natgillin/translations-raw huggingface dataset:
a record is kept of the personal transaction notified to the firm or identified by it, including any authorisation or prohibition in connection with such a transaction.
da se vodi evidenca za osebno transakcijo, o kateri je družba obveščena ali jo identificira, vključno z dovoljenji ali prepovedmi v zvezi s tako transakcijo.
Paragraphs 1 and 2 shall not apply to the following kinds of personal transaction:
Odstavka 1 in 2 se ne uporabljata za naslednje vrste osebnih transakcij:
personal transactions effected under a discretionary portfolio management service where there is no prior communication in connection with the transaction between the portfolio manager and the relevant person or other person for whose account the transaction is executed;
osebne transakcije, opravljene na podlagi službe za upravljanje diskrecijskega portfelja, pri katerih ni predhodne komunikacije v zvezi s transakcijo med upravnikom portfelja in zadevno osebo ali drugo osebo, za račun katere je izvršena transakcija;
personal transactions in units in collective undertakings that comply with the conditions necessary to enjoy the rights conferred by Directive 85/611/EEC or are subject to supervision under the law of a Member State which requires an equivalent level of risk spreading in their assets, where the relevant person and any other person for whose account the transactions are effected are not involved in the management of that undertaking.
osebne transakcije z enotami v kolektivnih podjemih, ki izpolnjujejo potrebne pogoje za uživanje pravic iz Direktive 85/611/EGS, ali ki so predmet nadzora na podlagi zakonodaje države članice, ki zahteva enakovredno stopnjo razpršitve tveganja v njihovih sredstvih, če zadevna oseba in katera koli druga oseba, za katere račun se izvršijo transakcije, ne sodelujejo v upravi navedenega podjema.
(Article 13(2) and first subparagraph of Article 13(5) of Directive 2004/39/EC)
(Člen 13(2) in prvi pododstavek člena (13)(5) Direktive 2004/39/ES)
Meaning of critical and important operational functions
Pomen operativnih funkcij, ki so odločilnega pomena, in pomembnih operativnih funkcij
For the purposes of the first subparagraph of Article 13(5) of Directive 2004/39/EC, an operational function shall be regarded as critical or important if a defect or failure in its performance would materially impair the continuing compliance of an investment firm with the conditions and obligations of its authorisation or its other obligations under Directive 2004/39/EC, or its financial performance, or the soundness or the continuity of its investment services and activities.
Za namene prvega pododstavka člena 13(5) Direktive 2004/39/ES je operativna funkcija odločilnega pomena ali pomembna, če bi napaka ali izpad v njenem izvajanju bistveno zmotila neprekinjeno izpolnjevanje s strani investicijske družbe pogojev in obveznosti, ki izhajajo iz njenega dovoljenja, ali drugih obveznosti na podlagi Direktive 2004/39/ES, ali njeno finančno uspešnost ali trdnost ali kontinuiranost njenih investicijskih storitev in dejavnosti.
Without prejudice to the status of any other function, the following functions shall not be considered as critical or important for the purposes of paragraph 1:
Brez poseganja v status katere koli druge funkcije se za naslednje funkcije ne šteje, da so odločilnega pomena ali pomembne za namene odstavka 1:
the provision to the firm of advisory services, and other services which do not form part of the investment business of the firm, including the provision of legal advice to the firm, the training of personnel of the firm, billing services and the security of the firm's premises and personnel;
zagotavljanje svetovalnih storitev družbi in drugih storitev, ki niso sestavni del investicijskega poslovanja družbe, vključno z zagotavljanjem pravnega svetovanja družbi, usposabljanjem osebja, storitvami zaračunavanja in varovanjem prostorov in osebja družbe;
the purchase of standardised services, including market information services and the provision of price feeds.
nakup standardiziranih storitev, vključno s storitvami zagotavljanja tržnih informacij in oblikovanjem cen.
