natgillin/translations-raw huggingface dataset:
A credit rating agency shall provide to ESMA information regarding its policies and procedures in relation to its compliance function as set out in point 5 of Section A of Annex I to Regulation (EC) No 1060/2009, review function as set out in point 9 of Section A of Annex I to Regulation (EC) No 1060/2009 and information regarding its policies and procedures established to meet the requirements set out in points 4 and 10 of Section A of Annex I to Regulation (EC) No 1060/2009.
Bonitetna agencija ESMA predloži informacije o politikah in postopkih za funkcijo skladnosti iz točke 5 oddelka A Priloge I k Uredbi (ES) št. 1060/2009, funkcijo pregledovanja iz točke 9 oddelka A Priloge I k Uredbi (ES) št. 1060/2009 ter informacije o politikah in postopkih za izpolnjevanje zahtev iz točk 4 in 10 oddelka A Priloge I k Uredbi (ES) št. 1060/2009.
The information provided under this paragraph shall include the information set out in Annex IV points 1, 3 and 4.
Informacije, predložene v skladu s tem odstavkom, vključujejo informacije iz točk 1, 3 in 4 Priloge IV.
Where the policies and procedures referred to in paragraph 1 are carried out at group of undertakings level, a credit rating agency shall also provide ESMA with the information set out in Annex IV point 2.
Če se politike in postopki iz odstavka 1 izvajajo na ravni skupine podjetij, bonitetna agencija ESMA predloži tudi informacije iz točke 2 Priloge IV.
A credit rating agency shall also provide ESMA with the information set out in Annex X.
Bonitetna agencija ESMA predloži tudi informacije iz Priloge X.
Corporate governance
Vodenje družbe
A credit rating agency shall provide ESMA with information regarding its internal corporate governance policies and the procedures and terms of reference which govern its senior management, including the administrative or supervisory board, its independent members and, where established, committees.
Bonitetna agencija ESMA predloži informacije o notranji politiki vodenja družbe ter postopkih in pooblastilih višjega vodstva, vključno z upravnim odborom ali nadzornim svetom, njunimi neodvisnimi člani in morebitnimi odbori.
Where a credit rating agency adheres to a recognised corporate governance code of conduct, it shall identify the code and provide an explanation for any situations where it deviates from the code.
Če bonitetna agencija spoštuje priznan kodeks vodenja družb, ta kodeks opredeli in utemelji vsa morebitna odstopanja od kodeksa.
A credit rating agency shall provide the information set out in points 1 and 2 of Annex V on the members of its administrative or supervisory board.
Bonitetna agencija predloži informacije o članih upravnega odbora ali nadzornega sveta iz točk 1 in 2 Priloge V.
A credit rating agency shall provide ESMA with a copy of the documents referred to in point 3 of Annex V.
Bonitetna agencija ESMA predloži kopijo dokumentov iz točke 3 Priloge V.
Financial resources for the performance of credit rating activities
Finančni viri za izvajanje dejavnosti bonitetnega ocenjevanja
Financial reports
Računovodska poročila
A credit rating agency shall provide ESMA with a copy of its annual financial reports, including individual and consolidated financial statements where applicable, for the three financial years preceding the date of the submission of its application to the extent available.
Če so na voljo, bonitetna agencija ESMA predloži kopijo letnih računovodskih poročil, po potrebi vključno s posamičnimi in konsolidiranimi računovodskimi izkazi, za zadnja tri poslovna leta pred datumom vložitve vloge.
Where the financial statements of the credit rating agency are subject to statutory audit within the meaning given in Article 2(1) of Directive 2006/43/EC of the European Parliament and of the Council of 17 May 2006 on statutory audits of annual accounts and consolidated accounts [3], the financial reports shall include the audit report on the annual and consolidated financial statement.
