natgillin/translations-raw huggingface dataset:
to establish, implement and maintain adequate internal control mechanisms designed to secure compliance with decisions and procedures at all levels of the investment firm;
da vzpostavijo, izvajajo in vzdržujejo primerne notranje kontrolne mehanizme, katerih namen je zagotoviti skladnost z odločitvami in postopki na vseh ravneh investicijske družbe;
to employ personnel with the skills, knowledge and expertise necessary for the discharge of the responsibilities allocated to them;
da zaposlijo osebje z usposobljenostjo, znanjem in strokovnostjo, ki so potrebni za opravljanje dodeljenih odgovornosti;
to establish, implement and maintain effective internal reporting and communication of information at all relevant levels of the investment firm;
da vzpostavijo, izvajajo in vzdržujejo učinkovito notranje poročanje ter sporočanje informacij na vseh ustreznih ravneh investicijske družbe;
to maintain adequate and orderly records of their business and internal organisation;
da vzdržujejo primerne in urejene evidence svojih poslov in notranje organizacije;
to ensure that the performance of multiple functions by their relevant persons does not and is not likely to prevent those persons from discharging any particular function soundly, honestly, and professionally.
da zagotovijo, da zadevnim osebam v primeru, da opravljajo več funkcij, to ne preprečuje in ne bo preprečevalo opravljanja posamezne funkcije na preudaren, pošten in strokoven način.
Member States shall ensure that, for those purposes, investment firms take into account the nature, scale and complexity of the business of the firm, and the nature and range of investment services and activities undertaken in the course of that business.
Države članice zagotovijo, da investicijske družbe za navedene namene upoštevajo naravo, obseg in kompleksnost poslov družbe ter naravo in obseg investicijskih storitev in dejavnosti, ki se opravljajo med tekom navedenih poslov.
Member States shall require investment firms to establish, implement and maintain systems and procedures that are adequate to safeguard the security, integrity and confidentiality of information, taking into account the nature of the information in question.
Države članice zahtevajo, da investicijske družbe vzpostavijo, izvajajo in vzdržujejo sisteme in postopke, ki so primerni za ohranjanje varnosti, celovitosti in zaupnosti informacij, ob upoštevanju narave zadevnih informacij.
Member States shall require investment firms to establish, implement and maintain an adequate business continuity policy aimed at ensuring, in the case of an interruption to their systems and procedures, the preservation of essential data and functions, and the maintenance of investment services and activities, or, where that is not possible, the timely recovery of such data and functions and the timely resumption of their investment services and activities.
Države članice zahtevajo, da investicijske družbe sprejmejo, izvajajo in vzdržujejo primerno politiko poslovne kontinuitete, katere cilj je zagotoviti, da se njeni ključni podatki in funkcije ohranjajo in da se njene investicijske storitve in dejavnosti vzdržujejo v primeru izpada sistemov in postopkov, ali, kadar to ni mogoče, da omogoči pravočasno obnovitev takih podatkov in pravočasno nadaljevanje svojih investicijskih storitev in dejavnosti.
Member States shall require investment firms to establish, implement and maintain accounting policies and procedures that enable them, at the request of the competent authority, to deliver in a timely manner to the competent authority financial reports which reflect a true and fair view of their financial position and which comply with all applicable accounting standards and rules.
Države članice zahtevajo, da investicijske družbe sprejmejo, izvajajo in vzdržujejo računovodske politike in postopke, ki jim omogočajo, da pristojnemu organu na zahtevo pravočasno pošljejo finančna poročila, ki prikazujejo resnično in pošteno sliko njihovega finančnega stanja in so skladna z vsemi veljavnimi računovodskimi standardi in pravili.
Member States shall require investment firms to monitor and, on a regular basis, to evaluate the adequacy and effectiveness of their systems, internal control mechanisms and arrangements established in accordance with paragraphs 1 to 4, and to take appropriate measures to address any deficiencies.
Države članice zahtevajo, da investicijske družbe spremljajo in redno ocenjujejo primernost in učinkovitost svojih sistemov, notranjih kontrolnih mehanizmov in ureditev, vzpostavljenih v skladu z odstavki 1 do 4, ter sprejmejo primerne ukrepe za odpravljanje pomanjkljivosti.
(Article 13(2) of Directive 2004/39/EC)
(Člen 13(2) Direktive 2004/39/ES)
Member States shall ensure that investment firms establish, implement and maintain adequate policies and procedures designed to detect any risk of failure by the firm to comply with its obligations under Directive 2004/39/EC, as well as the associated risks, and put in place adequate measures and procedures designed to minimise such risk and to enable the competent authorities to exercise their powers effectively under that Directive.