Conditions for outsourcing critical or important operational functions or investment services or activities
Pogoji za zunanje izvajanje operativnih funkcij, ki so odločilnega pomena ali pomembne, ali investicijskih storitev ali dejavnosti
Member States shall ensure that, when investment firms outsource critical or important operational functions or any investment services or activities, the firms remain fully responsible for discharging all of their obligations under Directive 2004/39/EC and comply, in particular, with the following conditions:
Države članice zagotovijo, da kadar investicijske družbe uporabljajo zunanje zmogljivosti za izvajanje operativnih funkcij, ki so odločilnega pomena ali pomembne, ali za izvajanje katerih koli investicijskih storitev ali dejavnosti, investicijske družbe ostanejo polno odgovorne za izpolnjevanje vseh svojih obveznosti v skladu z Direktivo 2004/39/ES, zlasti pa izpolnjujejo naslednje pogoje:
the outsourcing must not result in the delegation by senior management of its responsibility;
zunanje izvajanje ne sme povzročiti prenosa odgovornosti višjega vodstva s strani slednjega;
the relationship and obligations of the investment firm towards its clients under the terms of Directive 2004/39/EC must not be altered;
odnos in obveznosti investicijske družbe do njenih strank v skladu s pogoji Direktive 2004/39/ES se ne smejo spremeniti;
the conditions with which the investment firm must comply in order to be authorised in accordance with Article 5 of Directive 2004/39/EC, and to remain so, must not be undermined;
pogoji, ki jih mora izpolnjevati investicijska družba, da pridobi in ohrani dovoljenje v skladu s členom 5 Direktive 2004/39/ES, ne smejo biti ogroženi;
none of the other conditions subject to which the firm's authorisation was granted must be removed or modified.
nobeden od drugih pogojev, ki jih je morala družba izpolniti, da je pridobila dovoljenje, ne sme biti odpravljen ali spremenjen.
Member States shall require investment firms to exercise due skill, care and diligence when entering into, managing or terminating any arrangement for the outsourcing to a service provider of critical or important operational functions or of any investment services or activities.
Države članice zahtevajo, da investicijske družbe izkazujejo primerno sposobnost, skrbnost in gospodarnost pri sklepanju, izvajanju in prekinitvi kakršnega koli dogovora o uporabi zunanjega izvajalca storitev za izvajanje operativnih funkcij, ki so odločilnega pomena ali pomembne, ali kakršnih koli drugih investicijskih storitev ali dejavnosti.
Investment firms shall in particular take the necessary steps to ensure that the following conditions are satisfied:
Investicijske družbe zlasti sprejmejo vse potrebne ukrepe, da zagotovijo izpolnjevanje naslednjih pogojev:
the service provider must have the ability, capacity, and any authorisation required by law to perform the outsourced functions, services or activities reliably and professionally;
izvajalec storitev mora imeti sposobnost, zmogljivost in vsa zakonsko zahtevana dovoljenja, da funkcije, storitve ali dejavnosti, oddane v zunanje izvajanje, opravlja zanesljivo in strokovno;
the service provider must carry out the outsourced services effectively, and to this end the firm must establish methods for assessing the standard of performance of the service provider;
izvajalec storitev mora učinkovito izvajati storitve, oddane v zunanje izvajanje, in v ta namen mora družba vzpostaviti metode za ocenjevanje standarda uspešnosti izvajalca storitev;
the service provider must properly supervise the carrying out of the outsourced functions, and adequately manage the risks associated with the outsourcing;
izvajalec storitev mora ustrezno nadzorovati izvajanje funkcij, oddanih v zunanje izvajanje, in primerno upravljati s tveganji, ki so povezana z zunanjim izvajanjem;
appropriate action must be taken if it appears that the service provider may not be carrying out the functions effectively and in compliance with applicable laws and regulatory requirements;
sprejeti je treba ustrezne ukrepe, če je videti, da izvajalec storitev ne more opravljati funkcij učinkovito in v skladu z veljavnimi zakoni in zakonskimi zahtevami;
the investment firm must retain the necessary expertise to supervise the outsourced functions effectively and manage the risks associated with the outsourcing and must supervise those functions and manage those risks;
investicijska družba mora ohraniti potrebno strokovnost za učinkovit nadzor funkcij, oddanih v zunanje izvajanje, in upravljanje s tveganji, povezanimi z zunanjim izvajanjem, ter nadzorovati navedene funkcije in upravljati navedena tveganja;
the service provider must disclose to the investment firm any development that may have a material impact on its ability to carry out the outsourced functions effectively and in compliance with applicable laws and regulatory requirements;
izvajalec storitev mora investicijski družbi razkriti vse dogodke, ki bi lahko pomembno vplivali na njegovo zmožnost izvajanja funkcij, oddanih v zunanje izvajanje, na učinkovit način in v skladu z veljavnimi zakoni in zakonskimi zahtevami;
the investment firm must be able to terminate the arrangement for outsourcing where necessary without detriment to the continuity and quality of its provision of services to clients;
investicijska družba mora biti po potrebi zmožna prekiniti dogovor o zunanjem izvajanju brez posledic za kontinuiteto in kakovost izvajanja njenih storitev za stranke;
the service provider must cooperate with the competent authorities of the investment firm in connection with the outsourced activities;
izvajalec storitev mora sodelovati s pristojnimi organi investicijske družbe v zvezi s storitvami, oddanimi v zunanje izvajanje;
the investment firm, its auditors and the relevant competent authorities must have effective access to data related to the outsourced activities, as well as to the business premises of the service provider; and the competent authorities must be able to exercise those rights of access;
investicijska družba, njeni revizorji in ustrezni pristojni organi morajo imeti učinkovit dostop do podatkov, ki se nanašajo na dejavnosti, oddane v zunanje izvajanje, in na poslovne prostore izvajalca storitev, pristojni organi pa morajo imeti zmogljivosti za uresničevanje navedenih pravic do dostopa;
the service provider must protect any confidential information relating to the investment firm and its clients;
izvajalec storitev mora varovati vse zaupne informacije, ki zadevajo investicijsko družbo in njene stranke;
the investment firm and the service provider must establish, implement and maintain a contingency plan for disaster recovery and periodic testing of backup facilities, where that is necessary having regard to the function, service or activity that has been outsourced.
