natgillin/translations-raw huggingface dataset:
The internal audit function shall have the necessary access to information in order to review all of the CCP’s activities and operations, processes and systems, including outsourced activities.
Funkcija notranje revizije ima potreben dostop do informacij, da pregleda vse dejavnosti CNS in njeno poslovanje, postopke in sisteme, vključno z dejavnostmi, oddanimi v zunanje izvajanje.
Internal audit assessments shall be based on a comprehensive audit plan that shall be reviewed and reported to the competent authority at least on an annual basis.
Ocene notranje revizije temeljijo na celovitem revizijskem načrtu, ki se vsaj enkrat letno pregleda in sporoči pristojnemu organu.
The CCP shall ensure that special audits may be performed on an event-driven basis at short notice.
CNS zagotovi, da se lahko na podlagi dogodkov v kratkem času izvedejo posebne revizije.
Audit planning and review shall be approved by the board.
Načrtovanje revizij in njihov pregled odobri organ upravljanja.
A CCP’s clearing operations, risk management processes, internal control mechanisms and accounts shall be subject to independent audit.
Klirinške operacije CNS, postopki upravljanja tveganj, mehanizmi notranjega nadzora in računovodske evidence so predmet neodvisne revizije.
Independent audits shall be performed, at a least, on an annual basis.
Neodvisne revizije se izvedejo vsaj enkrat letno.
RECORD KEEPING
VODENJE EVIDENC
(Article 29 of Regulation (EU) No 648/2012)
(člen 29 Uredbe (EU) št. 648/2012)
A CCP shall keep records in a durable medium that allows information to be provided to the competent authorities, ESMA and relevant European System of Central Banks (ESCB) members, and in such a form and manner that the following conditions are met:
CNS hrani evidence na trajnem nosilcu podatkov, tako da se zagotovijo informacije pristojnim organom, organu ESMA in zadevnim članom Evropskega sistema centralnih bank (ESCB) v obliki in na način, da so izpolnjeni naslednji pogoji:
each key stage of the processing by the CCP may be reconstituted;
vsako ključno fazo obdelave CNS je mogoče rekonstruirati;
the original content of a record before any corrections or other amendments may be recorded, traced and retrieved;
mogoče je evidentirati, izslediti in ponovno pridobiti prvotno vsebino evidence pred kakršnimi koli popravki ali drugimi spremembami;
measures to prevent unauthorised alteration of records are in place;
uporabljajo se ukrepi, da se prepreči nepooblaščena sprememba evidenc;
security and confidentiality of the data recorded are ensured through appropriate measures;
z ustreznimi ukrepi se zagotovita varnost in zaupnost evidentiranih podatkov;
a mechanism for identifying and correcting errors is incorporated in the record keeping system;
mehanizem za ugotavljanje in popravljanje napak je vključen v sistem evidentiranja;
the timely recovery of the records in the case of a system failure is ensured within the record keeping system.
v sistemu evidentiranja je zagotovljena pravočasna ponovna pridobitev evidenc v primeru odpovedi sistema.
Where records or information are less than six months old, they shall be provided to the authorities listed in paragraph 1 as soon as possible and at the latest by the end of the following business day following a request from the relevant authority.
Če so evidence ali informacije mlajše od šestih mesecev, se posredujejo organom iz odstavka 1 čim prej in najpozneje do konca naslednjega delovnega dne po zahtevku zadevnega organa.
Where records or information are older than six months, shall be provided to the authorities listed in paragraph 1 as soon as possible and within five business days following a request from the relevant authority.
Če so evidence ali informacije starejše od šestih mesecev, se posredujejo organom iz odstavka 1 čim prej in najpozneje v petih delovnih dneh po prejemu zahtevka zadevnega organa.
Where the records processed by the CCP contain personal data CCPs shall have regard to their obligations under Directive 95/46/EC of the European Parliament and of the Council [6] and Regulation (EC) No 45/2001 of the European Parliament and of the Council [7].
Če evidence, ki jih obdela CNS, vsebujejo osebne podatke, CNS upoštevajo svoje obveznosti v skladu z Direktivo 95/46/ES Evropskega parlamenta in Sveta [6] ter Uredbo (ES) št. 45/2001 Evropskega parlamenta in Sveta [7].
Where a CCP maintains records outside the Union, it shall ensure that the competent authority, ESMA and the relevant members of the ESCB are able to access the records to the same extent and within the same periods as if they were maintained within the Union.
Če CNS hrani evidence zunaj Unije, zagotovi, da imajo pristojni organ, organ ESMA in zadevni člani ESCB dostop do evidenc v enakem obsegu in v istih obdobjih, kot če bi se hranile znotraj Unije.
