natgillin/translations-raw huggingface dataset:
Total amount of ratings records in the file, including ratings declarations and cancellations.
Skupno število zapisov bonitetnih ocen v datoteko, vključno z izjavami o bonitetnih ocenah in njihovimi razveljavitvami.
Name or description of the rating. It shall identify the rating, the instrument or issuer being rated.
Ime ali opis bonitetne ocene, ki identificira bonitetno oceno, ocenjeni instrument ali izdajatelja.
Commission Delegated Regulation (EU) No 449/2012
Delegirana uredba Komisije (EU) št. 449/2012
supplementing Regulation (EC) No 1060/2009 of the European Parliament and of the Council with regard to regulatory technical standards on information for registration and certification of credit rating agencies
o dopolnitvi Uredbe (ES) št. 1060/2009 Evropskega parlamenta in Sveta glede regulativnih tehničnih standardov za informacije za registracijo in certificiranje bonitetnih agencij
Having regard to Regulation (EC) No 1060/2009 of the European Parliament and of the Council of 16 September 2009 on credit rating agencies [1], and in particular points (a) and (b) of Article 21(4) thereof,
ob upoštevanju Uredbe (ES) št. 1060/2009 Evropskega parlamenta in Sveta z dne 16. septembra 2009 o bonitetnih agencijah [1], zlasti točk (a) in (b) člena 21(4) Uredbe,
In accordance with the general objectives of Regulation (EC) No 1060/2009, in particular the contribution to the quality of credit ratings issued in the Union, financial stability, consumer and investor protection, this Regulation should ensure that the information to be submitted to the European Securities and Markets Authority (ESMA) during the registration and certification processes, is provided following uniform rules, so that ESMA is able to make an informed decision on the registration or certification of a credit rating agency.
V skladu s splošnimi cilji Uredbe (ES) št. 1060/2009, zlasti glede prispevanja h kakovosti bonitetnih ocen v Uniji, finančni stabilnosti ter zaščiti potrošnikov in vlagateljev, mora ta uredba zagotoviti, da za informacije, ki jih je med postopkom registracije in certificiranja treba predložiti Evropskemu organu za vrednostne papirje in trge (ESMA), veljajo enotna pravila, tako da je ESMA pri sprejemanju odločitve o registraciji in certificiranju bonitetne agencije ustrezno obveščena.
The longer-term benefits of the additional information are expected to outweigh any potential additional short-term costs of registration, in terms of investor protection and financial stability.
Pričakuje se, da bodo v smislu zaščite vlagateljev in finančne stabilnosti dolgoročne koristi dodatnih informacij presegle vse morebitne dodatne kratkoročne stroške registracije.
This Regulation should set out the information that ESMA is to receive as part of an application for registration by a credit rating agency.
Ta uredba mora določiti informacije, ki jih mora bonitetna agencija ESMA predložiti v vlogi za registracijo.
Certain information requested in this Regulation might not be applicable to a newly established credit rating agency because it might have applied for an exemption, lack previous experience in the credit rating business, or other reasons.
Novoustanovljenim bonitetnim agencijam nekaterih informacij, ki jih določa ta uredba, pod določenimi pogoji ni treba predložiti, če zaprosijo za oprostitev, če nimajo predhodnih izkušenj na področju bonitetnega ocenjevanja ali zaradi drugih razlogov.
This Regulation should not create a barrier of entry to newly established credit rating agencies willing to enter the market.
Ta uredba ne sme ustvariti ovir za novoustanovljene bonitetne agencije, ki želijo vstopiti na trg.
Nevertheless, an applicant should provide a clear explanation for not submitting any specific information contained in that application.
Kljub temu mora vložnica vloge za registracijo jasno obrazložiti, zakaj v vlogi določenih informacij ni predložila.
Any information submitted to ESMA should be provided in a durable medium which enables its storage for future use.
Vse informacije je treba ESMA predložiti na trajnem nosilcu podatkov, ki omogoča shranjevanje za prihodnjo uporabo.
In order to facilitate the identification of the information submitted by a credit rating agency, all documents should be identified by a reference number.
Da bi bila identifikacija informacij, ki jih predložijo bonitetne agencije, lažja, je treba vsak dokument označiti z referenčno številko.
In order for ESMA to assess if any conflicts of interest arising from the activities and business interests of the owners of a credit rating agency might affect the independence of a credit rating agency, a credit rating agency should be required to give information regarding its owners activities and the ownership of its parent undertaking.
