natgillin/translations-raw huggingface dataset:
a copy of the outsourcing agreements between the credit rating agency and the entity to which the activities are outsourced;
kopije pogodb o izločanju dejavnosti med bonitetno agencijo in podjetjem, ki so mu bile izločene dejavnosti zaupane;
a copy of any internal or external report on the outsourced activities issued in the past five years.
kopije vseh notranjih in zunanjih poročil o izločenih dejavnostih v zadnjih petih letih.
For the purposes of paragraph 1, important operational functions shall comprise rating review, lead analyst, rating methodology development and review, rating approval, internal quality control, data storage, IT systems, IT support and accounting.
Za namene odstavka 1 pomembne poslovne funkcije vključujejo preglede ocen, delo glavnih analitikov, razvoj in pregled metodologij ocenjevanja, potrditev ocen, notranji nadzor kakovosti, shranjevanje podatkov, IT sisteme, IT podporo in računovodenje.
Application for certification
Vloge za certificiranje
Information for application for certification
Informacije za vloge za certificiranje
the general information requested in points 1 to 10 of Annex II;
splošne informacije v skladu s točkami 1 do 10 Priloge II;
the information regarding its owners referred to in Article 8;
informacije o njenih lastnikih iz člena 8;
the organisational chart referred to in Article 10;
organigram iz člena 10;
details on the arrangements in place to prevent, disclose and mitigate any existing or potential conflicts of interest between the rating business and ancillary services;
podrobnosti o postopkih za preprečevanje, razkrivanje in zmanjševanje vseh obstoječih ali morebitnih nasprotij interesov med oddelkom bonitetnega ocenjevanja in oddelkom pomožnih storitev;
the information referred to in Article 13 regarding the credit rating agency’s financial resources.
informacije iz člena 13 o finančnih virih bonitetne agencije.
A credit rating agency shall provide ESMA with the following information regarding its business activities:
Bonitetna agencija ESMA predloži naslednje informacije o poslovnih dejavnostih:
for the preceding three years, the number of employees contracted and involved in the rating and ancillary services both permanent and temporary;
število zaposlenih za določen in nedoločen čas, ki so zadnja tri leta vključeni v izvajanje storitev bonitetnega ocenjevanja in pomožnih storitev;
if the applicant has a branch, the number of employees involved in the rating and ancillary business in each branch;
če ima vložnica podružnice, število zaposlenih v vsaki podružnici, vključenih v izvajanje storitev bonitetnega ocenjevanja in pomožnih storitev;
the number of rating analysts contracted to the applicant including, if the credit rating agency has a branch, the number of rating analysts contracted in each branch;
število bonitetnih analitikov, ki jih zaposluje vložnica, ter, če ima podružnice, število bonitetnih analitikov v vsaki podružnici;
if a credit rating agency is planning to establish a new branch, a description of the type of business activities the new branch is expected to conduct, its full name and address and the timeframe for its establishment;
če bonitetna agencija načrtuje ustanovitev nove podružnice, opis vrste poslovnih dejavnosti, ki naj bi jih nova podružnica opravljala, njeno polno ime in časovni načrt za njeno ustanovitev;
if a credit rating agency is planning to conduct any new ancillary services, a description of the new services and the timeframe for their commencement;
če bonitetna agencija načrtuje izvajanje novih pomožnih storitev, opis novih storitev in časovni načrt za začetek izvajanja;
the revenue generated over the past three years by the credit rating agency from rating and ancillary services as a proportion of total revenue, presented on a financial year basis;
prihodke, ki jih je bonitetna agencija ustvarila v zadnjih treh letih s storitvami bonitetnega ocenjevanja in pomožnimi storitvami, izražene kot delež skupnih prihodkov v enem poslovnem letu;
if the credit rating agency has one or more branches, the revenue generated over the past three years by each branch as a proportion of total revenue, presented on a financial year basis.
če ima bonitetna agencija eno ali več podružnic, prihodke, ki jih je vsaka podružnica ustvarila v zadnjih treh letih, izražene kot delež skupnih prihodkov v enem poslovnem letu.
A credit rating agency shall also provide ESMA with the following information regarding the credit ratings it issues or proposes to issue:
Bonitetna agencija ESMA prav tako predloži naslednje informacije o bonitetnih ocenah, ki jih izdaja ali katerih izdajo predlaga:
the class of credit ratings;
razred bonitetnih ocen;
details of whether the credit rating agency produces solicited or unsolicited ratings or both;
podrobnosti o tem, ali bonitetna agencija izdeluje naročene ali nenaročene bonitetne ocene ali oboje;
for each class of credit rating, the number of years of experience it has in producing these ratings;
za vsak razred bonitetnih ocen leta izkušenj, ki jih ima z izdelovanjem tovrstnih ocen;
for each class of credit rating, the current or expected proportion of public ratings and private ratings.
za vsak razred bonitetnih ocen trenutno oz. pričakovano razmerje med javnimi in zasebnimi ocenami.
