natgillin/translations-raw huggingface dataset:
ESMA shall act as the legal successor of the competent authorities and colleges referred to in paragraph 1 in any administrative or judicial proceedings that result from supervisory and enforcement activity pursued by those competent authorities and colleges in relation to matters that fall under this Regulation.
ESMA deluje kot pravni naslednik pristojnih organov in kolegijev iz odstavka 1 v vseh upravnih ali sodnih postopkih, ki so posledica nadzornih in izvršilnih dejavnosti, ki so jih ti zadevni pristojni organi in kolegiji izvajali v zvezi z zadevami, ki sodijo v okvir te uredbe.
Any registration of a credit rating agency, in accordance with Chapter I of Title III, by a competent authority referred to in paragraph 1 of this Article shall remain valid after the transfer of competences to ESMA.
Vsaka registracija bonitetne agencije v skladu s poglavjem I naslova III, ki jo opravi pristojni organ iz odstavka 1 tega člena, ostane veljavna po prenosu pristojnosti na ESMA.
By 1 July 2014 and within the scope of its ongoing supervision, ESMA shall conduct at least one verification of all credit rating agencies falling under its supervisory competences.’;
ESMA do 1. julija 2014 v okviru nadzora v teku izvede vsaj eno preiskavo vseh bonitetnih agencij, ki sodijo pod njegovo nadzorno pristojnost.“
Annex I is hereby amended in accordance with Annex I to this Regulation;
Priloga I se spremeni v skladu s Prilogo I k tej uredbi.
the Annexes set out in Annex II hereto are added.
Dodajo se priloge iz Priloge II k tej uredbi.
OJ C 337, 14.12.2010, p. 1.
UL C 337, 14.12.2010, str. 1.
OJ C 54, 19.2.2011, p. 37.
UL C 54, 19.2.2011, str. 37.
Position of the European Parliament of 15 December 2010 (not yet published in the Official Journal) and decision of the Council of 11 April 2011.
Stališče Evropskega parlamenta z dne 15. decembra 2010 (še ni objavljeno v Uradnem listu) in odločitev Sveta z dne 11. aprila 2011.
OJ L 331, 15.12.2010, p. 48.’;
UL L 331, 15.12.2010, str. 48.“
Annex I to Regulation (EC) No 1060/2009 is amended as follows:
Priloga I k Uredbi (ES) št. 1060/2009 se spremeni:
in point 2 of Section A, the last paragraph is replaced by the following:
V oddelku A se zadnji odstavek točke 2 nadomesti z naslednjim:
‘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 ESMA 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 ESMA, kadar koli jih ta zahteva.“
in point 8 of Section B, the first paragraph is replaced by the following:
V oddelku B se prvi pododstavek točke 8 nadomesti z naslednjim:
Records and audit trails referred to in point 7 shall be kept at the premises of the registered credit rating agency for at least five years and be made available upon request to ESMA.’;
Evidence in revizijske sledi iz točke 7 se hranijo v prostorih registrirane bonitetne agencije najmanj pet let in so na voljo ESMA na njegovo zahtevo.“
in point 2 of Part II of Section E, the first paragraph is replaced by the following:
V točki 2 naslova II oddelka E se prvi odstavek nadomesti z naslednjim:
a list of the largest 20 clients of the credit rating agency by revenue generated from them;
seznam svojih 20 največjih strank glede na prihodek, ki ga ustvarjajo;
Any such client shall be included on the list only where, in that year, it accounted for more than 0,25 % of the worldwide total revenues of the credit rating agency at global level; and
Vsaka taka stranka se v ta seznam vključi samo, če je v tistem letu bonitetna agencija na svetovni ravni z njo ustvarila več kot 0,25 % svojih skupnih prihodkov, in
a list of credit ratings issued during the year, indicating the proportion of unsolicited credit ratings among them.’.
seznam med letom izdanih bonitetnih ocen, ki prikazuje delež nenaročenih bonitetnih ocen.“
The following Annexes are added to Regulation (EC) No 1060/2009:
Uredbi (ES) št. 1060/2009 se dodajo naslednje priloge:
List of infringements referred to in Article 24(1) and Article 36a(1)
Seznam kršitev iz člena 24(1) in člena 36a(1)
I. Infringements related to conflicts of interest, organisational or operational requirements
I. Kršitve v zvezi z navzkrižjem interesov, organizacijskimi ali operativnimi zahtevami
The credit rating agency infringes Article 4(3) by endorsing a credit rating issued in a third country without complying with the conditions set out in that paragraph, unless the reason for that infringement is outside the credit rating agency's knowledge or control.