Da bi ESMA lahko presodila, ali na neodvisnost bonitetne agencije vplivajo kakršna koli nasprotja interesov, ki izhajajo iz dejavnosti in poslovnih interesov lastnikov bonitetne agencije, je treba od bonitetne agencije zahtevati, da zagotovi informacije o dejavnostih lastnikov in lastništvu matične družbe.
A credit rating agency should provide information on the composition, functioning and independence of its governing bodies in order for ESMA to be able to assess whether the corporate governance structure ensures the independence of the credit rating agency and the avoidance of conflicts of interest.
Bonitetna agencija mora zagotoviti informacije o sestavi, delovanju in neodvisnosti svojih upravnih organov, da lahko ESMA presodi, ali struktura upravljanja družbe zagotavlja neodvisnost bonitetne agencije in preprečuje nasprotja interesov.
In order to allow ESMA to assess the good repute as well as the experience and skills of the senior management, a credit rating agency should provide the curriculum vitae, recent criminal record and self-declarations on the good repute of its senior management.
Da bi ESMA lahko ocenila dobro ime, izkušnje in znanje višjega vodstva, mora bonitetna agencija predložiti življenjepis, nedaven izpisek iz kazenske evidence in lastne izjave o dobrem imenu višjega vodstva.
For the purposes of assessing how conflicts of interest are eliminated or managed and disclosed, a credit rating agency should provide ESMA with an up-to-date inventory of existing and potential conflicts of interest covering at least the conflicts arising from the carrying out of ancillary services, the outsourcing of rating activities and the interaction with related third parties.
Da bi se lahko presodilo, kako se nasprotja interesov odpravljajo, kako se z njimi upravlja in kako se razkrivajo, mora bonitetna agencija ESMA predložiti posodobljen seznam obstoječih in morebitnih nasprotij interesov, ki vsebuje vsaj nasprotja, ki izhajajo iz izvajanja pomožnih storitev, izločenih bonitetnih dejavnosti in medsebojnega vplivanja s tretjimi osebami.
When identifying the conflicts of interest for the inventory, a credit rating agency should consider conflicts of interest which might arise from entities which belong to the global group of undertakings to which it belongs.
Pri določanju nasprotij interesov, ki bodo vključena v seznam, mora bonitetna agencija upoštevati tudi nasprotja interesov, ki bi lahko nastala v drugih podjetjih, ki pripadajo njeni skupini.
Therefore, intra-group arrangements concerning allocation of tasks and the provision of ancillary services by different entities within the group of undertakings should be taken into consideration.
Zato je treba pri tem upoštevati tudi postopke znotraj skupine, ki urejajo dodelitev nalog in zagotavljanje pomožnih storitev s strani različnih podjetij znotraj skupine podjetij.
Although the branches of a credit rating agency established in the Union are not legal persons, those agencies should provide separate information as regards their branches so as to enable ESMA to clearly identify the position of the branches in the organisational structure, assess the fitness and appropriateness of the senior management of the branches and evaluate whether the control mechanisms, compliance and other functions in place, are considered to be robust enough to identify, evaluate and manage the branches’ risks in an appropriate manner.
Čeprav podružnice bonitetnih agencij, ustanovljene v Uniji, niso pravne osebe, morajo takšne agencije zagotoviti ločene informacije o svojih podružnicah, da lahko ESMA jasno opredeli položaj podružnic v organizacijski strukturi, oceni sposobnost in primernost višjega vodstva podružnic ter presodi, ali so nadzorni mehanizmi, varovanje zakonitosti poslovanja in druge funkcije dovolj robustni, da se lahko tveganja podružnice ustrezno ugotavljajo, ocenjujejo in obvladujejo.
The information requested regarding possible conflicts of interests with ancillary services should refer to all businesses of the credit rating agency which are not part of the rating activities.
Zahtevane informacije o možnih nasprotjih interesov pri pomožnih storitvah se morajo nanašati na vse poslovne dejavnosti bonitetne agencije, ki niso del dejavnosti bonitetnega ocenjevanja.
In order to enable ESMA to assess whether a third-country regulatory framework for CRAs may be considered ‘as stringent as’ the Union regime in place, a credit rating agency intending to endorse ratings issued in that third country should provide ESMA with detailed information on the third-country regulatory framework and how it compares to the Union regime in place.