če je primerno, morata investicijska družba in izvajalec storitev vzpostaviti, izvajati in vzdrževati krizni načrt za izvajanje ukrepov v primeru kriznega dogodka ter redno testiranje varnostne opreme, če je to potrebno ob upoštevanju funkcije, storitve ali dejavnosti, ki je dana v zunanje izvajanje.
Member States shall require the respective rights and obligations of the investment firms and of the service provider to be clearly allocated and set out in a written agreement.
Države članice zahtevajo, da se pravice in obveznosti investicijske družbe in izvajalca storitev jasno razdelijo in določijo v pisnem sporazumu.
Member States shall provide that, where the investment firm and the service provider are members of the same group, the investment firm may, for the purposes of complying with this Article and Article 15, take into account the extent to which the firm controls the service provider or has the ability to influence its actions.
Države članice določijo, da lahko investicijska družba v primeru, ko sta investicijska družba in izvajalec storitev člana iste skupine, za namene izpolnjevanja tega člena in člena 15 upošteva obseg, v katerem družba nadzoruje izvajalca storitev ali ima možnost vplivati na njegova dejanja.
Member States shall require investment firms to make available on request to the competent authority all information necessary to enable the authority to supervise the compliance of the performance of the outsourced activities with the requirements of this Directive.
Države članice zahtevajo, da investicijske družbe na zahtevo dajo pristojnemu organu na voljo vse potrebne informacije, da mu omogočijo nadzor skladnosti izvajanja dejavnosti, oddanih v zunanje izvajanje, z zahtevami iz te direktive.
Service providers located in third countries
Izvajalci storitev, ki se nahajajo v tretjih državah
In addition to the requirements set out in Article 14, Member States shall require that, where an investment firm outsources the investment service of portfolio management provided to retail clients to a service provider located in a third country, that investment firm ensures that the following conditions are satisfied:
Poleg zahtev iz člena 14 države članice zahtevajo, da v primeru, ko investicijska družba oddaja v zunanje izvajanje izvajalcu storitev, ki se nahaja v tretji državi, investicijsko storitev upravljanja portfelja, ki se opravlja za majhne vlagatelje, navedena investicijska družba zagotovi, da so izpolnjeni naslednji pogoji:
the service provider must be authorised or registered in its home country to provide that service and must be subject to prudential supervision;
izvajalec storitev mora imeti dovoljenje ali biti registriran za opravljanje navedene storitve v matični državi in mora izpolnjevati bonitetne zahteve;
there must be an appropriate cooperation agreement between the competent authority of the investment firm and the supervisory authority of the service provider.
med pristojnim organom investicijske družbe in nadzornim organom izvajalca storitev mora biti sklenjen primeren sporazum o sodelovanju.
Where one or both of those conditions mentioned in paragraph 1 are not satisfied, an investment firm may outsource investment services to a service provider located in a third country only if the firm gives prior notification to its competent authority about the outsourcing arrangement and the competent authority does not object to that arrangement within a reasonable time following receipt of that notification.
