natgillin/translations-raw huggingface dataset:
Commission Directive 2006/73/EC of 10 August 2006 implementing Directive 2004/39/EC of the European Parliament and of the Council as regards organisational requirements and operating conditions for investment firms and defined terms for the purposes of that Directive (OJ L 241, 2.9.2006, p. 26).
Direktiva Komisije 2006/73/ES z dne 10. avgusta 2006 o izvajanju Direktive 2004/39/ES Evropskega parlamenta in Sveta v zvezi z organizacijskimi zahtevami in pogoji poslovanja investicijskih družb ter opredeljenimi izrazi za namene navedene direktive (UL L 241, 2.9.2006, str. 26).
INDEPENDENCE AND AVOIDANCE OF CONFLICTS OF INTEREST
NEODVISNOST IN IZOGIBANJE NASPROTJEM INTERESOV
Organisational requirements
Organizacijske zahteve
The credit rating agency shall have an administrative or supervisory board.
Bonitetna agencija ima upravni odbor ali nadzorni svet.
Its senior management shall ensure that:
Njeno višje vodstvo zagotavlja:
credit rating activities are independent, including from all political and economic influences or constraints;
neodvisnost dejavnosti bonitetnega ocenjevanja, tudi od vseh političnih in ekonomskih vplivov ali omejitev;
conflicts of interest are properly identified, managed and disclosed;
ustrezno opredeljevanje, upravljanje in razkritje nasprotij interesov;
the credit rating agency complies with the remaining requirements of this Regulation.
usklajenosti bonitetne agencije s preostalimi zahtevami te uredbe.
A credit rating agency shall be organised in a way that ensures that its business interest does not impair the independence or accuracy of the credit rating activities.
Bonitetna agencija je organizirana na način, s katerim se zagotovi, da njen poslovni interes ne zmanjša neodvisnosti ali točnosti dejavnosti bonitetnega ocenjevanja.
The senior management of a credit rating agency shall be of good repute and sufficiently skilled and experienced, and shall ensure the sound and prudent management of the credit rating agency.
Višje vodstvo bonitetne agencije so ugledne osebe, z zadostnim znanjem in izkušnjami, ki zagotavljajo premišljeno in skrbno upravljanje bonitetne agencije.
At least one third, but no less than two, of the members of the administrative or supervisory board of a credit rating agency shall be independent members who are not involved in credit rating activities.
Vsaj tretjina članov upravnega odbora ali nadzornega sveta bonitetne agencije, najmanj pa dva od njih, mora biti neodvisnih članov, ki niso vključeni v dejavnosti bonitetnega ocenjevanja.
The compensation of the independent members of the administrative or supervisory board shall not be linked to the business performance of the credit rating agency and shall be arranged so as to ensure the independence of their judgement.
Nadomestilo za neodvisne člane upravnega odbora ali nadzornega sveta ni povezano s poslovnimi rezultati bonitetne agencije in je urejeno tako, da se zagotovi neodvisnost njihove presoje.
The term of office of the independent members of the administrative or supervisory board shall be for a pre-agreed fixed period not exceeding five years and shall not be renewable.
Mandat neodvisnih članov upravnega odbora ali nadzornega sveta traja natanko toliko časa, kot je vnaprej dogovorjeno, ne presega petih let in ga ni mogoče obnoviti.
The dismissal of independent members of the administrative or supervisory board shall take place only in case of misconduct or professional underperformance.
Neodvisni člani upravnega odbora ali nadzornega sveta se lahko razrešijo le v primeru neprimernega ravnanja ali slabega opravljanje strokovnega dela.
The majority of members of the administrative or supervisory board, including its independent members, shall have sufficient expertise in financial services.
Večina članov upravnega odbora ali nadzornega sveta, vključno z njegovimi neodvisnimi člani, ima dovolj strokovnega znanja s področja finančnih storitev.
Provided that the credit rating agency issues credit ratings of structured finance instruments, at least one independent member and one other member of the board shall have in-depth knowledge and experience at a senior level of the markets in structured finance instruments.
Če bonitetna agencija izdaja bonitetne ocene o strukturiranih finančnih instrumentih, ima najmanj en neodvisni član in še en član odbora ali sveta poglobljeno znanje in izkušnje na višji ravni s področja trgov strukturiranih finančnih instrumentov.