Da bi ESMA lahko presodila, ali se lahko regulativni okvir tretje države za bonitetne agencije šteje za „enako strogega“ kot obstoječi regulativni okvir Unije, morajo bonitetne agencije, ki nameravajo potrditi bonitetne ocene, izdelane v tej tretji državi, ESMA predložiti podrobne informacije o regulativnem okviru te tretje države, ki omogočajo primerjavo z obstoječim regulativnim okvirom Unije.
Where such information is already available to ESMA, from other applications for endorsement, and ESMA takes the view that the third-country regulatory framework may be considered to be as stringent as the Union regime in place, the applicant credit rating agencies should be exempted from submitting this information.
Če ESMA takšne informacije že ima, ker so bile predložene v drugih vlogah za potrditev, in če ESMA meni, da se lahko regulativni okvir tretje države šteje za enako strogega kot okvir Unije, mora biti bonitetna agencija vložnica oproščena predložitve takšnih informacij.
In any case, the applicant credit rating agencies shall demonstrate that the conduct of credit rating activities by the third-country credit rating agency resulting in the issuing of the credit rating to be endorsed fulfils the requirements under the third-country regime and that there are procedures to monitor the conduct of credit rating activities by the third-country credit rating agency.
V vsakem primeru morajo bonitetne agencije vložnice dokazati, da bonitetne agencije v tretji državi pri opravljanju dejavnosti bonitetnega ocenjevanja, na podlagi katerih izdelajo bonitetno oceno, ki naj bi se jo potrdilo, izpolnjujejo zahteve regulativnega okvira tretje države in da obstajajo postopki za nadzor opravljanja dejavnosti bonitetnega ocenjevanja s strani bonitetne agencije iz tretje države.
This Regulation should set out the information that a credit rating agency must provide in its application for certification and for the assessment of its systemic importance to the financial stability or integrity of financial markets referred to in Article 5 of Regulation (EC) No 1060/2009.
Ta uredba mora določiti, katere informacije mora bonitetna agencija navesti v vlogi za certificiranje in za oceno njenega sistemskega pomena za finančno stabilnost ali integriteto finančnih trgov iz člena 5 Uredbe (ES) št. 1060/2009.
The systemic importance of the credit rating agency and its rating activities to the stability of one or more Member States should be measured in this Regulation in terms of the size of its rating activities and interconnectedness of the users of its credit ratings in the Union.
Sistemska pomembnost bonitetne agencije in njenih dejavnosti ocenjevanja za stabilnost ene ali več držav članic se mora v tej uredbi meriti glede na obseg njenih dejavnosti ocenjevanja in medsebojno povezanost uporabnikov njenih bonitetnih ocen v Uniji.
This Regulation is based on the draft regulatory technical standards submitted by ESMA to the Commission pursuant to the procedure laid down in Article 10 of Regulation (EU) No 1095/2010 of the European Parliament and of the Council [2].
Ta uredba temelji na osnutkih regulativnih tehničnih standardov, ki jih je ESMA Komisiji predložila v skladu s postopkom iz člena 10 Uredbe (EU) št. 1095/2010 Evropskega parlamenta in Sveta [2].
ESMA has conducted open public consultations on the draft regulatory technical standards on which this Regulation is based, analysed the potential related costs and benefits and requested the opinion of the Securities and Markets Stakeholder Group established under Article 37 of Regulation (EU) No 1095/2010,
ESMA je o osnutkih regulativnih tehničnih standardov, na katerih temelji ta uredba, opravila javna posvetovanja, analizirala morebitne s tem povezane stroške in koristi ter zaprosila za mnenje Interesne skupine za vrednostne papirje in trge, ustanovljene v skladu s členom 37 Uredbe (EU) št. 1095/2010 –
This Regulation lays down the rules which determine the information to be provided to ESMA by a credit rating agency in its application for:
Ta uredba določa informacije, ki jih morajo bonitetne agencije ESMA predložiti v vlogi za:
registration, as set out in Annex II to Regulation (EC) No 1060/2009; or
registracijo, kot to določa Priloga II k Uredbi (ES) št. 1060/2009, ali
certification and for the assessment of its systemic importance to the financial stability or integrity of financial markets referred to in Article 5 of Regulation (EC) No 1060/2009.
certificiranje in oceno sistemske pomembnosti za finančno stabilnost ali integriteto finančnih trgov iz člena 5 Uredbe (ES) št. 1060/2009.
Format of the application
Oblika vloge
An application for registration shall be provided in an instrument which stores information in a way accessible for future reference and which allows the unchanged reproduction of the information stored.
