insolvensbehandlere og ansvarlige for afviklingen af nødlidende institutter.
Member States shall require investment firms, where the firm is obliged to enter into agreements that create such security interests, liens or rights of set-off, to disclose that information to clients indicating to them the risks associated with those arrangements.
De oplysninger, der skal gives adgang til, skal omfatte følgende:
Where security interests, liens or rights of set-off are granted by the firm over client financial instruments or funds, or where the firm has been informed that they are granted, they shall be recorded in client contracts and the firm's own accounts to make the ownership status of client assets clear, such as in the event of an insolvency.
tilknyttede interne regnskaber og registreringer, hvor man let kan identificere saldiene for midler og finansielle instrumenter, der opbevares for hver kunde
Member States shall require that investment firms make information pertaining to clients' financial instruments and funds readily available to the following entities: competent authorities, appointed insolvency practitioners and those responsible for the resolution of failed institutions.
hvis kunders midler opbevares af investeringsselskaber i overensstemmelse med artikel 4, nærmere oplysninger om de konti, hvor kunders midler opbevares, og om de relevante aftaler med disse selskaber
The information to be made available shall include the following:
hvis finansieringsinstrumenter opbevares af investeringsselskaber i overensstemmelse med artikel 3, nærmere oplysninger om de konti, der er oprettet hos tredjemand, og om de relevante aftaler med den pågældende tredjemand samt nærmere oplysninger om de relevante aftaler med disse investeringsselskaber
related internal accounts and records that readily identify the balances of funds and financial instruments held for each client;
oplysninger om tredjemand, der udfører tilknyttede (outsourcede) opgaver, og oplysninger om eventuelle outsourcede opgaver
where client funds are held by investment firms in accordance with Article 4, details on the accounts in which client funds are held and on the relevant agreements with those firms;
nøglepersoner i selskabet, der beskæftiger sig med tilknyttede processer, herunder dem, der er ansvarlige for at overvåge selskabets krav med hensyn til beskyttelse af kunders aktiver, og
where financial instruments are held by investment firms in accordance with Article 3, details on the accounts opened with third parties and on the relevant agreements with those third parties, as well as details on the relevant agreements with those investment firms;
aftaler, der er relevante for at fastslå kundernes ejendomsret til aktiver.
details of third parties carrying out any related (outsourced) tasks and details of any outsourced tasks
Artikel 3
key individuals of the firm involved in related processes, including those responsible for oversight of the firm's requirements in relation to the safeguarding of client assets; and
Deponering af kunders finansielle instrumenter
agreements relevant to establish client ownership over assets.
Medlemsstaterne tillader investeringsselskaber at deponere finansielle instrumenter, som de opbevarer på vegne af deres kunder, på en konto eller konti, som oprettes hos tredjemand, forudsat at selskaberne udviser passende dygtighed, omhu og hurtighed, når de udvælger, udpeger og med jævne mellemrum vurderer tredjemand, og med hensyn til ordningerne for opbevaring, herunder på en sikret måde, af detailkunders finansielle instrumenter.
Article 3
Medlemsstaterne kræver navnlig, at investeringsselskaberne tager hensyn til tredjemands sagkundskab og markedsomdømme og alle retlige krav angående opbevaring af finansielle instrumenter, som kan skade kundernes rettigheder.
Depositing client financial instruments
Hvis et investeringsselskab foreslår at deponere kunders finansielle instrumenter hos tredjemand, sikrer medlemsstaterne, at investeringsselskabet kun deponerer finansielle instrumenter hos en tredjemand i en jurisdiktion, hvor sikringen af finansielle instrumenter for en anden persons regning er underlagt en særlig regulering og et særligt tilsyn, og at den pågældende tredjemand er underlagt denne regulering og dette tilsyn.
Member States shall allow investment firms to deposit financial instruments held by them on behalf of their clients into an account or accounts opened with a third party provided that the firms exercise all due skill, care and diligence in the selection, appointment and periodic review of the third party and of the arrangements for the holding and safekeeping of those financial instruments.