Države članice zagotovijo, da investicijske družbe vzpostavijo, izvajajo in vzdržujejo primerne politike in postopke, katerih cilj je odkrivati morebitna tveganja, da družba ne bi izpolnjevala obveznosti iz Direktive 2004/39/ES, ter s tem povezana tveganja, ter da vzpostavijo primerne ukrepe in postopke, katerih cilj je, da se tako tveganje minimizira in da se pristojnim organom omogoči učinkovito izvajanje njihovih pooblastil na podlagi navedene direktive.
Member States shall require investment firms to establish and maintain a permanent and effective compliance function which operates independently and which has the following responsibilities:
Države članice zahtevajo, da investicijske družbe vzpostavijo in vzdržujejo trajno in učinkovito funkcijo spremljanja skladnosti, ki deluje neodvisno in ima naslednje odgovornosti:
to monitor and, on a regular basis, to assess the adequacy and effectiveness of the measures and procedures put in place in accordance with the first subparagraph of paragraph 1, and the actions taken to address any deficiencies in the firm's compliance with its obligations;
spremljati in redno ocenjevati primernost in učinkovitost ukrepov in postopkov, vzpostavljenih v skladu s prvim pododstavkom odstavka 1, ter ukrepov, sprejetih za odpravljanje morebitnih pomanjkljivosti na področju skladnosti družbe z njenimi obveznostmi;
to advise and assist the relevant persons responsible for carrying out investment services and activities to comply with the firm's obligations under Directive 2004/39/EC.
svetovati in pomagati ustreznim osebam, pristojnim za opravljanje investicijskih storitev in dejavnosti, za uskladitev družbe z obveznostmi na podlagi Direktive 2004/39/ES.
In order to enable the compliance function to discharge its responsibilities properly and independently, Member States shall require investment firms to ensure that the following conditions are satisfied:
Da omogočijo funkciji spremljanja skladnosti pravilno in neodvisno opravljanje dolžnosti, države članice zahtevajo, da investicijske družbe zagotovijo izpolnjevanje naslednjih pogojev:
the compliance function must have the necessary authority, resources, expertise and access to all relevant information;
funkcija spremljanja skladnosti mora imeti potrebno pristojnost, sredstva, strokovno znanje in dostop do vseh ustreznih informacij;
a compliance officer must be appointed and must be responsible for the compliance function and for any reporting as to compliance required by Article 9(2);
imenovati je treba uradnika za spremljanje skladnosti, ki je odgovoren za funkcijo spremljanja skladnosti ter za poročanje v zvezi s spremljanjem skladnosti, kakor zahteva člen 9(2);
the relevant persons involved in the compliance function must not be involved in the performance of services or activities they monitor;
ustrezne osebe, vključene v funkcijo spremljanja skladnosti, se ne smejo ukvarjati z opravljanjem storitev ali dejavnosti, ki jih spremljajo;
the method of determining the remuneration of the relevant persons involved in the compliance function must not compromise their objectivity and must not be likely to do so.
metoda določanja plačila zadevnih oseb, pristojnih za funkcijo spremljanja skladnosti, ne sme vplivati na njihovo objektivnost, niti ne sme biti verjetno, da bi vplivala nanjo.
However, an investment firm shall not be required to comply with point (c) or point (d) if it is able to demonstrate that in view of the nature, scale and complexity of its business, and the nature and range of investment services and activities, the requirement under that point is not proportionate and that its compliance function continues to be effective.
Od investicijske družbe pa se ne zahteva, da izpolni točko (c) ali točko (d), če lahko dokaže, da glede na naravo, obseg in kompleksnost poslov ter naravo in obseg investicijskih storitev in dejavnosti, obveznost iz navedene točke ni sorazmerna in da je njena funkcija spremljanja skladnosti še naprej učinkovita.