Če se za računovodske izkaze bonitetne agencije opravi obvezna revizija po členu 2(1) Direktive 2006/43/ES Evropskega parlamenta in Sveta z dne 17. maja 2006 o obveznih revizijah za letne in konsolidirane računovodske izkaze [3], računovodska poročila vključujejo tudi revizijsko poročilo o letnih in konsolidiranih računovodskih izkazih.
Where the financial reports referred to in paragraph 1 are not available for the requested period of time, a credit rating agency shall provide ESMA with an interim financial report.
Če računovodska poročila iz odstavka 1 za zahtevano obdobje niso na voljo, bonitetna agencija ESMA predloži medletno računovodsko poročilo.
Where the credit rating agency is a subsidiary of a group of undertakings, it shall provide the annual financial reports of the parent undertaking for the three financial years preceding the date of the submission of its application.
Če je bonitetna agencija odvisna družba v skupini podjetij, predloži letna računovodska poročila matične družbe za zadnja tri poslovna leta pred datumom vložitve vloge.
A credit rating agency shall provide ESMA with a description of the measures it has adopted to ensure sound accounting procedure.
Bonitetna agencija ESMA predloži opis ukrepov, ki jih je sprejela za zagotavljanje skrbnih računovodskih postopkov.
Staffing and compensation
Zaposleni in plačilo
Staffing policies and procedures
Politike in postopki v zvezi z zaposlenimi
A credit rating agency shall provide ESMA with information regarding the following policies and procedures:
Bonitetna agencija ESMA predloži informacije o naslednjih politikah in postopkih:
reporting to the compliance officer of any situations where one of the persons referred to in point 1 of Section C of Annex I to Regulation (EC) No 1060/2009 considers that any other such person has engaged in conduct that he or she considers illegal, pursuant to the provisions of point 5 of Section C of Annex I to Regulation (EC) No 1060/2009;
poročanju odgovorni osebi za varovanje zakonitosti poslovanja v skladu s točko 5 oddelka C Priloge I k Uredbi (ES) št. 1060/2009 o vseh primerih, v katerih ena od oseb iz točke 1 oddelka C Priloge I k Uredbi (ES) št. 1060/2009 ugotovi, da je druga takšna oseba vpletena v nezakonito ravnanje;
the rotation of lead rating analysts, rating analysts and persons approving credit rating;
rotaciji glavnih bonitetnih analitikov, bonitetnih analitikov in oseb, ki potrjujejo bonitetne ocene;
the compensation and performance evaluation practices for rating analysts, persons approving credit ratings, senior management and the compliance officer;
praksah za plačevanje in ocenjevanje uspešnosti bonitetnih analitikov, oseb, ki potrdijo bonitetne ocene, višjega vodstva in odgovornih oseb za varovanje zakonitosti poslovanja;
the training and development relevant to the rating process, including any examination or other type of formal assessment required for the conduct of rating activities.
izobraževanju in razvoju s področja bonitetnega ocenjevanja, vključno z izpiti ali drugimi vrstami formalnega ocenjevanja, ki se zahtevajo za izvajanje dejavnosti bonitetnega ocenjevanja.
A credit rating agency shall also provide ESMA with:
Bonitetna agencija ESMA predloži tudi:
a description of the measures in place to mitigate the risk of over-reliance on individual employees;
opis ukrepov, sprejetih za zmanjšanje tveganja prekomerne odvisnosti od posameznih zaposlenih;
for each class of credit ratings, information on the size and experience of the quantitative teams responsible for developing and reviewing methodologies and models;
za vsak razred bonitetnih ocen informacije o velikosti in izkušnjah kvantitativnih ekip, pristojnih za razvoj in pregled metod in modelov;
the name and function of any employee of the credit rating agency who has obligations, either individually or on behalf of the credit rating agency, to any other entity within the group of credit rating agencies;
ime in funkcijo vseh zaposlenih bonitetne agencije, ki imajo kot posamezniki ali v imenu bonitetne agencije obveznosti do katerega koli drugega podjetja v skupini bonitetnih agencij;
the average annual fixed and variable remuneration of the rating analysts, lead analysts and the compliance officer for each of the preceding three financial years.
povprečen letni nespremenljivi in spremenljivi del plačila bonitetnih analitikov, glavnih analitikov in odgovorne osebe za varovanje zakonitosti poslovanja za vsako od treh zadnjih poslovnih let.