Bonitetna agencija prekrši člen 4(3), če odobri bonitetno oceno, izdano v tretji državi, ne da bi bili izpolnjeni pogoji, določeni v tem odstavku, razen če bonitetna agencija ne pozna ali ne nadzoruje razloga za to kršitev.
The credit rating agency infringes the second subparagraph of Article 4(4) by using the endorsement of a credit rating issued in a third country with the intention of avoiding the requirements of this Regulation.
Bonitetna agencija prekrši drugi pododstavek člena 4(4), če odobritev bonitetne ocene, izdane v tretji državi, uporabi za to, da bi se izognila zahtevam iz te uredbe.
The credit rating agency infringes Article 6(2), in conjunction with point 1 of Section A of Annex I, by not establishing an administrative or a supervisory board.
Bonitetna agencija prekrši člen 6(2) v povezavi s točko 1 oddelka A Priloge I, če ne ustanovi upravnega odbora ali nadzornega sveta.
The credit rating agency infringes Article 6(2), in conjunction with the first paragraph of point 2 of Section A of Annex I, by not ensuring that its business interest does not impair the independence or accuracy of the credit rating activities.
Bonitetna agencija prekrši člen 6(2) v povezavi s prvim odstavkom točke 2 oddelka A Priloge I, če ne zagotovi, da njen poslovni interes ne zmanjša neodvisnosti ali točnosti dejavnosti bonitetnega ocenjevanja.
The credit rating agency infringes Article 6(2), in conjunction with the second paragraph of point 2 of Section A of Annex I, by appointing senior management which are not of good repute, sufficiently skilled or experienced, or cannot ensure the sound and prudent management of the credit rating agency.
Bonitetna agencija prekrši člen 6(2) v povezavi z drugim odstavkom točke 2 oddelka A Priloge I, če imenuje višje vodstvo, ki nima dobrega ugleda, dovolj strokovnega znanja ali izkušenj, ali ne more zagotoviti premišljenega in skrbnega upravljanja bonitetne agencije.
The credit rating agency infringes Article 6(2), in conjunction with the third paragraph of point 2 of Section A of Annex I, by not appointing the required number of independent members of its administrative or supervisory board.
Bonitetna agencija prekrši člen 6(2) v povezavi s tretjim odstavkom točke 2 oddelka A Priloge I, če ne določi zahtevanega števila neodvisnih članov svojega upravnega odbora ali nadzornega sveta.
The credit rating agency infringes Article 6(2), in conjunction with the fourth paragraph of point 2 of Section A of Annex I, by setting up a compensation system for the independent members of its administrative or supervisory board which is linked to the business performance of the credit rating agency or is not arranged to ensure the independence of their judgment; or by setting a term of office for the independent members of its administrative or supervisory board for a period exceeding five years or for a renewable term; or by dismissing an independent member of the administrative or supervisory board other than in the case of misconduct or professional underperformance.
Bonitetna agencija prekrši člen 6(2) v povezavi s četrtim odstavkom točke 2 oddelka A Priloge I, če določi, da je sistem nadomestil za neodvisne člane njenega upravnega odbora ali nadzornega sveta povezan s poslovnimi rezultati bonitetne agencije ali ni zagotovljen na način, ki zagotavlja neodvisnost njihove presoje; ali če določi, da je mandat neodvisnih članov njenega upravnega odbora ali nadzornega sveta daljši od petih let ali obnovljiv; ali če odpusti neodvisnega člana upravnega odbora ali nadzornega sveta iz razlogov, ki niso povezani s kršitvami ali nesposobnostjo opravljanja nalog.
The credit rating agency infringes Article 6(2), in conjunction with the fifth paragraph of point 2 of Section A of Annex I, by appointing members of the administrative or supervisory board that do not have sufficient expertise in financial services; or, where the credit rating agency issues credit ratings of structured finance instruments, by not appointing at least one independent member and one other member of the board who has in-depth knowledge and experience at senior level of the markets in structured finance instruments.
Bonitetna agencija prekrši člen 6(2) v povezavi s petim odstavkom točke 2 oddelka A Priloge I, če imenuje člane upravnega odbora ali nadzornega sveta, ki nimajo dovolj strokovnega znanja s področja finančnih storitev; ali če bonitetna agencija izda bonitetne ocene strukturiranih finančnih instrumentov, ne da bi v odbor imenovala vsaj enega neodvisnega člana in enega člana odbora, ki ima poglobljeno znanje in izkušnje na višji ravni s področja trgov s strukturiranimi finančnimi instrumenti.