(second subparagraph of Article 13(5) of Directive 2004/39/EC)
(Drugi pododstavek člena 13(5) Direktive 2004/39/ES)
Member States shall require investment firms to take the following actions:
Države članice zahtevajo, da investicijske družbe sprejmejo naslednje ukrepe:
to establish, implement and maintain adequate risk management policies and procedures which identify the risks relating to the firm's activities, processes and systems, and where appropriate, set the level of risk tolerated by the firm;
vzpostaviti, izvajati in vzdrževati primerno politiko obvladovanja tveganja in postopke za ugotavljanje tveganja v zvezi z dejavnostmi, procesi in sistemi družbe, in če je primerno, določiti stopnjo tveganja, ki jo družba še dopušča;
to adopt effective arrangements, processes and mechanisms to manage the risks relating to the firm's activities, processes and systems, in light of that level of risk tolerance;
sprejeti učinkovite ureditve, procese in mehanizme za upravljanje s tveganji v zvezi z dejavnostmi, procesi in sistemi družbe z vidika navedene stopnje dovoljenega tveganja;
to monitor the following:
spremljati naslednje:
the adequacy and effectiveness of the investment firm's risk management policies and procedures;
primernost in učinkovitost politik in postopkov investicijske družbe za upravljanje s tveganji;
the level of compliance by the investment firm and its relevant persons with the arrangements, processes and mechanisms adopted in accordance with point (b);
raven skladnosti investicijske družbe in njenih zadevnih oseb z ureditvami, procesi in mehanizmi, sprejetimi v skladu s točko (b);
the adequacy and effectiveness of measures taken to address any deficiencies in those policies, procedures, arrangements, processes and mechanisms, including failures by the relevant persons to comply with such arrangements, processes and mechanisms or follow such policies and procedures.
primernost in učinkovitost ukrepov, sprejetih za obravnavanje morebitnih pomanjkljivosti v navedenih politikah, ureditvah, postopkih in mehanizmih, vključno z ravnanjem zadevnih oseb v nasprotju s takimi ureditvami, postopki in mehanizmi ali neizpolnjevanjem postopkov.
Member States shall require investment firms, where appropriate and proportionate in view of the nature, scale and complexity of their business and the nature and range of the investment services and activities undertaken in the course of that business, to establish and maintain a risk management function that operates independently and carries out the following tasks:
Države članice zahtevajo, da investicijske družbe, če je primerno in sorazmerno glede na naravo, obseg in kompleksnost poslovanja ter naravo in vrsto investicijskih storitev in dejavnosti, ki jih opravlja pri svojem poslovanju, vzpostavijo in vzdržujejo funkcijo upravljanja s tveganji, ki deluje neodvisno in opravlja naslednje naloge:
implementation of the policy and procedures referred to in paragraph 1;
izvajanje politike in postopkov iz odstavka 1;
provision of reports and advice to senior management in accordance with Article 9(2).
priprava poročil in svetovanja višjemu vodstvu v skladu s členom 9(2).
Where an investment firm is not required under the first sub-paragraph to establish and maintain a risk management function that functions independently, it must nevertheless be able to demonstrate that the policies and procedures which it is has adopted in accordance with paragraph 1 satisfy the requirements of that paragraph and are consistently effective.
Če se na podlagi prvega pododstavka ne zahteva, da investicijska družba vzpostavi in vzdržuje neodvisno funkcijo upravljanja s tveganji, pa mora biti kljub temu sposobna dokazati, da politike in postopki, ki jih je sprejela v skladu z odstavkom 1, izpolnjujejo zahteve navedenega odstavka in so dosledno učinkoviti.
Internal audit
Notranja revizija
Member States shall require investment firms, where appropriate and proportionate in view of the nature, scale and complexity of their business and the nature and range of investment services and activities undertaken in the course of that business, to establish and maintain an internal audit function which is separate and independent from the other functions and activities of the investment firm and which has the following responsibilities:
Države članice zahtevajo, da investicijske družbe, če je primerno in sorazmerno glede na naravo, obseg in kompleksnost poslovanja ter naravo in vrsto investicijskih storitev in dejavnosti, ki jih opravlja pri svojem poslovanju, vzpostavijo in vzdržujejo funkcijo notranje revizije, ki je ločena in neodvisna od drugih funkcij in dejavnosti investicijske družbe in ima naslednje odgovornosti:
to establish, implement and maintain an audit plan to examine and evaluate the adequacy and effectiveness of the investment firm's systems, internal control mechanisms and arrangements;
vzpostavitev, izvajanje in vzdrževanje revizijskega načrta za pregled in ocenjevanje primernosti in učinkovitosti sistemov, mehanizmov notranje kontrole in ureditev investicijske družbe;
to issue recommendations based on the result of work carried out in accordance with point (a);
izdajanje priporočil na podlagi rezultatov dela, opravljenega v skladu s točko (a);
to verify compliance with those recommendations;
preverjanje skladnosti z navedenimi priporočili;
to report in relation to internal audit matters in accordance with Article 9(2).
poročanje v zvezi z notranjo revizijo v skladu s členom 9(2).