A credit rating agency shall describe the arrangements in place to ensure that it is informed when a rating analyst terminates his or her employment and joins a rated entity as set out in point 6 of Section C of Annex I to Regulation (EC) No 1060/2009.
Bonitetna agencija opiše postopke, s katerimi zagotavlja, da je seznanjena, če bonitetni analitik prekine delovno razmerje in se zaposli v ocenjevanem podjetju, kot je določeno v točki 6 oddelka C Priloge I k Uredbi (ES) št. 1060/2009.
A credit rating agency shall describe the arrangements in place to ensure that the persons referred in point 1 of Section C of Annex I to Regulation (EC) No 1060/2009 are aware of the prohibition established as set out in point 7 of Section C of Annex I to Regulation (EC) No 1060/2009.
Bonitetna agencija opiše postopke, s katerimi zagotavlja, da so osebe iz točke 1 oddelka C Priloge I k Uredbi (ES) št. 1060/2009 seznanjene s prepovedjo iz točke 7 oddelka C Priloge I k Uredbi (ES) št. 1060/2009.
Fitness and appropriateness
Sposobnost in primernost
A credit rating agency shall provide ESMA with the curriculum vitae, including employment history with relevant dates, identification of positions held and a description of the functions occupied, for each of the following:
Bonitetna agencija ESMA predloži življenjepise, vključno s podatki o prejšnjih zaposlitvah in pripadajočimi datumi, opredelitvijo njihovih delovnih mest in opisom njihovih funkcij, za:
members of senior management;
člane višjega vodstva;
A credit rating agency shall provide ESMA with the following information in respect of each member of its senior management:
Bonitetna agencija za vsakega člana višjega vodstva ESMA predloži naslednje informacije:
a recent criminal-record file from the country of origin of the relevant person, unless the relevant national authorities do not issue such a file;
nedaven izpis iz kazenske evidence iz države porekla zadevne osebe, če so tak izpis izdali ustrezni nacionalni organi;
a self-declaration of their good repute including at least the statements set out in Annex VI and signed by the individual.
lastno izjavo o dobrem imenu, vključno vsaj z izjavami iz Priloge VI, ki jo podpiše zadevna oseba.
Issuance and review of credit ratings
Izdaja in pregled bonitetnih ocen
Development, validation, review and disclosure of rating methodologies
Razvoj, potrditev, pregled in razkrivanje metodologij bonitetnega ocenjevanja
A credit rating agency shall provide ESMA, for each class of credit rating, with a high-level description of the range of core models and methodologies used to determine credit ratings.
Bonitetna agencija ESMA za vsak razred bonitetnih ocen predloži podroben opis temeljnih modelov in metodologij, ki jih uporablja pri določanju bonitetnih ocen.
A credit rating agency shall provide ESMA with the following information regarding its policies and procedures:
Bonitetna agencija ESMA predloži naslednje informacije o politikah in postopkih:
information regarding the development, validation and review of its rating methodologies, including at least the information set out in point 1 of Annex VII;
informacije o razvoju, potrjevanju in pregledovanju metodologij bonitetnega ocenjevanja, ki vključujejo vsaj informacije iz točke 1 Priloge VII;
information regarding the disclosure of the credit methodologies and descriptions of models and key rating assumptions used in its credit rating activities as set out in point 5 of Part I of Section E of Annex I to Regulation (EC) No 1060/2009.
informacije o razkrivanju metodologij bonitetnega ocenjevanja ter opis modelov in ključnih ocenjevalnih predpostavk, ki jih uporablja pri bonitetnem ocenjevanju, kot je določeno v točki 5 dela I oddelka E Priloge I k Uredbi (ES) št. 1060/2009.