Vloga za registracijo se vloži na instrumentu, ki informacije shranjuje tako, da so dostopne tudi za prihodnjo uporabo, in ki omogoča nespremenjeno reprodukcijo shranjenih informacij.
A credit rating agency shall give a unique reference number to each document it submits.
Bonitetna agencija vsakemu dokumentu, ki ga predloži, dodeli edinstveno referenčno številko.
It shall ensure that the information it submits clearly identifies to which specific requirement of this Regulation it refers and in which document that information is provided.
Prav tako zagotovi, da v informacijah, ki jih predloži, jasno opredeli, na katero konkretno zahtevo te uredbe se nanašajo in v katerem dokumentu so na voljo.
The credit rating agency shall submit the table set out in Annex I as part of its application to clearly identify the document in which information required under this Regulation is provided.
Bonitetna agencija skupaj z vlogo predloži tabelo iz Priloge I, v kateri jasno opredeli, v katerem dokumentu so na voljo informacije, ki se zahtevajo v skladu s to uredbo.
If a requirement of this Regulation does not apply to a credit rating agency’s application, it shall state this in the table set out in Annex I and provide an explanation.
Če zahteva iz te uredbe za vlogo bonitetne agencije ne velja, bonitetna agencija to navede v tabeli v Prilogi I in to obrazloži.
Where a group of credit rating agencies applies for registration, the application shall clearly identify each credit rating agency to which the information applies.
Če vlogo za registracijo vloži skupina bonitetnih agencij, je treba v vlogi jasno opredeliti, na katero bonitetno agencijo se informacije nanašajo.
When the same information applies to more than one credit rating agency within the group of credit rating agencies, for the purpose of filling in the table of Annex I, the same reference number shall be given for the common information.
Če iste informacije veljajo za več kot eno bonitetno agencijo v skupini bonitetnih agencij, se pri izpolnjevanju tabele v Prilogi I skupnim informacijam dodeli enaka referenčna številka.
Attestation of the accuracy and completeness of the application
Potrditev točnosti in popolnosti vloge
Any information submitted to ESMA during the registration or certification process shall be accompanied by a letter signed by a member of the credit rating agency’s senior management or a representative authorised by the senior management, attesting that the submitted information is accurate and complete to the best of their knowledge, as of the date of that submission.
Vsem informacijam, ki se ESMA predložijo med postopkom registracije oziroma certificiranja, se priloži izjava, ki jo podpiše član višjega vodstva bonitetne agencije ali predstavnik, ki ga je za to pooblastilo višje vodstvo, ki potrjuje, da so po njegovi najboljši vednosti navedene informacije na dan predložitve točne in popolne.
Any information regarding the number of employees shall be provided on a full time equivalent basis calculated as the total hours worked divided by the maximum number of hours subject to compensation within a working year as defined by the relevant national law.
Vse informacije o številu zaposlenih se zagotovijo v ekvivalentih polnega delovnega časa, izračunanih kot skupno število ur, ki se jih deli z največjim številom plačanih ur v delovnem letu, kot ga določa ustrezen nacionalni zakon.
Class of credit ratings
Razredi bonitetnih ocen
Any information regarding the class of credit ratings shall use the following ratings classes:
Vse informacije o razredih bonitetnih ocen se nanašajo na naslednje vrste ocen:
corporate ratings:
bonitetne ocene gospodarskih družb:
financial institution including credit institutions and investment firms;
finančne institucije, vključno s kreditnimi institucijami in investicijskimi družbami;
insurance undertaking;
zavarovalnice;
corporate issuer that is not considered a financial institution or an insurance undertaking.
zasebni izdajatelj, ki se ne šteje za finančno institucijo ali zavarovalnico.
Policies and procedures
Politike in postopki
Policies and procedures provided in an application shall contain or be accompanied by:
V vlogi navedeni politike in postopki vsebujejo ali so jim priloženi:
an indication of who is responsible for the approval and maintenance of the policies and procedures;
podatek o osebi, pristojni za potrditev ter spoštovanje politik in postopkov;
a description of how compliance with the policies and procedures will be enforced and monitored and who is responsible for this;
opis, kako se zagotavlja in spremlja skladnost s politikami in postopki, ter za to pristojno osebo;
a description of the measures undertaken in the event of a breach of the policies;
opis ukrepov, ki se izvedejo v primeru kršitve politik;
an indication of the procedure for reporting to ESMA a material breach of the policy or procedure which may result in a breach of the conditions for initial registration or certification.
podatek o postopku za poročanje ESMA o pomembni kršitvi politike ali postopka, ki lahko privede do neizpolnjevanja pogojev za začetno registracijo oz. certificiranje.