In addition to the overall responsibility of the board, the independent members of the administrative or supervisory board shall have the specific task of monitoring:
Poleg splošnih odgovornosti odbora ali sveta imajo neodvisni člani upravnega odbora ali nadzornega sveta posebno nalogo, da spremljajo:
the development of the credit rating policy and of the methodologies used by the credit rating agency in its credit rating activities;
razvoj politike bonitetnega ocenjevanja in metodologij, ki jih bonitetna agencija uporablja pri dejavnostih bonitetnega ocenjevanja;
the effectiveness of the internal quality control system of the credit rating agency in relation to credit rating activities;
učinkovitost notranjega sistema kontrole kakovosti bonitetne agencije v zvezi z dejavnostmi bonitetnega ocenjevanja;
the effectiveness of measures and procedures instituted to ensure that any conflicts of interest are identified, eliminated or managed and disclosed; and
učinkovitost ukrepov in postopkov, uvedenih za zagotovitev prepoznavanja, odpravljanja ali upravljanja in razkritja nasprotja interesov; ter
the compliance and governance processes, including the efficiency of the review function referred to in point 9 of this Section.
postopke skladnosti in upravljanja, vključno z učinkovitostjo funkcije pregleda iz točke 9 tega oddelka.
Opinions of the independent members of administrative or supervisory board issued on the matters referred to in points (a) to (d) shall be presented to the board periodically and shall be made available to the competent authority on request.
Mnenja neodvisnih članov upravnega odbora ali nadzornega sveta o zadevah iz točk (a) do (d) se redno posredujejo odboru, poskrbi pa se tudi, da so na voljo pristojnemu organu, kadar koli jih ta zahteva.
A credit rating agency shall establish adequate policies and procedures to ensure compliance with its obligations under this Regulation.
Bonitetna agencija oblikuje ustrezne politike in postopke za zagotavljanje skladnosti z obveznostmi iz te uredbe.
A credit rating agency shall have sound administrative and accounting procedures, internal control mechanisms, effective procedures for risk assessment, and effective control and safeguard arrangements for information processing systems.
Bonitetna agencija ima ustrezne administrativne in računovodske postopke, mehanizme notranjih kontrol, učinkovite postopke za ocenjevanje tveganj ter učinkovite kontrolne in zaščitne ukrepe za sisteme za obdelavo informacij.
Those internal control mechanisms shall be designed to secure compliance with decisions and procedures at all levels of the credit rating agency.
Namen teh mehanizmov notranjih kontrol je zagotoviti skladnost z odločitvami in postopki na vseh ravneh bonitetne agencije.
A credit rating agency shall implement and maintain decision-making procedures and organisational structures which clearly and in a documented manner specify reporting lines and allocate functions and responsibilities.
Bonitetna agencija izvaja in vzdržuje postopke odločanja ter organizacijske strukture, ki jasno in na dokumentiran način določajo poročevalske linije ter razporejajo funkcije in odgovornosti.
A credit rating agency shall establish and maintain a permanent and effective compliance function department (compliance function) which operates independently.
Bonitetna agencija vzpostavi in trajno ter učinkovito vzdržuje Službo za varovanje zakonitosti poslovanja („funkcija skladnosti“), ki deluje neodvisno.
The compliance function shall monitor and report on compliance of the credit rating agency and its employees with the credit rating agency’s obligations under this Regulation.
Ta spremlja, ali so bonitetna agencija in njeni zaposleni skladni z obveznostmi iz te uredbe, ter poroča o tem.
The compliance function shall:
Funkcija skladnosti je:
monitor and, on a regular basis, assess the adequacy and effectiveness of the measures and procedures put in place in accordance with point 3, and the actions taken to address any deficiencies in the credit rating agency’s compliance with its obligations;
spremljanje in redno ocenjevanje primernosti in učinkovitosti ukrepov in postopkov, uvedenih v skladu s točko 3, ter ukrepov, sprejetih za odpravljanje morebitnih pomanjkljivosti bonitetne agencije pri zagotavljanju skladnosti z obveznostmi iz te uredbe;
advise and assist the managers, rating analysts, employees as well as any other natural person whose services are placed at the disposal or under the control of the credit rating agency or any person directly or indirectly linked to it by control who is responsible for carrying out credit rating activities, to comply with the credit rating agency’s obligations under this Regulation.
svetovanje in pomoč vodilnim, bonitetnim analitikom, zaposlenim in vsaki drugi fizični osebi, katere storitve so na voljo bonitetni agenciji ali so pod njenim nadzorom, ali kateri koli osebi, ki je z agencijo neposredno ali posredno povezana prek obvladovanja, ki je odgovorna za opravljanje dejavnosti bonitetnega ocenjevanja, da lahko bonitetna agencija izpolni obveznosti iz te uredbe.