Medlemsstaterne sikrer, at investeringsselskaberne ikke deponerer finansielle instrumenter, der opbevares på kunders vegne af tredjemand, i et tredjeland, der ikke regulerer opbevaringen og sikringen af finansielle instrumenter for en anden persons regning, medmindre en af følgende betingelser er opfyldt:
In particular, Member States shall require investment firms to take into account the expertise and market reputation of the third party as well as any legal requirements related to the holding of those financial instruments that could adversely affect clients' rights.
Arten af de finansielle instrumenter eller investeringsservicen i forbindelse med disse instrumenter kræver, at de deponeres hos tredjemand i det pågældende tredjeland.
Where an investment firm proposes to deposit client financial instruments with a third party, Member States shall ensure that this investment firm only deposits financial instruments with a third party in a jurisdiction where the safekeeping of financial instruments for the account of another person is subject to specific regulation and supervision and that third party is subject to this specific regulation and supervision.
Hvis de finansielle instrumenter opbevares på en professionel kundes vegne, anmoder kunden skriftligt selskabet om at deponere dem hos tredjemand i det pågældende tredjeland.
Member States shall ensure that investment firms do not deposit financial instruments held on behalf of clients with a third party in a third country that does not regulate the holding and safekeeping of financial instruments for the account of another person unless one of the following conditions is met:
Medlemsstaterne sikrer, at kravene i stk. 2 og 3 også finder anvendelse i tilfælde, hvor en tredjemand har uddelegeret en eller flere af sine opgaver vedrørende opbevaringen og sikringen af finansielle instrumenter til en anden tredjemand.
the nature of the financial instruments or of the investment services connected with those instruments requires them to be deposited with a third party in that third country;
Artikel 4
where the financial instruments are held on behalf of a professional client, that client requests the firm in writing to deposit them with a third party in that third country.
Deponering af kunders midler
Member States shall ensure the requirements under paragraph 2 and 3 shall also apply when the third-party has delegated any of its functions concerning the holding and safekeeping of financial instruments to another third-party.
Medlemsstaterne kræver, at investeringsselskaber straks, når de modtager kunders midler, placerer dem på en eller flere konti, der oprettes hos en af følgende:
Article 4
en centralbank
Depositing client funds
et kreditinstitut, der er meddelt tilladelse i henhold til Europa-Parlamentets og Rådets direktiv 2013/36/EU [7]
Member States shall require investment firms, on receiving any client funds, promptly to place those funds into one or more accounts opened with any of the following:
en bank, der er godkendt i et tredjeland
a central bank;
en godkendt pengemarkedsfond.
a credit institution authorised in accordance with Directive 2013/36/EU of the European Parliament and of the Council [7];
Første afsnit finder ikke anvendelse på kreditinstitutter, der er meddelt tilladelse efter direktiv 2013/36/EU, for så vidt angår indskud i disse institutter i nævnte direktivs forstand.
a bank authorised in a third country;
Medlemsstaterne kræver, at investeringsselskaber, som ikke deponerer kunders midler hos en centralbank, udviser passende dygtighed, omhu og hurtighed, når de udvælger, udpeger og med jævne mellemrum vurderer det kreditinstitut, den bank eller den pengemarkedsfond, midlerne placeres hos, og med hensyn til ordningerne for opbevaring af disse midler, og at de overvejer behovet for diversificering af de pågældende midler som led i deres due diligence.
a qualifying money market fund.
Medlemsstaterne sikrer, at investeringsselskaberne navnlig tager hensyn til institutternes eller pengemarkedsfondenes sagkundskab og markedsomdømme for at sikre beskyttelsen af kundernes rettigheder og alle retlige eller forskriftsmæssige krav eller markedspraksisser i forbindelse med opbevaring af kunders midler, som kan skade kundernes rettigheder.
The first subparagraph shall not apply to a credit institution authorised under Directive 2013/36/EU in relation to deposits within the meaning of that Directive held by that institution.
Medlemsstaterne kræver, at investeringsselskaberne sikrer, at kunderne giver deres udtrykkelige samtykke til placeringen af deres midler i en godkendt pengemarkedsfond.
Member States shall require that, where investment firms do not deposit client funds with a central bank, they exercise all due skill, care and diligence in the selection, appointment and periodic review of the credit institution, bank or money market fund where the funds are placed and the arrangements for the holding of those funds and they consider the need for diversification of these funds as part of their due diligence.