A credit rating agency may fulfil the obligation to provide information regarding its policies and procedures under this Regulation by submitting a copy of the relevant policies and procedures.
Bonitetna agencija lahko izpolni obveznost predložitve informacij o politikah in postopkih iz te uredbe tako, da predloži kopijo zadevnih politik in postopkov.
Identification, legal status and class of credit ratings
Identifikacija, pravni status in razredi bonitetnih ocen
A credit rating agency shall provide ESMA with:
Bonitetna agencija ESMA predloži:
the information listed in Annex II to this Regulation;
informacije iz Priloge II k tej uredbi;
an excerpt from the relevant commercial or court register, or other form of evidence of the place of incorporation and scope of business activity of the credit rating agency, as of the application date.
izpisek iz ustreznega poslovnega ali sodnega registra ali drugo dokazilo o kraju pridobitve statusa pravne osebe in obsegu poslovanja bonitetne agencije na datum vložitve vloge.
Owners and parent undertaking of a credit rating agency
Lastniki in matična družba bonitetne agencije
a list of each person who directly or indirectly holds 5 % or more of the credit rating agency’s capital or of voting rights or whose holding makes it possible to exercise a significant influence over the management of the credit rating agency;
seznam vseh oseb, ki imajo posredno ali neposredno v lasti najmanj 5 % lastniškega kapitala ali glasovalnih pravic bonitetne agencije oziroma tak lastniški delež, da lahko pomembno vplivajo na vodenje bonitetne agencije;
the information set out in points 1 and 2 of Annex III in relation to each such person.
informacije iz točk 1 in 2 Priloge III o vsaki taki osebi.
A credit rating agency shall also provide the following information to ESMA:
Bonitetna agencija ESMA predloži tudi naslednje informacije:
a list of any undertakings in which a person referred to in paragraph 1 holds 5 % or more of the capital or voting rights or over whose management that person exercises a significant influence;
seznam vseh gospodarskih družb, v katerih ima oseba iz odstavka 1 v lasti najmanj 5 % lastniškega kapitala ali glasovalnih pravic ali kako drugače pomembno vpliva na vodenje zadevne družbe;
an identification of their business activity referred to in point 3 of Annex III.
opredelitev poslovne dejavnosti iz točke 3 Priloge III.
Where a credit rating agency has a parent undertaking, it shall:
Če ima bonitetna agencija matično družbo:
identify the country where the parent undertaking is established;
navede državo, v kateri ima matična družba sedež;
indicate whether the parent undertaking is authorised or registered and subject to supervision.
navede, ali ima matična družba dovoljenje oziroma je registrirana ter se nadzoruje.
Ownership chart
Lastniška shema
A credit rating agency shall provide ESMA with a chart showing the ownership links between any parent undertaking, subsidiaries and any other associated entities established in the Union and their branches.
Bonitetna agencija ESMA predloži lastniško shemo, ki prikazuje lastniške povezave med matičnimi družbami, odvisnimi družbami ter vsemi drugimi povezanimi osebami, ustanovljenimi v Uniji, in njihovimi podružnicami.
The undertakings shown in the chart shall be identified by their full name, legal status and address of the registered office and head office.
Pri družbah, prikazanih v lastniški shemi, navede polno ime, pravni status ter naslov registriranega sedeža in uprave.
Organisational structure and corporate governance
Organizacijska struktura in vodenje družbe
A credit rating agency shall provide ESMA with an organisational chart detailing its organisational structure, including a clear identification of significant roles and the identity of the person responsible for each significant role.
Bonitetna agencija ESMA predloži organigram, iz katerega je razvidna njena organizacijska struktura, vključno z jasno opredelitvijo pomembnih funkcij in identiteto pristojnih oseb.
Significant roles shall include at least senior management, persons who direct the activities of the branches and senior rating analysts.
Pomembne funkcije vključujejo vsaj višje vodstvo, osebe, ki vodijo podružnice, in višje bonitetne analitike.
Where the credit rating agency conducts ancillary services, the organisational chart shall also detail its organisational structure in respect of those services.
Če bonitetna agencija opravlja pomožne storitve, v organigramu podrobno prikaže tudi organizacijsko strukturo za takšne storitve.