The credit rating agency shall indicate whether it currently holds, or expects to apply for, External Credit Assessment Institution (ECAI) status in one or more Member States and, if so, it shall identify the relevant Member State.
Bonitetna agencija navede, ali ima trenutno v eni ali več državah članicah status zunanje bonitetne institucije oz. namerava zanj zaprositi, ter v tem primeru navede zadevno državo članico.
General requirements for the application for certification
Splošne zahteve za vloge za certificiranje
A credit rating agency shall ensure that its application complies with Articles 2 to 6 regarding the format of its application, the attestation of its accuracy, the class of credit ratings, number of employees and the policies and procedures provided to ESMA.
Bonitetna agencija zagotovi, da njena vloga izpolnjuje zahteve iz členov 2 do 6 glede oblike vloge, potrditve njene točnosti, razreda bonitetnih ocen, števila zaposlenih ter politik in postopkov, ki jih predloži ESMA.
Systemic importance
Sistemska pomembnost
A credit rating agency shall provide ESMA with the information set out in Annex XII regarding the systemic importance of its credit ratings and credit rating activities to the financial stability or integrity of the financial markets of one or more Member States.
Bonitetna agencija ESMA predloži informacije iz Priloge XII glede sistemske pomembnosti njenih bonitetnih ocen in dejavnosti bonitetnega ocenjevanja za finančno stabilnost ali integriteto finančnih trgov ene ali več držav članic.
DOCUMENT REFERENCES
SKLICI NA DOKUMENTE
(Article 2)
(Člen 2)
Article of, or Annex to, this Regulation
Člen oz. priloga te uredbe
Credit rating agency reference number
Referenčna številka bonitetne agencije
Chapter or section or page of the document where the information is provided or reason why the information is not provided
Poglavje, oddelek ali stran dokumenta, ki vsebuje informacije, oz. razlog, zakaj informacije niso navedene
Full name
Polno ime
Country of establishment
Država ustanovitve
Address of registered office
Naslov registriranega sedeža
With respect to the contact person(s) for the purpose of the application:
Pri kontaktnih osebah za vlogo:
title;
naziv;
e-mail address;
elektronski naslov;
telephone number.
telefonska številka.
With respect to the Compliance Officer:
Pri odgovorni osebi za varovanje zakonitosti poslovanja:
Description of the business activities the credit rating agency conducts, including ancillary services, and if it has one or several branches or subsidiaries, the business conducted by each branch or subsidiary
Opis poslovnih dejavnosti, ki jih izvaja bonitetna agencija, vključno s pomožnimi storitvami, ter če ima eno ali več podružnic ali odvisnih družb, dejavnosti, ki jih izvaja vsaka podružnica oz. odvisna družba.
Identification of the class of credit ratings according to the categories specified in Article 5 for which the credit rating agency applies to be registered
Opredelitev razreda bonitetnih ocen glede na kategorije iz člena 5, za katerega bonitetna agencija vlaga vlogo za registracijo.
Identification of the regulated markets where the credit rating agency is listed, if applicable
Po potrebi opredelitev reguliranih trgov, na katerih bonitetna agencija kotira.
Financial reports:
Računovodska poročila:
indication on whether the credit rating agency is an audited entity;
navedba, ali je bonitetna agencija revidirano podjetje;
if the credit rating agency is audited, name of the external auditor and national registration number of the external auditor;
če je bonitetna agencija revidirano podjetje, ime zunanjega revizorja in nacionalna registracijska številka zunanjega revizorja;
date of the financial year end.
datum konca poslovnega leta.
Number of employees (excluding employees located in branches) as at the date of application and as at the close of each of the three most recent financial years, reported in the following categories:
Število zaposlenih (brez zaposlenih v podružnicah) na datum vložitve vloge in ob koncu vsakih zadnjih treh poslovnih let, razčlenjeno na naslednje kategorije:
temporary employees;
zaposleni za določen čas;
permanent employees with under five years’ service;
zaposleni za nedoločen čas z manj kot petimi leti delovne dobe;
permanent employees with five years’ or more service.
zaposleni za nedoločen čas s pet ali več leti delovne dobe.
If a credit rating agency has branches, with respect to each branch:
Če ima bonitetna agencija podružnice, za vsako podružnico:
full name;
polno ime;
legal status;
pravni status;
address; and
naslov, ter
number of temporary employees and of permanent employees.
število zaposlenih za določen in nedoločen čas.