Each CCP shall name the relevant persons who can, within the delay established in paragraphs 2 and 3 for the provision of the relevant records, explain the content of its records to the competent authorities.
Vsaka CNS imenuje zadevne osebe, ki lahko v roku iz odstavkov 2 in 3 za zagotavljanje ustreznih evidenc pojasnijo vsebino evidenc pristojnim organom.
All records required to be kept by a CCP under this Regulation shall be open to inspection by the competent authority.
Vse evidence, ki jih mora v skladu s to uredbo voditi CNS, lahko pregleda pristojni organ.
A CCP shall provide the competent authority with a direct data feed to the records required under Articles 13 and 14, when requested.
CNS zagotovi pristojnim organom neposreden dostop do podatkov o evidencah v skladu s členoma 13 in 14, kadar se to zahteva.
Transaction records
Evidence o transakcijah
A CCP shall maintain records of all transactions in all contracts it clears and shall ensure that its records include all information necessary to conduct a comprehensive and accurate reconstruction of the clearing process for each contract and that each record on each transaction is uniquely identifiable and searchable at least by all fields concerning the CCP, interoperable CCP, clearing member, client, if known to the CCP, and financial instrument.
CNS vodi evidence vseh transakcij v vseh pogodbah, za katere opravlja kliring, in zagotovi, da njene evidence vsebujejo vse informacije, ki so potrebne za izvajanje celovite in natančne rekonstrukcije klirinškega procesa za vsako pogodbo, in da je vsaka evidenca o posamezni transakciji edinstveno določljiva in jo je mogoče najti vsaj po poljih, ki zadevajo CNS, interoperabilno CNS, klirinškega člana, stranko, če je znana CNS, in finančni instrument.
In relation to every transaction received for clearing, a CCP shall, immediately upon receiving the relevant information, make and keep updated a record of the following details:
CNS v zvezi z vsako transakcijo, prejeto v kliring, takoj po prejemu zadevnih informacij pripravi in posodablja evidenco naslednjih podatkov:
the price, rate or spread and quantity;
cena, mera oz. tečaj ali razmik in količina;
the clearing capacity, which identifies whether the transaction was a buy or sale from the perspective of the CCP recording;
zmogljivost kliringa, ki opredeljuje, ali je bila transakcija nakup ali prodaja z vidika evidentiranja CNS;
the identification of the clearing member;
identifikacija klirinškega člana;
the identification of the venue where the contract was concluded;
identifikacija mesta, kjer je bila sklenjena pogodba;
the date and time of interposition of the CCP;
datum in čas posredovanja CNS;
the date and time of termination of the contract;
datum in čas konca pogodbe;
the terms and modality of settlement;
pogoji in način poravnave;
the date and time of settlement or of buy-in of the transaction and to the extent they are applicable of the following details:
datum in čas poravnave ali odkupa transakcije in, če je ustrezno, naslednje podatke:
the day and the time at which the contract was originally concluded;
datum in čas, ko je bila pogodba prvotno sklenjena;
the original terms and parties of the contract;
prvotni pogoji in stranke pogodbe;
the identification of the interoperable CCP clearing one leg of the transaction, where applicable;
identifikacija kliringa interoperabilne CNS enega dela transakcije, kjer je to primerno;
the identity of the client, including any indirect client, where known to the CCP, and in case of a give-up, the identification of the party that transferred the contract.
identiteta stranke, vključno s katero koli posredno stranko, če je znana CNS, in v primeru posredovanja identifikacija stranke, ki je prenesla pogodbo.
A CCP shall maintain records of positions held by each clearing member.
CNS vzdržuje evidence pozicij, ki jih ima vsak klirinški član.
Separate records shall be held for each account kept in accordance with Article 39 of Regulation (EU) No 648/2012 and the CCP shall ensure that its records include all information necessary to conduct a comprehensive and accurate reconstruction of the transactions that established the position and that each record is identifiable and searchable at least by all fields concerning the CCP, interoperable CCP, clearing member, client, if known to the CCP, and financial instrument.
Ločene evidence se hranijo za vsak račun v skladu s členom 39 Uredbe (EU) št. 648/2012 in CNS zagotovi, da njene evidence vsebujejo vse informacije, ki so potrebne za izvajanje celovite in natančne rekonstrukcije transakcij, ki so vzpostavile pozicijo, in da je vsako evidenco mogoče prepoznati in najti vsaj po poljih, ki zadevajo CNS, interoperabilno CNS, klirinškega člana, stranko, če je znana CNS, in finančni instrument.