In order to enable the compliance function to discharge its responsibilities properly and independently, a credit rating agency shall ensure that the following conditions are satisfied:
Da se funkciji skladnosti omogoči pravilno in neodvisno opravljanje dolžnosti, bonitetna agencija zagotovi, da so izpolnjeni naslednji pogoji:
the compliance function has the necessary authority, resources, expertise and access to all relevant information;
funkcija skladnosti ima potrebno pristojnost, vire, strokovno znanje in dostop do vseh ustreznih informacij;
a compliance officer is appointed and is responsible for the compliance function and for any reporting with regard to compliance required by point 3;
imenovati je treba odgovorno osebo za varovanje zakonitosti poslovanja, ki je odgovorna za funkcijo skladnosti ter za poročanje o skladnosti, kot zahteva točka 3;
the managers, rating analysts, employees and any other natural person whose services are placed at the disposal or under the control of the credit rating agency or any person directly or indirectly linked to it by control who is involved in the compliance function is not involved in the performance of credit rating activities they monitor;
upravljavci, bonitetni analitiki, zaposleni in vsaka druga fizična oseba, katere storitve so na voljo bonitetni agenciji ali so pod njenim nadzorom, ali katera koli oseba, ki je z agencijo neposredno ali posredno povezana prek nadzora in pristojna za funkcijo spremljanja skladnosti, ni vključen v opravljanje dejavnosti bonitetnega ocenjevanja, katere spremljajo;
the compensation of the compliance officer is not linked to the business performance of the credit rating agency and is arranged so as to ensure the independence of his or her judgement.
nadomestilo odgovorne osebe za varovanje zakonitosti poslovanja ni povezano s poslovnimi rezultati bonitetne agencije in je urejeno tako, da se zagotovi neodvisnost njegove presoje.
The compliance officer shall ensure that any conflicts of interest relating to the persons placed at the disposal of the compliance function are properly identified and eliminated.
Odgovorna oseba za varovanje zakonitosti poslovanja zagotovi, da je morebitno nasprotje interesov oseb, ki so na razpolago funkciji skladnosti, ustrezno prepoznano in odpravljeno.
The compliance officer shall report regularly on the carrying out of his or her duties to senior management and the independent members of the administrative or supervisory board.
Odgovorna oseba za varovanje zakonitosti poslovanja o opravljanju svojih dolžnosti redno poroča višjemu vodstvu in neodvisnim članom upravnega odbora ali nadzornega sveta.
A credit rating agency shall establish appropriate and effective organisational and administrative arrangements to prevent, identify, eliminate or manage and disclose any conflicts of interest referred to in point 1 of Section B. It shall arrange for records to be kept of all significant threats to the independence of the credit rating activities, including those to the rules on rating analysts referred to in Section C, as well as the safeguards applied to mitigate those threats.
Bonitetna agencija vzpostavi primerno in učinkovito organizacijsko in upravno ureditev za preprečevanje, ugotavljanje, odpravljanje ali ustrezno obvladovanje in razkritje nasprotja interesov iz točke 1 oddelka B. Poskrbi, da se vodijo evidence o vseh pomembnih okoliščinah, ki bi negativno vplivale na neodvisnost dejavnosti bonitetnega ocenjevanja, vključno s pravili o bonitetnih analitikih, navedenimi v oddelku C, ter zaščitnimi ukrepi za zmanjševanje teh okoliščin.
A credit rating agency shall employ appropriate systems, resources and procedures to ensure continuity and regularity in the performance of its credit rating activities.
Bonitetna agencija uporablja ustrezne sisteme, vire in postopke za zagotavljanje stalnosti in pravilnosti pri izvajanju svojih dejavnosti bonitetnega ocenjevanja.
A credit rating agency shall establish a review function responsible for periodically reviewing its methodologies, models and key rating assumptions, such as mathematical or correlation assumptions, and any significant changes or modifications thereto as well as the appropriateness of those methodologies, models and key rating assumptions where they are used or intended to be used for the assessment of new financial instruments.
Bonitetna agencija vzpostavi funkcijo pregledovanja, katere izvajalci redno pregledujejo metodologije, modele in ključne predpostavke ocenjevanja, na primer matematične ali korelacijske ter vse njihove bistvene spremembe ali prilagoditve ter preverjajo primernost teh metodologij, modelov in predpostavk, kadar se jih uporablja ali naj bi se jih uporabljalo za ocenjevanje novih finančnih instrumentov. Ta funkcija pregledovanja mora biti neodvisna od poslovnih procesov, povezanih z dejavnostmi bonitetnega ocenjevanja.