The credit rating agency infringes Article 6(2), in conjunction with the sixth paragraph of point 2 of Section A of Annex I, by not ensuring that the independent members of the administrative or supervisory board perform the tasks of monitoring any of the matters referred to in the sixth paragraph of that point.
Bonitetna agencija prekrši člen 6(2) v povezavi s šestim odstavkom točke 2 oddelka A Priloge I, če ne zagotovi, da neodvisni člani upravnega odbora ali nadzornega sveta opravljajo nalogo spremljanja katere koli od zadev iz šestega odstavka navedene točke.
The credit rating agency infringes Article 6(2), in conjunction with the seventh paragraph of point 2 of Section A of Annex I, by not ensuring that the independent members of the administrative or supervisory board present their opinions on the matters referred to in the sixth paragraph of that point to the board periodically or make those opinions available to ESMA on request.
Bonitetna agencija prekrši člen 6(2) v povezavi s sedmim odstavkom točke 2 oddelka A Priloge I, če ne zagotovi, da neodvisni člani upravnega odbora ali nadzornega sveta redno posredujejo svoje mnenje o zadevah iz šestega odstavka navedene točke odboru oziroma svetu ali dajo ta mnenja na voljo ESMA na njegovo zahtevo.
The credit rating agency infringes Article 6(2), in conjunction with point 3 of Section A of Annex I, by not establishing adequate policies or procedures to ensure compliance with its obligations under this Regulation.
Bonitetna agencija prekrši člen 6(2) v povezavi s točko 3 oddelka A Priloge I, če ne oblikuje ustreznih politik ali postopkov za zagotavljanje skladnosti z obveznostmi iz te uredbe.
The credit rating agency infringes Article 6(2), in conjunction with point 4 of Section A of Annex I, by not having sound administrative or accounting procedures, internal control mechanisms, effective procedures for risk assessment, or effective control or safeguard arrangements for information processing systems; or by not implementing or maintaining decision-making procedures or organisational structures as required by that point.
Bonitetna agencija prekrši člen 6(2) v povezavi s točko 4 oddelka A Priloge I, če nima ustreznih upravnih ali računovodskih postopkov, mehanizmov notranjih kontrol, učinkovitih postopkov za ocenjevanje tveganj ali učinkovitih kontrolnih ali zaščitnih ukrepov za sisteme za obdelavo informacij; ali če ne izvaja ali ohranja postopkov odločanja ali organizacijskih struktur v skladu z navedeno točko.
The credit rating agency infringes Article 6(2), in conjunction with point 5 of Section A of Annex I, by not establishing or maintaining a permanent and effective compliance function department (compliance function) which operates independently.
Bonitetna agencija prekrši člen 6(2) v povezavi s točko 5 oddelka A Priloge I, če ne vzpostavi službe za varovanje zakonitosti poslovanja, ki deluje neodvisno, ali če je ne vzdržuje trajno in učinkovito.
The credit rating agency infringes Article 6(2), in conjunction with the first paragraph of point 6 of Section A of Annex I, by not ensuring that the conditions enabling the compliance function to discharge its responsibilities properly or independently, as set out in the first paragraph of that point, are satisfied.
Bonitetna agencija prekrši člen 6(2) v povezavi s prvim odstavkom točke 6 oddelka A Priloge I, če ne zagotovi izpolnitve pogojev, ki službi za varovanje zakonitosti poslovanja omogočajo pravilno ali neodvisno opravljanje dolžnosti, kakor so opredeljeni v prvem odstavku navedene točke.
The credit rating agency infringes Article 6(2), in conjunction with point 7 of Section A of Annex I, by not establishing appropriate and effective organisational or administrative arrangements to prevent, identify, eliminate or manage and disclose any conflicts of interest referred to in point 1 of Section B of Annex I, or by not arranging 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 of Annex I, as well as the safeguards applied to mitigate those threats.
Bonitetna agencija prekrši člen 6(2) v povezavi s točko 7 oddelka A Priloge I, če ne vzpostavi primerne in učinkovite organizacijske ali upravne ureditve za preprečevanje, ugotavljanje, odpravljanje ali ustrezno obvladovanje in razkrivanje navzkrižij interesov iz točke 1 oddelka B Priloge I ali če ne 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 Priloge I, ter zaščitnimi ukrepi za zmanjševanje teh okoliščin.
The credit rating agency infringes Article 6(2), in conjunction with point 8 of Section A of Annex I, by not employing appropriate systems, resources or procedures to ensure continuity and regularity in the performance of its credit rating activities.