Če ni izpolnjen eden ali oba od pogojev iz odstavka 1, lahko investicijska družba odda investicijske storitve v zunanje izvajanje izvajalcu storitev, ki se nahaja v tretji državi le, če družba predhodno uradno obvesti svoj pristojni organ o dogovoru o zunanjem izvajanju in če pristojni organ ne nasprotuje navedenemu dogovoru v razumnem času po prejetju navedenega obvestila.
Without prejudice to paragraph 2, Member States shall publish or require competent authorities to publish a statement of policy in relation to outsourcing covered by paragraph 2.
Brez poseganja v odstavek 2, države članice objavijo ali zahtevajo, da pristojni organi objavijo izjavo o politiki glede zunanjega izvajanja naročil iz odstavka 2.
That statement shall set out examples of cases where the competent authority would not, or would be likely not to, object to an outsourcing under paragraph 2 where one or both of the conditions in points (a) and (b) of paragraph 1 are not met.
Navedena izjava vsebuje primere, v katerih pristojni organ ne bi, ali verjetno ne bi nasprotoval zunanjemu izvajanju na podlagi odstavka 2, če eden ali oba pogoja iz točk (a) in (b) odstavka 1 nista izpolnjena.
It shall include a clear explanation as to why the competent authority considers that in such cases outsourcing would not impair the ability of investment firms to fulfil their obligations under Article 14.
V njej je navedena jasna razlaga, zakaj pristojni organ meni, da zunanje izvajanje v takih primerih ne bi škodovalo zmožnosti investicijskih družb, da izpolnijo svoje obveznosti na podlagi člena 14.
Nothing in this article limits the obligations on investment firms to comply with the requirements in Article 14.
Nobena določba tega člena ne omejuje obveznosti investicijskih družb, da izpolnjujejo zahteve iz člena 14.
Competent authorities shall publish a list of the supervisory authorities in third countries with which they have cooperation agreements that are appropriate for the purposes of point (b) of paragraph 1.
Pristojni organi objavijo seznam nadzornih organov v tretjih državah, s katerimi imajo dogovore o sodelovanju, ki so primerni za namene točke (b) odstavka (1).
Safeguarding of client assets
Varovanje sredstev strank
(Article 13(7) and (8) of Directive 2004/39/EC)
(Člen 13(7) in (8) Direktive 2004/39/ES)
Safeguarding of client financial instruments and funds
Varovanje finančnih instrumentov in sredstev strank
Member States shall require that, for the purposes of safeguarding clients’ rights in relation to financial instruments and funds belonging to them, investment firms comply with the following requirements:
Države članice zahtevajo, da za namene varovanja pravic strank v zvezi s finančnimi instrumenti in sredstvi, ki jim pripadajo, investicijske družbe izpolnjujejo naslednje zahteve:
they must keep such records and accounts as are necessary to enable them at any time and without delay to distinguish assets held for one client from assets held for any other client, and from their own assets;
voditi morajo take evidence in račune, kakršni so potrebni, da jim omogočijo, da lahko kadar koli in takoj ločijo med sredstvi, ki jih vodijo za eno stranko, in sredstvi, ki jih vodijo za druge stranke, ter lastnimi sredstvi;
they must maintain their records and accounts in a way that ensures their accuracy, and in particular their correspondence to the financial instruments and funds held for clients;
vzdrževati morajo svoje evidence in račune na način, ki jim zagotavlja natančnost, zlasti pa ustreznost finančnim instrumentom in sredstvom, ki jih vodijo za stranke;
they must conduct, on a regular basis, reconciliations between their internal accounts and records and those of any third parties by whom those assets are held;
redno morajo izvajati usklajevanje med svojimi notranjimi računi in evidencami ter notranjimi računi in evidencami kakršnih koli tretjih oseb, ki vodijo ta sredstva;
they must take the necessary steps to ensure that any client financial instruments deposited with a third party, in accordance with Article 17, are identifiable separately from the financial instruments belonging to the investment firm and from financial instruments belonging to that third party, by means of differently titled accounts on the books of the third party or other equivalent measures that achieve the same level of protection;
sprejeti morajo potrebne ukrepe, da zagotovijo, da je finančne instrumente strank, ki so v skladu s členom 17 deponirani pri tretji osebi, možno identificirati ločeno od finančnih instrumentov, ki pripadajo investicijski družbi, in od finančnih instrumentov, ki pripadajo navedeni tretji osebi, na podlagi različno naslovljenih računov v knjigah tretje osebe ali na podlagi drugih enakovrednih ukrepov, s katerimi se doseže enaka stopnja varovanja;
they must take the necessary steps to ensure that client funds deposited, in accordance with Article 18, in a central bank, a credit institution or a bank authorised in a third country or a qualifying money market fund are held in an account or accounts identified separately from any accounts used to hold funds belonging to the investment firm;
sprejeti morajo potrebne ukrepe, da zagotovijo, da se sredstva strank, ki so v skladu s členom 18 deponirana v centralni banki, kreditni instituciji ali banki z dovoljenjem v tretji državi ali kvalificiranem skladu denarnega trga, vodijo na računu ali računih, identificiranih ločeno od kakršnih koli drugih računov, ki se uporabljajo za vodenje sredstev, ki pripadajo investicijski družbi;
they must introduce adequate organisational arrangements to minimise the risk of the loss or diminution of client assets, or of rights in connection with those assets, as a result of misuse of the assets, fraud, poor administration, inadequate record-keeping or negligence.