That review function shall be independent of the business lines which are responsible for credit rating activities and report to the members of the administrative or supervisory board referred to in point 2 of this Section.
Osebe, odgovorne za izvajanje te funkcije, poročajo članom upravnega odbora ali nadzornega sveta iz točke 2 tega oddelka.
A credit rating agency shall monitor and evaluate the adequacy and effectiveness of its systems, internal control mechanisms and arrangements established in accordance with this Regulation and take appropriate measures to address any deficiencies.
Bonitetna agencija spremlja in ocenjuje primernost in učinkovitost svojih sistemov, mehanizmov notranjih kontrol in ureditev, vzpostavljenih na podlagi te uredbe, ter sprejema ustrezne ukrepe za odpravo morebitnih pomanjkljivosti.
A credit rating agency shall identify, eliminate or manage and disclose, clearly and prominently, any actual or potential conflicts of interest that may influence the analyses and judgments of its rating analysts, employees, or any other natural person whose services are placed at the disposal or under the control of the credit rating agency and who are directly involved in the issuing of credit rating and persons approving credit ratings.
Bonitetna agencija ugotavlja, odpravlja ali upravlja ter jasno in na vidnem mestu razkriva vsa dejanska ali potencialna nasprotja interesov, ki bi lahko vplivala na analize in presoje njenih bonitetnih analitikov, zaposlenih ter katerih koli drugih fizičnih oseb, katerih storitve so na voljo bonitetni agenciji ali so pod njenim nadzorom in ki so neposredno udeležene pri izdaji bonitetnih ocen, ter oseb, odgovornih za odobritev bonitetnih ocen.
A credit rating agency shall disclose to the public the names of the rated entities or related third parties from which it receives more than 5 % of its annual revenue.
Bonitetna agencija razkrije javnosti imena ocenjevanih subjektov ali povezanih tretjih oseb, od katerih prejema več kot 5 % svojih letnih prihodkov.
A credit rating agency shall not issue a credit rating in any of the following circumstances, or shall, in the case of an existing credit rating, immediately disclose where the credit rating is potentially affected by the following:
Bonitetna agencija ne izda bonitetne ocene v kateri koli izmed naštetih okoliščin ali, v primeru obstoječe bonitetne ocene, nemudoma objavi, da je bonitetna ocena morebiti ogrožena, kadar:
the credit rating agency or persons referred to in point 1, directly or indirectly owns financial instruments of the rated entity or a related third party or has any other direct or indirect ownership interest in that entity or party, other than holdings in diversified collective investment schemes, including managed funds such as pension funds or life insurance;
ima bonitetna agencija ali osebe iz točke 1, neposredno ali posredno v lasti finančne instrumente ocenjevanega subjekta ali povezane tretje osebe ali kakršno koli drugačno neposredno ali posredno lastniško udeležbo v tem subjektu ali tretjo osebo, razen deležev v razpršenih kolektivnih naložbenih shemah, vključno v upravljanih skladih, kot so pokojninski skladi ali življenjska zavarovanja;
the credit rating is issued with respect to the rated entity or a related third party directly or indirectly linked to the credit rating agency by control;
se bonitetna ocena izda v zvezi z ocenjevanim subjektom ali povezano tretjo osebo, ki je z bonitetno agencijo neposredno ali posredno povezana z obvladovanjem;
a person referred to in point 1 is a member of the administrative or supervisory board of the rated entity or a related third party; or
je oseba iz točke 1 član upravnega odbora ali nadzornega sveta ocenjevanega subjekta ali povezane tretje osebe; ali
a rating analyst who participated in determining a credit rating, or a person who approved a credit rating, has had a relationship with the rated entity or a related third party which may cause a conflict of interests.
je imel bonitetni analitik, ki je sodeloval pri določanju bonitetne ocene, ali oseba, ki jo je odobrila, kakršen koli odnos z ocenjevanim subjektom ali povezano tretjo osebo, kar lahko povzroči nastanek nasprotij interesov.
A credit rating agency shall also immediately assess whether there are grounds for re-rating or withdrawing the existing credit rating.
Bonitetna agencija prav tako nemudoma oceni, ali obstajajo razlogi za ponovno določitev ali umik obstoječe bonitetne ocene.
A credit rating agency shall not provide consultancy or advisory services to the rated entity or a related third party regarding the corporate or legal structure, assets, liabilities or activities of that rated entity or related third party.
Bonitetna agencija ne zagotavlja svetovalnih storitev ocenjevanemu subjektu ali povezani tretji osebi glede podjetniške ali pravne strukture, sredstev, obveznosti ali dejavnosti omenjenega ocenjevanega subjekta ali povezane tretje osebe.