Issuance of credit ratings
Izdajanje bonitetnih ocen
A credit rating agency shall provide ESMA with the following information:
Bonitetna agencija ESMA predloži naslednje informacije:
the rating nomenclatures used for each class of credit rating;
ocenjevalne nomenklature, ki jih uporablja za vsak razred bonitetnih ocen;
the definition of any rating action and statuses used by the credit rating agency;
opredelitev vseh bonitetnih dejanj in statusov, ki jih uporablja;
its policies and procedures regarding the issuance of credit ratings, including at least the information set out in point 2 of Annex VII;
politike in postopke za izdajanje bonitetnih ocen, ki vključujejo vsaj informacije iz točke 2 Priloge VII;
the terms of reference of any rating committees;
pooblastila vseh bonitetnih odborov;
a description of the arrangements in place for disclosing a rating decision, including at least the information set out in point 3 of Annex VII;
opis postopkov za razkrivanje odločitve o bonitetni oceni, ki vključuje vsaj informacije iz točke 3 Priloge VII;
a description of the procedures in place to ensure that a methodology is applied and implemented consistently across classes of credit rating, offices and regions.
opis postopkov, s katerimi zagotavlja, da se metodologija uporablja in izvaja dosledno pri vseh vrstah bonitetnih ocen, v vseh poslovnih enotah in v vseh regijah.
A credit rating agency shall identify any differences between the treatment of unsolicited and solicited ratings in the policies and procedures provided under points (c) and (e) of paragraph 1.
Bonitetna agencija v politikah in postopkih iz točk (c) in (e) odstavka 1 opredeli vse razlike med nenaročenimi in naročenimi bonitetnimi ocenami.
Where the rating process is regularly audited by an independent third party, a credit rating agency shall provide ESMA with the last audit report.
Če bonitetno agencijo redno revidira neodvisna tretja oseba, bonitetna agencija ESMA predloži zadnje revizijsko poročilo.
A credit rating agency shall also provide ESMA with the following information:
Bonitetna agencija ESMA predloži tudi naslednje informacije:
details and criteria for the selection of data providers;
podrobnosti in merila za izbor ponudnikov podatkov;
details on the reliability of internal and external data input into rating models;
podrobnosti o zanesljivosti uporabljenih notranjih in zunanjih podatkov pri ocenjevalnih modelih;
details of the data sources used.
podrobnosti o uporabljenih podatkovnih virih.
Monitoring of credit ratings
Spremljanje bonitetnih ocen
A credit rating agency shall provide ESMA with information regarding its policies and procedures concerning:
Bonitetna agencija ESMA predloži informacije o politikah in postopkih glede:
the monitoring of ratings, identifying any differences between solicited and unsolicited ratings, and including at least the information set out in point 4 of Annex VII;
spremljanja bonitetnih ocen, pri čemer navede razlike med naročenimi in nenaročenimi ocenami ter vsaj informacije iz točke 4 Priloge VII;
the disclosure of the decision to review or change a rating;
razkrivanja odločitve o pregledu ali spremembi bonitetne ocene;
the monitoring of the impact of changes in macroeconomic or financial market conditions on credit ratings as described in Article 8(5) of Regulation (EC) No 1060/2009.
spremljanju učinka, ki ga imajo spremenjeni makroekonomski pogoji ali spremenjeni pogoji na finančnih trgih na bonitetne ocene, kot je določeno v členu 8(5) Uredbe (ES) št. 1060/2009.