At the end of each business day a CCP shall make a record in relation to each position including the following details, to the extent they are linked to the position in question:
Ob koncu vsakega delovnega dne CNS ustvari evidenco v zvezi z vsako pozicijo, vključno z naslednjimi podrobnostmi, če so povezane z zadevno pozicijo:
the identification of the clearing member, of the client, if known to the CCP, and of any interoperable CCP maintaining such position, where applicable;
identifikacijo klirinškega člana, stranke, če je znana CNS, in katere koli interoperabilne CNS, ki ohranja takšno pozicijo, kjer je to primerno;
the sign of the position;
predznak pozicije;
the daily calculation of the value of the position with records of the prices at which the contracts are valued, and of any other relevant information.
dnevni izračun vrednosti pozicije z evidencami cen, po katerih se vrednotijo pogodbe, in drugih ustreznih informacij.
A CCP shall make, and keep updated, a record of the amounts of margins, default fund contributions and other financial resources referred to in Article 43 of Regulation (EU) No 648/2012, called by the CCP and the corresponding amount actually posted by the clearing member at the end of day and changes to that amount that may occur intraday, with respect to each single clearing member and client account if known to the CCP.
CNS ustvari in posodablja evidenco zneskov kritja, prispevkov v jamstveni sklad in drugih finančnih sredstev iz člena 43 Uredbe (EU) št. 648/2012, ki jih zahteva CNS, ter ustreznega zneska, dejansko nakazanega s strani klirinškega člana ob koncu dneva, in sprememb tega zneska, ki se lahko zgodijo znotraj enega dne v zvezi z vsakim posameznim računom klirinškega člana in stranke, če je znana CNS.
A CCP shall maintain adequate and orderly records of activities related to its business and internal organisation.
CNS vodi ustrezne in urejene evidence dejavnosti v zvezi s svojim poslovanjem in notranjo organizacijo.
The records referred to in paragraph 1 shall be made each time a material change in the relevant documents occurs and shall include at least:
Evidence iz odstavka 1 se ustvarijo vsakič, ko pride do bistvene spremembe v zadevnih dokumentih, in vključujejo vsaj:
the organisational charts for the board and relevant committees, clearing unit, risk management unit, and all other relevant units or divisions;
organigram za organ upravljanja in zadevne odbore, klirinško enoto, enoto za upravljanje tveganj ter vse druge zadevne enote ali oddelke;
the identities of the shareholders or members, whether direct or indirect, natural or legal persons, that have qualifying holdings and the amounts of those holdings;
identitete delničarjev ali družbenikov, neposrednih ali posrednih, fizičnih ali pravnih oseb, ki imajo kvalificirane deleže, in zneske teh deležev;
the documents attesting the policies, procedures and processes required under Chapter III and Article 29;
dokumente, ki potrjujejo politike, postopke in procese, ki se zahtevajo v skladu s poglavjem III in členom 29;
the minutes of board meetings and, if applicable, of meetings of sub-committees of the board and of senior management committees;
zapisnik sej organa upravljanja in, če je to primerno, sej pododborov organa upravljanja in odborov višjega vodstva;
the minutes of meetings of the risk committee;
zapisnike sestankov odbora za upravljanje tveganj;
the minutes of consultation groups with clearing members and clients, if any;
zapisnike sestankov skupine za posvetovanje s klirinškimi člani in strankami (če obstajajo);
internal and external audit reports, risk management reports, compliance reports, and reports by consultant companies, including management responses;
poročila notranjih in zunanjih revizij, poročila o upravljanju tveganj, poročila o skladnosti in poročila svetovalnih podjetij, vključno z odzivi poslovodstva na ta poročila;
the business continuity policy and disaster recovery plan, required under Article 17;
politiko neprekinjenega poslovanja in načrt ponovne vzpostavitve delovanja, ki se zahteva v skladu s členom 17;
the liquidity plan and the daily liquidity reports, required under Article 32;
likvidnostni načrt in dnevna poročila o likvidnosti, ki se zahtevajo na podlagi člena 32;
records reflecting all assets and liabilities and capital accounts as required under Article 16 of Regulation (EU) No 648/2012;
evidence, v katerih so prikazana vsa sredstva in obveznosti ter kapitalski računi v skladu s členom 16 Uredbe (EU) št. 648/2012;
complaints received, with information on the complainant’s name, address, and account number; the date the complaint was received; the name of all persons identified in the complaint; a description of the nature of the complaint; the disposition of the complaint, and the date the complaint was resolved;
prejete pritožbe z informacijami o imenu, naslovu in številki računa pritožnika, datumu prejema pritožbe, imeni vseh oseb, navedenih v pritožbi, opisom narave pritožbe, obravnavo pritožbe in datumom razrešitve pritožbe;
records of any interruption of services or dysfunction, including a detailed report on the timing, effects and remedial actions;
evidence o vsaki prekinitvi storitev ali motnjah v funkcionalnosti, vključno s podrobnim poročilom o časovnem načrtu, učinkih in sanacijskih ukrepih;
records of the results of the back and stress tests performed;
evidence rezultatov opravljenih testiranj za nazaj in testiranj izjemnih situacij;
written communications with competent authorities, ESMA and the relevant members of the ESCB;
pisno komunikacijo s pristojnimi organi, organom ESMA in zadevnimi člani ESCB;
legal opinions received in accordance with Chapter III;
pravna mnenja, prejeta v skladu s poglavjem III;
where applicable, documentation regarding interoperability arrangements with other CCPs;
kjer je primerno, dokumentacijo v zvezi z dogovori o interoperabilnosti z drugimi CNS;
the information under Article 10(1)(b)(vii) and (1)(d);
informacije v skladu s členom 10(1)(b)(vii) in (1)(d);
the relevant documents describing the development of new business initiatives.