List of countries from which the credit rating agency intends to endorse credit ratings
Seznam držav, katerih bonitetne ocene namerava bonitetna agencija potrditi.
INFORMATION TO BE PRESENTED WITH REGARD TO THE OWNERSHIP STRUCTURE
INFORMACIJE O LASTNIŠKI STRUKTURI
Identification of the credit rating agency owners referred to in Article 8(1) with the following level of detail:
Opredelitev lastnikov bonitetne agencije iz člena 8(1) z naslednjimi podatki:
Percentage of capital
Odstotek lastniškega kapitala
Nature of the holding: direct or indirect
Vrsta lastniške udeležbe: neposredna ali posredna
Percentage of voting rights
Odstotek glasovalnih pravic
Description of the business activities of the credit rating agency owners referred to in Article 8(1):
Opis poslovnih dejavnosti lastnikov bonitetne agencije iz člena 8(1):
Identification of the business activities of the companies in which the owners referred to in Article 8(1) have an interest according to Article 8(2):
Opredelitev poslovnih dejavnosti družb, v katerih imajo lastniki iz člena 8(1) lastniški delež v skladu s členom 8(2):
Companies in which the owner has an interest according to Article 8(2)
Družbe, v katerih imajo lastniki lastniški delež v skladu s členom 8(2)
Identification of the owners of the parent undertaking referred to in Article 8(3):
Opredelitev lastnikov matičnega podjetja iz člena 8(3):
A credit rating agency shall provide the following information regarding policies and procedures referred to in Article 11(1):
Bonitetna agencija predloži naslednje informacije o politikah in postopkih iz člena 11(1):
a description of the roles and responsibilities of the employees;
opis nalog in pristojnosti zaposlenih;
a description of the mechanisms to monitor the effectiveness of the policy or procedure;
opis mehanizmov za spremljanje učinkovitosti politik ali postopkov;
the number of employees and the ratio of temporary to permanent employees;
število zaposlenih, razmerje med zaposlenimi za določen in nedoločen čas;
information on the reporting lines and the frequency of reporting; and
informacije o liniji in pogostosti poročanja, in
a description of the interaction between the relevant function and employees directly involved in the rating process and between that function and any other functions.
opis medsebojnega vplivanja med ustreznimi funkcijami in zaposlenimi, ki so neposredno vključeni v proces ocenjevanja, ter med funkcijami in drugimi funkcijami.
Where the arrangements referred to in point 1 of this Annex are carried out at group of undertakings level, a credit rating agency shall provide ESMA with a copy of relevant service level agreements that it has entered into, or proposes to enter into, with other group members, and the following information:
Če se postopki iz točke 1 te priloge izvajajo na ravni skupine podjetij, bonitetna agencija ESMA predloži kopije ustreznih pogodb o storitvah, ki jih je sklenila z drugimi članicami skupine oz. katerih sklenitev predlaga, skupaj z naslednjimi informacijami:
a description of the relevant tasks carried out by each group undertaking, including undertakings located in third countries;
opis zadevnih nalog, ki jih opravlja vsako od podjetij v skupini, vključno s podjetji, ki se nahajajo v tretjih državah;
a clear identification of the undertaking involved in performing the task, specifying its location;
jasna navedba podjetja, ki je vključeno v opravljanje naloge, ter navedba njegove lokacije;
information on the reporting lines and frequency of reporting of each entity involved and on the way information is collected from each entity; and
informacije o liniji in pogostosti poročanja vsakega vključenega podjetja ter o načinu, kako se v vsakem podjetju zbirajo informacije, in
information on any dedicated resources located in the Union.
informacije o vseh virih, ki so za to namenjeni v Uniji.
In the case of human resources, a credit rating agency shall specify the time devoted to the function on the basis of full time equivalence.
Če so to kadrovski viri, bonitetna agencija v ekvivalentih polnega delovnega časa navede tudi čas, namenjen tej funkciji.
With respect to the compliance function, a credit rating agency shall provide the following information:
O funkciji varovanja zakonitosti poslovanja bonitetna agencija zagotovi naslednje informacije:
the policies and procedures on the reporting of information as described in point 5 of Section C of Annex I to Regulation (EC) No 1060/2009;
politike in postopke za poročanje informacij, kot je opisano v točki 5 oddelka C Priloge I k Uredbi (ES) št. 1060/2009;
a description on how it ensures the independence of the compliance function;
opis, kako zagotavlja neodvisnost funkcije varovanja zakonitosti poslovanja;
the most recent report of the compliance officer;
zadnje poročilo odgovorne osebe za varovanje zakonitosti poslovanja;
a work plan for the next three years.
delovni načrt za naslednja tri leta.