Description of issue and review procedures and methodologies
Opis postopkov in metodologij za izdajanje in pregledovanje bonitetnih ocen
Credit rating presentation requirements
Zahteve za predstavljanje bonitetnih ocen
A credit rating agency shall provide ESMA with information regarding the following items:
Bonitetna agencija ESMA predloži informacije o:
policies and procedures with respect to the credit rating disclosure requirements laid down in the following provisions of Regulation (EC) No 1060/2009:
politikah in postopkih za izpolnjevanje zahtev po razkrivanju bonitetnih ocen, ki so določene v naslednjih določbah Uredbe (ES) št. 1060/2009:
paragraphs 1, 2 and 5 of Article 10;
odstavkih 1, 2 in 5 člena 10;
Part I of Section D of Annex 1;
delu I oddelka D Priloge I;
where the credit rating agency rates structured instruments, policies and procedures with respect to the following provisions of Regulation (EC) No 1060/2009:
če ocenjuje strukturirane finančne instrumente, o politikah in postopkih za naslednje določbe Uredbe (ES) št. 1060/2009:
Article 10(3);
člen 10(3);
point 4 of Section B of Annex I;
točko 4 oddelka B Priloge I;
Part II of Section D of Annex I;
del III oddelka D Priloge I;
samples of typical credit rating reports or other documents demonstrating how the credit rating agency meets or intends to meet these disclosure requirements; and
primerih tipičnih bonitetnih poročil ali drugih dokumentov, iz katerih je razvidno, kako izpolnjuje ali namerava izpolniti zahteve po razkrivanju, in
samples of typical rating letters for each class of credit rating produced by the credit rating agency.
primerih tipičnih bonitetnih oznak za vsak razred bonitetnih ocen, ki ga uporablja.
Conflicts of interest
Nasprotja interesov
A credit rating agency shall provide ESMA with information regarding its policies and procedures with respect to the identification, management and disclosure of conflicts of interest and the rules on rating analysts and other persons directly involved in credit rating activities covering at least the requirements set out in Annex VIII.
Bonitetna agencija ESMA zagotovi informacije o politikah in postopkih za ugotavljanje, upravljanje in razkrivanje nasprotij interesov ter pravila za bonitetne analitike in druge osebe, ki so neposredno vključene v dejavnosti bonitetnega ocenjevanja, pri čemer izpolnjuje vsaj zahteve iz Priloge VIII.
A credit rating agency shall describe the process used to ensure that the relevant persons are aware of the policies and procedures referred to in paragraph 1.
Bonitetna agencija opiše postopek, s katerim zagotovi, da so ustrezne osebe seznanjene s politikami in postopki iz odstavka 1.
A credit rating agency shall describe the arrangements in place to ensure that the review function responsible for reviewing the methodologies set out in point 9 of Section A of Annex I to Regulation (EC) No 1060/2009 is independent of the business lines which are responsible for credit rating activities.
Bonitetna agencija opiše postopke, s katerimi zagotovi, da je funkcija pregledovanja, odgovorna za pregled metodologij iz točke 9 oddelka A Priloge I k Uredbi (ES) št. 1060/2009, neodvisna od poslovnih področij, pristojnih za dejavnosti bonitetnega ocenjevanja.
A credit rating agency shall describe the controls put in place, including the controls implemented through information systems, in order to comply with the requirements of paragraphs (2) and (3) of Article 7 of Regulation (EC) No 1060/2009 on the negotiation of fees and the rules on persons involved in rating activities.
Bonitetna agencija opiše kontrole, vključno s kontrolami, vzpostavljenimi z informacijskimi sistemi, s katerimi doseže skladnost z zahtevami iz odstavkov (2) in (3) člena 7 Uredbe (ES) št. 1060/2009 glede pogajanj o honorarjih ter s pravili za osebe, ki so vključene v dejavnosti bonitetnega ocenjevanja.
A credit rating agency shall describe any other measures and controls put in place to ensure the independence of its rating analysts.
Bonitetna agencija opiše vse druge ukrepe in kontrole, s katerimi zagotavlja neodvisnost bonitetnih analitikov.
Inventory of conflicts of interest
Seznam nasprotij interesov
A credit rating agency shall provide ESMA with an up-to-date inventory of existing and potential conflicts of interest relevant to it.
Bonitetna agencija ESMA predloži posodobljen seznam obstoječih in morebitnih nasprotij interesov, ki so zanjo relevantna.