Bonitetna agencija prekrši člen 6(2) v povezavi s točko 8 oddelka A Priloge I, če ne uporablja ustreznih sistemov, virov in postopkov za zagotavljanje stalnosti ali pravilnosti pri izvajanju svojih dejavnosti bonitetnega ocenjevanja.
The credit rating agency infringes Article 6(2), in conjunction with point 9 of Section A of Annex I, by not establishing a review function that:
Bonitetna agencija prekrši člen 6(2) v povezavi s točko 9 oddelka A Priloge I, če ne vzpostavi funkcije pregledovanja:
is responsible for periodically reviewing its methodologies, models and key rating assumptions or any significant changes or modifications thereto, or the appropriateness of those methodologies, models or key rating assumptions where they are used or intended to be used for the assessment of new financial instruments;
v okviru katere se redno pregledujejo metodologije, modeli in ključne predpostavke ali pomembnejše spremembe metodologij, modelov in ključnih predpostavk ali njihovo primernost, kadar so ti uporabljeni ali se jih namerava uporabiti za oceno novih finančnih instrumentov;
is independent of the business lines which are responsible for credit rating activities; or
ki je neodvisna od poslovnih procesov, povezanih z dejavnostmi bonitetnega ocenjevanja, ali
reports to the members of the administrative or supervisory board.
v okviru katere poroča članom upravnega odbora ali nadzornega sveta.
The credit rating agency infringes Article 6(2), in conjunction with point 10 of Section A of Annex I, by not monitoring or evaluating the adequacy and effectiveness of its systems, internal control mechanisms and arrangements established in accordance with this Regulation or by not taking appropriate measures to address any deficiencies.
Bonitetna agencija prekrši člen 6(2) v povezavi s točko 10 oddelka A Priloge I, če ne spremlja ali ocenjuje primernosti in učinkovitosti svojih sistemov, mehanizmov notranjih kontrol in ureditev, vzpostavljenih na podlagi te uredbe ali če ne sprejema ustreznih ukrepov za odpravo morebitnih pomanjkljivosti.
The credit rating agency infringes Article 6(2), in conjunction with point 1 of Section B of Annex I, by not identifying, eliminating or managing and disclosing, clearly or prominently, any actual or potential conflicts of interest that may influence the analyses or 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 a credit rating or persons approving credit ratings.
Bonitetna agencija prekrši člen 6(2) v povezavi s točko 1 oddelka B Priloge I, če ne ugotavlja, odpravlja ali upravlja ter jasno ali vidno razkriva vsa dejanska ali potencialna navzkrižja interesov, ki bi lahko vplivala na analize ali 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, ali oseb, odgovornih za odobritev bonitetnih ocen.
The credit rating agency infringes Article 6(2), in conjunction with the first paragraph of point 3 of Section B of Annex I, by issuing a credit rating in any of the circumstances set out in the first paragraph of that point or, in the case of an existing credit rating, by not disclosing immediately that the credit rating is potentially affected by those circumstances.
Bonitetna agencija prekrši člen 6(2) v povezavi s prvim odstavkom točke 3 oddelka B Priloge I, če v kateri koli od okoliščin prvega odstavka navedene točke izda bonitetno oceno ali če v primeru veljavne bonitetne ocene ne objavi takoj, da je bonitetna ocena lahko ogrožena zaradi navedenih okoliščin.
The credit rating agency infringes Article 6(2), in conjunction with the second paragraph of point 3 of Section B of Annex I, by not immediately assessing whether there are grounds for re-rating or withdrawing an existing credit rating.
Bonitetna agencija prekrši člen 6(2) v povezavi z drugim odstavkom točke 3 oddelka B Priloge I, če nemudoma ne oceni, ali obstajajo razlogi za ponovno določitev ali umik veljavne bonitetne ocene.
The credit rating agency infringes Article 6(2), in conjunction with the first paragraph of point 4 of Section B of Annex I, by providing 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 prekrši člen 6(2) v povezavi s prvim odstavkom točke 4 oddelka B Priloge I, če ocenjevanemu subjektu ali povezani tretji osebi nudi posvetovalne ali svetovalne storitve glede podjetniške ali pravne strukture, sredstev, obveznosti ali dejavnosti omenjenega ocenjevanega subjekta ali povezane tretje osebe.
The credit rating agency infringes Article 6(2), in conjunction with the first part of the third paragraph of point 4 of Section B of Annex I, by not ensuring that the provision of an ancillary service does not present a conflict of interest with its credit rating activity.