For at sikre, at denne ret til samtykke fungerer i praksis, skal investeringsselskaberne meddele kunderne, at midler placeret i en godkendt pengemarkedsfond ikke vil blive opbevaret i overensstemmelse med de krav til at beskytte kundernes midler, der er fastsat i dette direktiv.
Member States shall ensure, in particular, that investment firms take into account the expertise and market reputation of such institutions or money market funds with a view to ensuring the protection of clients' rights, as well as any legal or regulatory requirements or market practices related to the holding of client funds that could adversely affect clients' rights.
Medlemsstaterne kræver, at hvis et investeringsselskab deponerer kunders midler hos et kreditinstitut, en bank eller en pengemarkedsfond i den samme koncern som investeringsselskabet, skal det begrænse de midler, det deponerer hos en sådan koncernenhed eller kombination af sådanne koncernenheder, så midlerne ikke overstiger 20 % af samtlige de pågældende midler.
Member States shall require that investment firms ensure that clients give their explicit consent to the placement of their funds in a qualifying money market fund.
Et investeringsselskab kan undlade at overholde denne begrænsning, hvis det kan dokumentere, at kravet i første afsnit ikke er proportionalt med målet i betragtning af arten, omfanget og kompleksitetsgraden af selskabets forretninger, og også den sikkerhed, der tilbydes af de tredjemænd, som er omhandlet første afsnit, og herunder under alle omstændigheder det begrænsede omfang af de kundemidler, investeringsselskabet opbevarer.
In order to ensure this right to consent is effective, investment firms shall inform clients that funds placed with a qualifying money market fund will not be held in accordance with the requirements for safeguarding client funds set out in this Directive.
Investeringsselskaberne skal regelmæssigt tage den vurdering, der er foretaget i overensstemmelse med dette afsnit, op til revision og meddele deres oprindelige og reviderede vurderinger til de nationale kompetente myndigheder.
Member States shall require that, where investment firms deposit client funds with a credit institution, bank or money market fund of the same group as the investment firm, they limit the funds that they deposit with any such group entity or combination of any such group entities so that funds do not exceed 20 % of all such funds.
Artikel 5
An investment firm may not comply with this limit where it is able to demonstrate that, in view of the nature, scale and complexity of its business, and also the safety offered by the third parties considered in the previous subparagraph, and including in any case the small balance of client funds the investment firm holds the requirement under the previous paragraph is not proportionate.
Anvendelse af kunders finansielle instrumenter
Investment firms shall periodically review the assessment made in accordance with this subparagraph and shall notify their initial and reviewed assessments to NCAs.
Medlemsstaterne må ikke tillade, at investeringsselskaber indgår i ordninger for værdipapirfinansieringstransaktioner for så vidt angår finansielle instrumenter, som de opbevarer på en kundes vegne, eller at de på anden måde anvender sådanne finansielle instrumenter for egen regning eller for en anden persons eller en anden af selskabets kunders regning, medmindre følgende betingelser er opfyldt:
Article 5
Kunden har forud givet sit udtrykkelige samtykke til instrumenternes anvendelse på nærmere fastsatte vilkår, hvilket der skal foreligge klar skriftlig dokumentation for bekræftet med kundens underskrift eller tilsvarende.
Use of client financial instruments
Anvendelsen af kundens finansielle instrumenter er begrænset til de nærmere fastsatte vilkår, som kunden har givet sit samtykke til.
Member States shall not allow investment firms to enter into arrangements for securities financing transactions in respect of financial instruments held by them on behalf of a client, or otherwise use such financial instruments for their own account or the account of any other person or client of the firm, unless both of the following conditions are met:
Medlemsstaterne må ikke tillade, at investeringsselskaber indgår i ordninger for værdipapirfinansieringstransaktioner for så vidt angår finansielle instrumenter, som de opbevarer på en kundes vegne på en samlet konto hos tredjemand, eller at de på anden måde anvender finansielle instrumenter, der opbevares på en sådan konto, for egen regning eller en anden persons regning, medmindre mindst én af følgende betingelser ud over betingelserne i stk. 1 er opfyldt:
the client has given his prior express consent to the use of the instruments on specified terms, as clearly evidenced in writing and affirmatively executed by signature or equivalent, and
Hver kunde, hvis finansielle instrumenter opbevares sammen på en samlet konto, skal forud have givet sit udtrykkelige samtykke hertil, jf. stk. 1, litra a).
the use of that client's financial instruments is restricted to the specified terms to which the client consents.