ustrezne dokumente, ki opisujejo razvoj novih poslovnih pobud.
Records of data reported to a trade repository
Evidence podatkov, ki se sporočajo v repozitorij sklenjenih poslov
A CCP shall identify and retain all information and data required to be reported in accordance with Article 9 of Regulation (EU) No 648/2012, along with a record of the date and time the transaction is reported.
CNS opredeli in ohrani vse informacije in podatke, ki jih je treba sporočiti v skladu s členom 9 Uredbe (EU) št. 648/2012, skupaj z evidenco o datumu in času, ko se poroča o transakciji.
(Article 34 of Regulation (EU) No 648/2012)
(člen 34 Uredbe (EU) št. 648/2012)
Strategy and policy
Strategija in politika
A CCP shall have a business continuity policy and a disaster recovery plan which are approved by the board.
Organ upravljanja odobri politiko neprekinjenega poslovanja in načrt ponovne vzpostavitve delovanja CNS.
The business continuity policy and the disaster recovery plan shall be subject to independent reviews which are reported to the board.
Politika neprekinjenega poslovanja in načrt ponovne vzpostavitve delovanja sta predmet neodvisnih pregledov, o katerih se poroča organu upravljanja.
The business continuity policy shall identify all critical business functions and related systems, and include the CCP’s strategy, policy, and objectives to ensure the continuity of these functions and systems.
Politika neprekinjenega poslovanja opredeli vse pomembne poslovne funkcije ter z njimi povezane sisteme ter vključuje strategijo, politiko in cilje CNS, da se zagotovi neprekinjenost teh funkcij in sistemov.
The business continuity policy shall take into account external links and interdependencies within the financial infrastructure including trading venues cleared by the CCP, securities settlement and payment systems and credit institutions used by the CCP or a linked CCP.
Politika neprekinjenega poslovanja upošteva zunanje povezave in soodvisnosti znotraj finančne infrastrukture, vključno z mesti trgovanja, za katere CNS opravlja kliring, sistemi poravnave vrednostnih papirjev in plačilnimi sistemi ter kreditnimi institucijami, ki jih uporablja CNS ali so z njo povezane.
It shall also take into account critical functions or services which have been outsourced to third-party providers.
Upošteva tudi ključne funkcije ali storitve, ki so bile oddane v podizvajanje tretjim strankam.
The business continuity policy and disaster recovery plan shall contain clearly defined and documented arrangements for use in the event of a business continuity emergency, disaster or crisis which are designed to ensure a minimum service level of critical functions.
Politika neprekinjenega poslovanja in načrt ponovne vzpostavitve delovanja vsebujeta jasno opredeljene in dokumentirane ureditve, ki se uporabljajo v nujnem primeru, izrednih razmerah ali krizi v zvezi z neprekinjenim poslovanjem, ki so zasnovane tako, da zagotavljajo minimalno raven storitev ključnih funkcij.
The disaster recovery plan shall identify and include recovery point objectives and recovery time objectives for critical functions and determine the most suitable recovery strategy for each of these functions.
V načrtu ponovne vzpostavitve delovanja se opredelijo in vključijo cilji glede točke ponovne vzpostavitve delovanja in časa ponovne vzpostavitve delovanja za ključne funkcije in določi najprimernejša strategija za ponovno oživitev za vsako od teh funkcij.