Bonitetna agencija prekrši člen 6(2) v povezavi s prvim delom tretjega odstavka točke 4 oddelka B Priloge I, če ne zagotovi, da določbe pomožnih storitev ne predstavljajo navzkrižja interesov z dejavnostjo bonitetnega ocenjevanja.
The credit rating agency infringes Article 6(2), in conjunction with point 5 of Section B of Annex I, by not ensuring that rating analysts or persons who approve ratings do not make proposals or recommendations regarding the design of structured finance instruments on which the credit rating agency is expected to issue a credit rating.
Bonitetna agencija prekrši člen 6(2) v povezavi s točko 5 oddelka B Priloge I, če ne poskrbi, da bonitetni analitiki ali osebe, ki odobrijo bonitetne ocene, ne dajejo predlogov ali priporočil v zvezi s sestavo strukturiranih finančnih produktov, za katere naj bi bonitetna agencija po pričakovanjih izdala bonitetno oceno.
The credit rating agency infringes Article 6(2), in conjunction with point 6 of Section B of Annex I, by not designing its reporting or communication channels so as to ensure the independence of the persons referred to in point 1 of Section B from the other activities of the credit rating agency carried out on a commercial basis.
Bonitetna agencija prekrši člen 6(2) v povezavi s točko 6 oddelka B Priloge I, če ne oblikuje svojih poročevalskih ali komunikacijskih poti, da bi zagotovila neodvisnost oseb iz točke 1 oddelka B od drugih dejavnosti bonitetne agencije, ki se opravljajo na poslovni osnovi.
The credit rating agency infringes Article 6(2), in conjunction with the second paragraph of point 8 of Section B of Annex I, by not keeping the records for a term of at least three years once its registration is withdrawn.
Bonitetna agencija prekrši člen 6(2) v povezavi z drugim odstavkom točke 8 oddelka B Priloge I, če po razveljavitvi svoje registracije ne hrani evidenc še najmanj tri leta.
The credit rating agency infringes Article 7(1) by not ensuring that rating analysts, its employees or any other natural person whose services are placed at its disposal or under its control and who are directly involved in credit rating activities have appropriate knowledge and experience for the duties assigned.
Bonitetna agencija prekrši člen 7(1), če ne poskrbi, da imajo bonitetni analitiki, zaposleni v bonitetni agenciji, ali katera koli fizična oseba, katere storitve so na voljo bonitetni agenciji ali so pod njenim nadzorom in ki je neposredno vključena v dejavnosti bonitetnega ocenjevanja, ustrezno znanje in izkušnje za dodeljene dolžnosti.
The credit rating agency infringes Article 7(2) by not ensuring that a person referred to in Article 7(1) does not initiate or participate in negotiations regarding fees or payments with any rated entity, related third party or any person directly or indirectly linked to the rated entity by control.
Bonitetna agencija prekrši člen 7(2), če ne zagotovi, da oseba iz člena 7(1) ne začne ali ni udeležena v pogajanjih v zvezi z denarnimi kaznimi ali plačili s katerim koli ocenjevanim subjektom, povezano tretjo osebo ali katero koli osebo, ki je z ocenjevanim subjektom neposredno ali posredno povezana z nadzorom.
The credit rating agency infringes Article 7(3), in conjunction with point 3(a) of Section C of Annex I, by not ensuring that a person referred to in point 1 of that Section takes all reasonable measures to protect property or records in possession of the credit rating agency from fraud, theft or misuse, taking into account the nature, scale and complexity of its business and the nature and range of its credit rating activities.
Bonitetna agencija prekrši člen 7(3) v povezavi s točko 3(a) oddelka C Priloge I, če ne poskrbi, da oseba iz točke 1 zadevnega oddelka sprejme vse razumne ukrepe za zaščito lastnine ali evidenc v lasti bonitetne agencije pred prevaro, krajo ali zlorabo, pri čemer upošteva naravo, obseg in kompleksnost poslov ter naravo in obseg dejavnosti bonitetnega ocenjevanja.
The credit rating agency infringes Article 7(3), in conjunction with point 5 of Section C of Annex I, by imposing negative consequences on a person referred to in point 1 of that Section where that person reports information to the compliance officer to the effect that another person as referred to in point 1 of that Section has engaged in conduct that he or she considers to be illegal.
Bonitetna agencija prekrši člen 7(3) v povezavi s točko 5 oddelka C Priloge I, če osebam iz točke 1 zadevnega oddelka naloži negativne posledice, kadar zadevne osebe poročajo odgovorni osebi za varovanje zakonitosti poslovanja, da so druge osebe, kakor so določene v točki 1 navedenega oddelka, vpletene v ravnanje, ki je po mnenju prvih nezakonito.