Where a credit rating agency is part of a group of undertakings, it shall include in the inventory any conflicts of interest arising from other entities which belong to its group of undertakings.
Če je bonitetna agencija del skupine podjetij, v seznam vključi tudi vsa nasprotja interesov, ki izhajajo iz drugih subjektov, ki so del njene skupine.
The inventory of existing and potential conflicts of interest shall identify the following potential conflicts of interest:
Seznam obstoječih in morebitnih nasprotij interesov vsebuje naslednja morebitna nasprotja interesov:
any potential conflicts of interest with related third parties;
vsa morebitna nasprotja interesov s povezanimi tretjimi osebami;
any potential conflicts of interest arising from the carrying out of ancillary services and the outsourced rating activities;
vsa morebitna nasprotja interesov, ki izhajajo iz izločenih pomožnih storitev in bonitetnih dejavnosti;
The inventory referred to in paragraph 1 shall explain how the potential conflicts of interest are to be eliminated or managed and disclosed.
Seznam iz odstavka 1 vsebuje razlago, kako se morebitna nasprotja interesov odpravijo, kako se z njimi ravna in kako se razkrijejo.
Conflicts of interest with respect to ancillary services
Nasprotja interesov pri pomožnih storitvah
A credit rating agency shall provide ESMA with a description of the resources, both human and technical, shared by the rating and ancillary services of the credit rating agency or shared with the group of undertakings to which it belongs.
Bonitetna agencija ESMA opiše kadrovske kot tudi tehnične vire, ki si jih delita oddelek bonitetnega ocenjevanja in oddelek pomožnih storitev agencije ali ki si jih agencija deli s skupino podjetij, katere del je.
A credit rating agency shall describe the arrangements in place to prevent, disclose and mitigate any existing or potential conflicts of interest between the rating business and ancillary services.
Bonitetna agencija opiše postopke za preprečevanje, razkrivanje in zmanjševanje vseh obstoječih ali morebitnih nasprotij interesov med oddelkom bonitetnega ocenjevanja in oddelkom pomožnih storitev.
A credit rating agency shall provide ESMA with a copy of the results of any internal assessment performed to identify any existing or potential conflict of interest between the rating business and ancillary services.
Bonitetna agencija ESMA predloži kopijo izsledkov vseh notranjih presoj za ugotavljanje obstoječih ali morebitnih nasprotij interesov med oddelkom bonitetnega ocenjevanja in oddelkom pomožnih storitev.
Programme of operations
Poslovni načrt
Information regarding the programme of operations
Informacije o poslovnem načrtu
A credit rating agency shall provide ESMA with the annual information described in Annex IX covering a period of three years following the date of registration.
Bonitetna agencija ESMA vsako leto predloži informacije iz Priloge IX, ki se nanašajo na obdobje treh let od datuma registracije.
Use of endorsement
Uporaba potrditev
Expected use of endorsement
Pričakovana uporaba potrditev
Where a credit rating agency intends to endorse credit ratings issued in third countries as set out in Article 4(3) of Regulation (EC) No 1060/2009, it shall provide ESMA with the information set out in Annex XI.
Če namerava bonitetna agencija potrjevati bonitetne ocene, izdane v tretjih državah, kot je določeno v členu 4(3) Uredbe (ES) št. 1060/2009, ESMA predloži informacije iz Priloge XI.
Outsourcing
Izločevanje
Outsourcing requirements
Zahteve za izločevanje
Where a credit rating agency outsources any important operational functions, it shall provide ESMA with the following information:
Če bonitetna agencija izloči pomembne poslovne funkcije, ESMA predloži naslednje informacije:
its policies with respect to outsourcing;
politike v zvezi z izločanjem;
an explanation on how it intends to identify, manage and monitor the risks posed by the outsourcing of important operational functions;
obrazložitev, kako namerava ugotavljati, upravljati in spremljati tveganja, ki jih vključuje izločanje pomembnih poslovnih funkcij;