uvesti morajo ustrezno organizacijsko ureditev, da v čim večji meri zmanjšajo tveganje izgube ali zmanjšanja sredstev stranke ali pravic v zvezi z navedenimi sredstvi, ki bi lahko bilo posledica zlorabe sredstev, goljufije, slabega upravljanja, neustreznega vodenja evidenc ali malomarnosti.
If, for reasons of the applicable law, including in particular the law relating to property or insolvency, the arrangements made by investment firms in compliance with paragraph 1 to safeguard clients’ rights are not sufficient to satisfy the requirements of Article 13(7) and (8) of Directive 2004/39/EC, Member States shall prescribe the measures that investment firms must take in order to comply with those obligations.
Če zaradi veljavnih zakonov, vključno zlasti z zakoni, ki urejajo lastnino ali nesolventnost, ureditev, ki jo vzpostavijo investicijske družbe v skladu z odstavkom 1 za zavarovanje pravic strank, ne zadostuje za izpolnitev zahtev iz člena 13(7) in (8) Direktive 2004/39/ES, države članice predpišejo ukrepe, ki jih morajo sprejeti investicijske družbe, da izpolnijo navedene obveznosti.
If the applicable law of the jurisdiction in which the client funds or financial instruments are held prevents investment firms from complying with points (d) or (e) of paragraph 1, Member States shall prescribe requirements which have an equivalent effect in terms of safeguarding clients’ rights.
Če veljavni zakoni v sodni pristojnosti, v kateri se vodijo sredstva ali finančni instrumenti strank, investicijski družbi preprečujejo, da izpolni obveznosti iz točk (d) ali (e) odstavka 1, države članice predpišejo zahteve, ki imajo enakovreden učinek z vidika varovanja pravic strank.
(Article 13(7) of Directive 2004/39/EC)
(Člen 13(7) Direktive 2004/39/ES)
Depositing client financial instruments
Deponiranje finančnih instrumentov strank
Member States shall permit 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.
Države članice dovolijo, da investicijske družbe deponirajo finančne instrumente, ki jih vodijo v imenu strank, na račun ali račune, odprte pri tretji osebi pod pogojem, da družba izkazuje ustrezno sposobnost, skrbnost in gospodarnost pri izbiri, imenovanju in rednem pregledovanju tretje osebe ter pri ureditvi vodenja in hrambi navedenih finančnih instrumentov.
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 or market practices related to the holding of those financial instruments that could adversely affect clients’ rights.
Države članice zlasti zahtevajo, da investicijske družbe upoštevajo strokovnost in tržni ugled tretje osebe, kakor tudi kakršne koli pravne zahteve ali tržna ravnanja v zvezi z vodenjem navedenih finančnih instrumentov, ki bi lahko imeli negativne učinke na pravice strank.
Member States shall ensure that, if the safekeeping of financial instruments for the account of another person is subject to specific regulation and supervision in a jurisdiction where an investment firm proposes to deposit client financial instruments with a third party, the investment firm does not deposit those financial instruments in that jurisdiction with a third party which is not subject to such regulation and supervision.
Države članice zagotovijo, da v primeru, če se za varovanje finančnih instrumentov za račun druge osebe uporabljajo posebni predpisi in nadzor v sodni pristojnosti, v kateri investicijska družba namerava deponirati finančne instrumente strank pri tretji osebi, investicijska družba ne deponira navedenih finančnih instrumentov v navedeni sodni pristojnosti pri tretji osebi, za katero se ne uporabljajo taki predpisi in nadzor.