Investeringsselskabet skal have indført systemer og kontroller, som sikrer, at kun finansielle instrumenter, der tilhører kunder, som forud har givet deres udtrykkelige samtykke hertil, jf. stk. 1, litra a), anvendes på en sådan måde.
Member States shall not allow investment firms to enter into arrangements for securities financing transactions in respect of financial instruments which are held on behalf of a client in an omnibus account maintained by a third party, or otherwise use financial instruments held in such an account for their own account or for the account of any other person unless, in addition to the conditions set out in paragraph 1, at least one of the following conditions is met:
Investeringsselskabets registre skal indeholde oplysninger om den kunde, efter hvis instrukser de finansielle instrumenter blev anvendt, og om antallet af de anvendte finansielle instrumenter, som tilhører hver kunde, der har givet sit samtykke hertil, så eventuelle tab kan fordeles korrekt.
each client whose financial instruments are held together in an omnibus account must have given prior express consent in accordance with point (a) of paragraph 1;
Medlemsstaterne sikrer, at investeringsselskaberne træffer passende foranstaltninger med henblik på at forhindre uautoriseret anvendelse af kundernes finansielle instrumenter for egen regning eller for en anden persons regning som f.eks.:
the investment firm must have in place systems and controls which ensure that only financial instruments belonging to clients who have given prior express consent in accordance with point (a) of paragraph 1 are so used.
indgåelse af aftaler med kunderne om foranstaltninger, der skal træffes af investeringsselskaberne, hvis kunden ikke har tilstrækkelig dækning på sin konto på afregningsdagen, såsom lån af modsvarende værdipapirer på vegne af kunden eller lukning af positionen
The records of the investment firm shall include details of the client on whose instructions the use of the financial instruments has been effected, as well as the number of financial instruments used belonging to each client who has given his consent, so as to enable the correct allocation of any loss.
nøje overvågning fra investeringsselskabets side af den forventede evne til at levere på afviklingsdagen og indførelse af afhjælpende foranstaltninger, hvis dette ikke kan lade sig gøre, og
Member States shall ensure that investment firms take appropriate measures to prevent the unauthorised use of client financial instruments for their own account or the account of any other person such as:
nøje overvågning og hurtig anmodning om ikke leverede, udstedte værdipapirer på afviklingsdagen og derefter.
the conclusion of agreements with clients on measures to be taken by the investment firms in case the client does not have enough provision on its account on the settlement date, such as borrowing of the corresponding securities on behalf of the client or unwinding the position;
Medlemsstaterne sikrer, at investeringsselskaberne indfører særlige ordninger for alle kunder med henblik på at sikre, at de, der låner kunders finansielle instrumenter, stiller tilstrækkelig sikkerhed, og at selskabet overvåger den fortsatte hensigtsmæssighed af sikkerhedsstillelsen og tager de nødvendige skridt til at bevare balancen i forhold til værdien af kundens instrumenter.
the close monitoring by the investment firm of its projected ability to deliver on the settlement date and the putting in place of remedial measures if this cannot be done; and
Medlemsstaterne sikrer, at investeringsselskaberne ikke indgår aftaler, der er forbudt i henhold til artikel 16, stk. 10, i direktiv 2014/65/EU.
the close monitoring and prompt requesting of undelivered securities outstanding on the settlement day and beyond.
Artikel 6
Member States shall ensure that investment firms adopt specific arrangements for all clients to ensure that the borrower of client financial instruments provides the appropriate collateral and that the firm monitors the continued appropriateness of such collateral and takes the necessary steps to maintain the balance with the value of client instruments.
Uhensigtsmæssig anvendelse af aftaler om sikkerhedsstillelse i form af overdragelse af ejendomsret
Member States shall ensure that investment firms do not enter into arrangements which are prohibited under Article 16(10) of Directive 2014/65/EU.
Medlemsstaterne kræver, at investeringsselskaberne på behørig vis tager stilling til — og er i stand til at dokumentere, at de har gjort dette — anvendelsen af aftaler om sikkerhedsstillelse i form af overdragelse af ejendomsret i forbindelse med forholdet mellem kundens forpligtelse over for selskabet og de kundeaktiver, der er omfattet af selskabets aftaler om sikkerhedsstillelse i form af overdragelse af ejendomsret.