A credit rating agency may provide services other than issue of credit ratings (ancillary services).
Bonitetna agencija lahko opravlja storitve, ki niso izdaja bonitetnih ocen, v nadaljevanju „pomožne storitve“.
Ancillary services are not part of credit rating activities; they comprise market forecasts, estimates of economic trends, pricing analysis and other general data analysis as well as related distribution services.
Pomožne storitve niso del dejavnosti bonitetnega ocenjevanja, ampak zajemajo tržne napovedi, ocene gospodarskih gibanj, analize oblikovanja cen in druge splošne podatkovne analize, pa tudi s tem povezane distribucijske storitve.
A credit rating agency shall ensure that the provision of ancillary services does not present conflicts of interest with its credit rating activities and shall disclose in the final ratings reports any ancillary services provided for the rated entity or any related third party.
Bonitetna agencija poskrbi, da opravljanje pomožnih storitev ne pomeni nasprotij interesov v njeni dejavnosti bonitetnega ocenjevanja in v končnih poročilih o bonitetnih ocenah razkrije vse opravljene pomožne storitve za ocenjevani subjekt ali katero koli povezano tretjo osebo.
A credit rating agency shall ensure that rating analysts or persons who approve ratings do not make proposals or recommendations, either formally or informally, regarding the design of structured finance instruments on which the credit rating agency is expected to issue a credit rating.
Bonitetna agencija poskrbi, da bonitetni analitiki ali osebe, ki odobrijo bonitetne ocene, ne dajejo uradnih ali neuradnih predlogov ali priporočil v zvezi s sestavo strukturiranih finančnih instrumentov, za katere se pričakuje, da bo bonitetna agencija zanje izdala bonitetno oceno.
A credit rating agency shall design its reporting and communication channels so as to ensure the independence of the persons referred to in point 1 from the other activities of the credit rating agency carried out on a commercial basis.
Bonitetna agencija oblikuje svoje poročevalske in komunikacijske poti, tako da zagotovi neodvisnost oseb iz točke 1 od drugih dejavnosti bonitetne agencije, ki se opravljajo na poslovni osnovi.
A credit rating agency shall arrange for adequate records and, where appropriate, audit trails of its credit rating activities to be kept.
Bonitetna agencija poskrbi za ustrezne evidence in, kjer je primerno, zagotovi, da se ohranijo revizijske sledi njenih dejavnosti bonitetnega ocenjevanja.
Those records shall include:
Te evidence vključujejo:
for each credit rating decision, the identity of the rating analysts participating in the determination of the credit rating, the identity of the persons who have approved the credit rating, information as to whether the credit rating was solicited or unsolicited, and the date on which the credit rating action was taken;
za vsako odločitev o bonitetni oceni identiteto bonitetnih analitikov, ki sodelujejo pri določanju bonitetne ocene, in identiteto oseb, ki so oceno odobrile, informacije o tem, ali je bila bonitetna ocena naročena ali ne, ter datum njene izvedbe;
the account records relating to fees received from any rated entity or related third party or any user of ratings;
evidence honorarjev, prejetih od katerega koli ocenjevanega subjekta ali z njim povezane tretje osebe oziroma katerega koli uporabnika bonitetnih ocen;
the account records for each subscriber to the credit ratings or related services;
evidence računov posameznega naročnika bonitetnih ocen in z njimi povezanih storitev;
the records documenting the established procedures and methodologies used by the credit rating agency to determine credit ratings;
evidence, ki dokazujejo vzpostavljene postopke in metodologije, ki jih uporablja bonitetna agencija za določanje bonitetnih ocen;
the internal records and files, including non-public information and work papers, used to form the basis of any credit rating decision taken;
notranje evidence in dokumente, vključno z informacijami, ki niso javnega značaja, in delovne dokumente, ki se uporabljajo kot osnova za sprejemanje vseh odločitev o bonitetnih ocenah;
credit analysis reports, credit assessment reports and private credit rating reports and internal records, including non-public information and work papers, used to form the basis of the opinions expressed in such reports;
poročila o bonitetnih analizah, poročila o bonitetni oceni in poročila o zasebnih bonitetnih ocenah ter notranje evidence, vključno z informacijami, ki niso javnega značaja, in delovnimi dokumenti, ki se uporabljajo kot osnova za mnenja, izražena v takih poročilih;
records of the procedures and measures implemented by the credit rating agency to comply with this Regulation; and
evidence o postopkih in ukrepih, ki jih je vzpostavila bonitetna agencija zaradi izpolnjevanja te uredbe; ter