Responsibility of senior management
Odgovornost višjega vodstva
Member States shall require investment firms, when allocating functions internally, to ensure that senior management, and, where appropriate, the supervisory function, are responsible for ensuring that the firm complies with its obligations under Directive 2004/39/EC.
Države članice zahtevajo, da investicijske družbe pri notranjem razporejanju funkcij zagotovijo, da ima njeno višje vodstvo, in če je primerno, nadzorna funkcija, odgovornost, da zagotovi izpolnitev obveznosti, ki jih ima družba na podlagi Direktive 2004/39/ES.
In particular, senior management and, where appropriate, the supervisory function shall be required to assess and periodically to review the effectiveness of the policies, arrangements and procedures put in place to comply with the obligations under Directive 2004/39/EC and to take appropriate measures to address any deficiencies.
Zlasti se zahteva, da višje vodstvo in, če je primerno, nadzorna funkcija ocenjuje in redno pregleduje učinkovitost politik, ureditev in postopkov, vzpostavljenih za izpolnjevanje obveznosti na podlagi Direktive 2004/39/ES, in sprejema primerne ukrepe za obravnavanje pomanjkljivosti.
Member States shall require investment firms to ensure that their senior management receive on a frequent basis, and at least annually, written reports on the matters covered by Articles 6, 7 and 8 indicating in particular whether the appropriate remedial measures have been taken in the event of any deficiencies.
Države članice zahtevajo, da investicijske družbe zagotovijo, da njihovo višje vodstvo redno in vsaj enkrat na leto prejme pisna poročila o zadevah iz členov 6, 7 in 8, v katerih je zlasti navedeno, ali so bili v primeru pomanjkljivosti sprejeti primerni ukrepi.
Member States shall require investment firms to ensure that the supervisory function, if any, receives on a regular basis written reports on the same matters.
Države članice zahtevajo, da investicijske družbe zagotovijo, da morebitna nadzorna funkcija redno prejema pisna poročila o istih zadevah.
For the purposes of this Article, ‘supervisory function’ means the function within an investment firm responsible for the supervision of its senior management.
Za namene tega člena „nadzorna funkcija“ pomeni funkcijo v investicijski družbi, ki je odgovorna za nadzor njenega višjega vodstva.
Complaints handling
Reševanje pritožb
Member States shall require investment firms to establish, implement and maintain effective and transparent procedures for the reasonable and prompt handling of complaints received from retail clients or potential retail clients, and to keep a record of each complaint and the measures taken for its resolution.
Države članice zahtevajo, da investicijske družbe vzpostavijo, izvedejo in vzdržujejo učinkovite in pregledne postopke za razumno in hitro reševanje pritožb, prejetih od majhnih vlagateljev ali potencialnih majhnih vlagateljev, ter da vodijo evidenco o vsaki pritožbi ter ukrepih, sprejetih za njeno reševanje.
Meaning of personal transaction
Pomen osebnih transakcij
For the purposes of Article 12 and Article 25, personal transaction means a trade in a financial instrument effected by or on behalf of a relevant person, where at least one of the following criteria are met:
Za namene člena 12 in člena 25 osebna transakcija pomeni trgovanje s finančnim instrumentom, ki ga izvede ali se izvede v imenu zadevne osebe, če je izpolnjen vsaj eden od naslednjih kriterijev:
that relevant person is acting outside the scope of the activities he carries out in that capacity;
zadevna oseba ravna izven okvira dejavnosti, ki jih opravlja v navedeni vlogi;
the trade is carried out for the account of any of the following persons:
trgovanje se opravlja za račun ene od naslednjih oseb:
the relevant person;
zadevna oseba;
any person with whom he has a family relationship, or with whom he has close links;
katera koli oseba, s katero je v sorodstvenem razmerju ali s katero je tesno povezana;
a person whose relationship with the relevant person is such that the relevant person has a direct or indirect material interest in the outcome of the trade, other than a fee or commission for the execution of the trade.
oseba, s katero je zadevna oseba v takem razmerju, da ima zadevna oseba neposreden ali posreden bistven interes v rezultatu trgovanja, razen provizije ali opravnine za izvedbo trgovanja.