Such arrangements shall be designed to ensure that in extreme scenarios critical functions are completed on time and that agreed service levels are met.
Take ureditve so načrtovane tako, da v izjemnih primerih zagotavljajo pravočasno izvedbo ključnih funkcij in da se dosežejo dogovorjene ravni storitev.
A CCP’s business continuity policy shall identify the maximum acceptable time for which critical functions and systems may be unusable.
Politika neprekinjenega poslovanja CNS opredeli najdaljši še sprejemljivi čas, v katerem so lahko ključne funkcije in sistemi neuporabni.
A CCP shall take into account the potential overall impact on market efficiency in determining the recovery times for each function.
CNS pri določanju časa ponovne vzpostavitve delovanja za vsako funkcijo upošteva potencialni skupni vpliv na učinkovitost trga.
Business impact analysis
Analiza poslovnega učinka
A CCP shall conduct a business impact analysis which is designed to identify the business functions which are critical to ensure the services of the CCP.
CNS izvede analizo poslovnega učinka, namenjeno opredelitvi poslovnih funkcij, ki so ključnega pomena za zagotavljanje storitev CNS.
The criticality of these functions to other institutions and functions in the financial infrastructure shall be part of the analysis.
Analiza obravnava tudi pomen teh funkcij za druge institucije in funkcije v finančni infrastrukturi.
A CCP shall use scenario based risk analysis which is designed to identify how various scenarios affect the risks to its critical business functions.
CNS uporabi analizo tveganja na podlagi scenarijev, ki je namenjena ugotavljanju, kako različni scenariji vplivajo na tveganja za njene ključne poslovne funkcije.
In assessing risks, a CCP shall take into account dependencies on external providers, including utilities services.
Pri ocenjevanju tveganj centralna nasprotna stranka upošteva odvisnosti od zunanjih ponudnikov, vključno s ponudniki javnih storitev.
A CCP shall take action to manage such dependencies through appropriate contractual and organisational arrangements.
CNS sprejme ukrepe za upravljanje takšnih odvisnosti z ustreznimi pogodbenimi in organizacijskimi ureditvami.
Business impact analysis and scenario analysis shall be kept up to date, shall be reviewed at least on an annual basis and following an incident or significant organisational changes.
Analiza poslovnega učinka in analiza scenarijev se posodabljata in se pregledata vsaj enkrat letno ter po incidentu ali večji organizacijski spremembi.
The analyses shall take into account all relevant developments, including market and technology developments.
Analizi upoštevata vse ustrezne dogodke, vključno z dogajanji na trgu in tehnološkim razvojem.
Disaster recovery
Ponovna vzpostavitev delovanja
A CCP shall have in place arrangements to ensure continuity of its critical functions based on disaster scenarios.
CNS ima vzpostavljene ureditve za zagotovitev neprekinjenega delovanja njenih ključnih funkcij, ki temeljijo na scenarijih katastrof.
These arrangements shall at least address the availability of adequate human resources, the maximum downtime of critical functions, and fail over and recovery to a secondary site.
Te ureditve obravnavajo vsaj razpoložljivost ustreznih človeških virov, največji čas izpada ključnih funkcij ter prehod na sekundarno lokacijo in ponovno vzpostavitev delovanja na njej.
A CCP shall maintain a secondary processing site capable of ensuring continuity of all critical functions of the CCP identical to the primary site.
CNS vzdržuje sekundarno lokacijo za obdelavo, zmožno zagotoviti neprekinjeno delovanje vseh ključnih funkcij CNS, ki so enake tistim na primarni lokaciji.
The secondary site shall have a geographical risk profile which is distinct from that of the primary site.
Sekundarna lokacija ima geografski profil tveganja, ki je drugačen od tistega na primarni lokaciji.
A CCP shall maintain or have an immediate access to a secondary business site, at least, to allow staff to ensure continuity of the service if the primary location of business is not available.
CNS vzdržuje ali ima takojšen dostop vsaj do sekundarne poslovne lokacije, da osebju omogoči neprekinjeno zagotavljanje storitev, če primarna poslovna lokacija ni na voljo.
The need for additional processing sites shall be considered by the CCP, in particular if the diversity of the risk profiles of the primary and secondary sites does not provide sufficient confidence that the CCP’s business continuity objectives will be met in all scenarios.
CNS obravnava potrebo po dodatnih lokacijah za obdelavo, zlasti če zaradi razlik med profiloma tveganja primarnih in sekundarnih lokacij obstaja tveganje, da cilji neprekinjenega poslovanja CNS ne bodo doseženi v vseh scenarijih.
Testing and monitoring
Testiranje in spremljanje