Article 6
Ved stillingtagen til og dokumentation for hensigtsmæssigheden af anvendelsen af aftaler om sikkerhedsstillelse i form af overdragelse af ejendomsret, skal investeringsselskaberne tage hensyn til alle følgende faktorer:
Inappropriate use of title transfer collateral arrangements
om der kun er en meget svag forbindelse mellem kundens forpligtelse over for selskabet og anvendelsen af aftaler om sikkerhedsstillelse i form af overdragelse af ejendomsret, herunder om sandsynligheden af en kundes forpligtelse over for selskabet er lav eller ubetydelig
Member States shall require that investment firms properly consider, and are able to demonstrate that they have done so, the use of title transfer collateral arrangements in the context of the relationship between the client's obligation to the firm and the client assets subjected to title transfer collateral arrangements by the firm.
om omfanget af kundernes midler eller finansielle instrumenter omfattet af aftaler om sikkerhedsstillelse i form af overdragelse af ejendomsret langt overstiger kundens forpligtelse eller endog er ubegrænset, hvis kunden overhovedet har en forpligtelse over for selskabet, og
When considering, and documenting, the appropriateness of the use of title transfer collateral arrangements, investment firms shall take into account all of the following factors:
om alle kunders finansielle instrumenter eller midler bliver gjort til genstand for aftaler om sikkerhedsstillelse i form af overdragelse af ejendomsret, uden hensyntagen til hvilken forpligtelse de enkelte kunder har over for investeringsselskabet.
whether there is only a very weak connection between the client's obligation to the firm and the use of title transfer collateral arrangements, including whether the likelihood of a clients' liability to the firm is low or negligible;
Hvis der anvendes aftaler om sikkerhedsstillelse i form af overdragelse af ejendomsret, skal investeringsselskaberne over for professionelle kunder og godkendte modparter understrege risiciene ved og virkningen af en aftale om sikkerhedsstillelse i form af overdragelse af ejendomsret for kundens finansielle instrumenter og midler.
whether the amount of client funds or financial instruments subject to title transfer collateral arrangements far exceeds the client's obligation, or is even unlimited if the client has any obligation at all to the firm; and
Artikel 7
whether all clients' financial instruments or funds are made subject to title transfer collateral arrangements, without consideration of what obligation each client has to the firm.
Ledelsesordninger vedrørende beskyttelse af kunders aktiver
Where using title transfer collateral arrangements, investment firms shall highlight to professional clients and eligible counterparties the risks involved and the effect of any title transfer collateral arrangement on the client's financial instruments and funds.
Medlemsstaterne sikrer, at investeringsselskaberne udpeger en enkelt medarbejder med tilstrækkelige færdigheder og beføjelser med særligt ansvar for spørgsmål vedrørende selskabers overholdelse af deres forpligtelser vedrørende beskyttelse af kunders finansielle instrumenter og midler.
Article 7
Medlemsstaterne tillader, at investeringsselskaberne — under fuld overholdelse af dette direktiv — selv beslutter, om den udpegede medarbejder udelukkende skal beskæftige sig med denne opgave, eller om medarbejderen kan varetage ansvaret effektivt, samtidig med at vedkommende har yderligere ansvarsområder.
Governance arrangements concerning the safeguarding of client assets
Artikel 8
Member States shall ensure that investment firms appoint a single officer of sufficient skill and authority with specific responsibility for matters relating to the compliance by firms with their obligations regarding the safeguarding of client financial instruments and funds.
Beretninger fra eksterne revisorer
Member States shall allow investment firms to decide, ensuring full compliance with this Directive, whether the appointed officer is to be dedicated solely to this task or whether the officer can discharge responsibilities effectively whilst having additional responsibilities.
Medlemsstaterne kræver, at investeringsselskaber sikrer, at deres eksterne revisorer mindst én gang årligt aflægger beretning til den kompetente myndighed i selskabets hjemland om, hvorvidt selskabets ordninger er passende i henhold til artikel 16, stk. 8, 9 og 10, i direktiv 2014/65/EU og dette kapitel.
Article 8
KAPITEL III
Reports by external auditors