Personal transactions
Osebne transakcije
Member States shall require investment firms to establish, implement and maintain adequate arrangements aimed at preventing the following activities in the case of any relevant person who is involved in activities that may give rise to a conflict of interest, or who has access to inside information within the meaning of Article 1(1) of Directive 2003/6/EC or to other confidential information relating to clients or transactions with or for clients by virtue of an activity carried out by him on behalf of the firm:
Države članice zahtevajo, da investicijske družbe vzpostavijo, izvedejo in vzdržujejo primerno ureditev, katere cilj je preprečevati naslednje dejavnosti v primeru vseh zadevnih oseb, ki se ukvarjajo z dejavnostmi, ki bi lahko povzročile navzkrižje interesov, ali imajo dostop do notranjih informacij v smislu člena 1(1) Direktive 2003/6/ES ali drugih zaupnih informacij v zvezi s strankami ali transakcijami s strankami ali za stranke na podlagi dejavnosti, ki jo opravljajo same ali v imenu družbe:
entering into a personal transaction which meets at least one of the following criteria:
sklenitev osebne transakcije, ki izpolnjuje vsaj enega izmed naslednjih kriterijev:
that person is prohibited from entering into it under Directive 2003/6/EC;
navedena oseba je ne sme skleniti na podlagi Direktive 2003/6/ES;
it involves the misuse or improper disclosure of that confidential information;
zadeva zlorabo ali nepravilno razkritje navedenih zaupnih informacij;
it conflicts or is likely to conflict with an obligation of the investment firm under Directive 2004/39/EC;
je v navzkrižju ali bi lahko prišla v navzkrižje z obveznostjo investicijske družbe na podlagi Direktive 2004/39/ES;
advising or procuring, other than in the proper course of his employment or contract for services, any other person to enter into a transaction in financial instruments which, if a personal transaction of the relevant person, would be covered by point (a) or Article 25(2)(a) or (b) or Article 47(3);
svetovanje ali naročanje, razen v okviru njene zaposlitve ali pogodbe o storitvah, vsaki drugi osebi, naj sklene transakcijo s finančnimi instrumenti, ki bi, če bi bila osebna transakcija zadevne osebe, sodila v točko (a) ali člen 25(2)(a) ali (b) ali člen 47(3);
without prejudice to Article 3(a) of Directive 2003/6/EC, disclosing, other than in the normal course of his employment or contract for services, any information or opinion to any other person if the relevant person knows, or reasonably ought to know, that as a result of that disclosure that other person will or would be likely to take either of the following steps:
brez poseganja v člen 3(a) Direktive 2003/6/ES, razkritje, razen v okviru njene zaposlitve ali pogodbe o storitvah, kakršnih koli informacij ali mnenj kateri koli drugi osebi, če zadevna oseba ve, ali od katere je razumno pričakovati, da bi morala vedeti, da bo ali bi lahko zaradi takega razkritja druga oseba storila naslednje:
to enter into a transaction in financial instruments which, if a personal transaction of the relevant person, would be covered by point (a) or Article 25(2)(a) or (b) or Article 47(3);
sklenila transakcijo s finančnimi instrumenti, ki bi, če bi bila osebna transakcija zadevne osebe, sodila v točko (a) ali člen 25(2)(a) ali (b) ali člen 47(3);
to advise or procure another person to enter into such a transaction.
svetovala ali naročila drugi osebi sklenitev take transakcije.
The arrangements required under paragraph 1 must in particular be designed to ensure that:
Ureditve, ki se zahtevajo na podlagi odstavka 1, morajo biti pripravljene tako, da zagotovijo:
each relevant person covered by paragraph 1 is aware of the restrictions on personal transactions, and of the measures established by the investment firm in connection with personal transactions and disclosure, in accordance with paragraph 1;
da se vsaka zadevna oseba iz odstavka 1 zaveda omejitev osebnih transakcij in ukrepov, ki jih investicijska družba vzpostavi v zvezi z osebnimi transakcijami in razkritjem v skladu z odstavkom 1;
the firm is informed promptly of any personal transaction entered into by a relevant person, either by notification of that transaction or by other procedures enabling the firm to identify such transactions;
da se družba takoj obvesti o vsaki osebni transakciji, ki jo sklene zadevna oseba, z uradnim obvestilom o taki transakciji ali z drugimi postopki, ki družbi omogočajo identifikacijo takih transakcij.
In the case of outsourcing arrangements the investment firm must ensure that the firm to which the activity is outsourced maintains a record of personal transactions entered into by any relevant person and provides that information to the investment firm promptly on request.
V primeru dogovorov o zunanjem izvajanju mora investicijska družba zagotoviti, da lahko družba, kateri je dejavnost oddana v zunanje izvajanje, vodi evidenco osebnih transakcij, ki jih je sklenila katera koli zadevna oseba, in navedene podatke na zahtevo takoj pošlje investicijski družbi;