With respect to the internal audit function carrying out the tasks described in point 10 of Section A of Annex I to Regulation (EC) No 1060/2009, a credit rating agency shall provide the following information:
O funkciji notranje revizije, ki izvaja naloge iz točke 10 oddelka A Priloge I k Uredbi (ES) št. 1060/2009, bonitetna agencija predloži naslednje informacije:
an explanation of how its internal audit methodology is developed and applied in accordance with the special features of its activities and their extent, complexity and risks;
obrazložitev, kako razvija in uporablja notranjo revizijsko metodologijo, pri čemer upošteva posebnosti dejavnosti ter njihov obseg, zapletenost in tveganja;
INFORMATION TO BE PRESENTED WITH REGARD TO CORPORATE GOVERNANCE
INFORMACIJE O VODENJU DRUŽBE
Identification of the members of the administrative or supervisory board and other committees as established in Article 12(3):
Opredelitev članov upravnega odbora, nadzornega sveta in drugih odborov, kot je določeno v členu 12(3):
Body of other undertakings where the person is a member and position
Organi drugih podjetij, v katerih je oseba član, in njen položaj
Identification of the member
Član
Experience in structured finance instruments (YES/NO) and if YES, provide justification
Izkušnje na področju strukturiranih finančnih instrumentov
A credit rating agency shall provide to ESMA a copy of the following documents as established in Article 12(4):
Bonitetna agencija ESMA predloži kopije naslednjih dokumentov, kot je določeno v členu 12(4):
the last three sets of minutes of the meetings of the administrative and supervisory board;
zadnjih treh zapisnikov sej upravnega odbora in nadzornega sveta;
the most recent minutes of the meetings of any other committees, such as the remuneration or strategy committees; and
zadnjih zapisnikov s sestankov drugih odborov, kot sta npr. odbor za plačila in strateški odbor, in
the last three opinions or reports presented to the administrative or supervisory board by the independent members.
zadnjih treh mnenj ali poročil, ki so jih upravnemu odboru ali nadzornemu svetu predložili neodvisni člani.
SELF DECLARATION
LASTNA IZJAVA
In the self-declaration to be provided under Article 15(2)(b), each member of the senior management shall state whether the relevant person falls under any of the following categories:
V lastni izjavi, ki se predloži v skladu s členom 15(2)(b), vsak član višjega vodstva navede, ali:
has been convicted of any criminal offence;
je bil obsojen zaradi kaznivega dejanja;
has been subject to or has been notified of any proceedings of a disciplinary nature brought by a regulatory body or of a criminal nature;
je regulativni organ zoper njega začel disciplinski ali kazenski postopek ali pa je bil o takšnem postopku obveščen;
has been subject to any adverse finding in civil proceedings in connection with the provision of financial services, misconduct, fraud or the management of a legal entity;
je bil v civilnem postopku obsojen zaradi opravljanja finančnih storitev, neprimernega ravnanja, prevare ali vodenja pravne osebe;
has to his or her knowledge been subject to any existing or previous investigation by any regulatory authority or government bodies or agencies;
po njegovi vednosti zoper njega regulativni organ, vladni organ ali agencija vodi preiskavo;
has been involved with an undertaking whose registration or authorisation was withdrawn by a regulatory body;
je bil povezan s podjetjem, ki mu je regulativni organ odvzel registracijo oz. dovoljenje;
has been refused the right to carry on activities which require registration or authorisation by a regulatory body;
mu je bila zavrnjena pravica do opravljanja dejavnosti, za katere se zahteva registracija ali dovoljenje regulativnega organa;
has been involved in the management of an undertaking which has gone into insolvency, liquidation or administration while this person was connected to the undertaking or within a year of the person ceasing to be connected to the undertaking;
je sodeloval pri vodenju podjetja, ki je bilo v postopku insolventnosti, likvidacije ali stečajnem postopku, medtem ko je bila zadevna oseba z njim povezana oz. v enem letu od dne, ko oseba z njim ni bila več povezana;
has been involved with an undertaking which was investigated or suspended by a regulatory body and which resulted in an enforcement action;
je bil povezan s podjetjem, proti kateremu je regulativni organ vodil preiskavo oziroma mu je ta prepovedal opravljati dejavnosti, kar je privedlo do izvršilnega ukrepa;
has been investigated, suspended or sanctioned by a regulatory body;
je regulativni organ proti njemu vodil preiskavo, mu prepovedal opravljati dejavnosti ali ga sankcioniral;
has been disqualified from acting as a director, disqualified from acting in any managerial capacity, dismissed from employment or other appointment in an undertaking as a consequence of allegations of misconduct or malpractice.
mu je bilo zaradi obtožb o neprimernem ravnanju ali zlorabi prepovedano opravljati nalogo direktorja oziroma katero koli drugo vodstveno funkcijo ali pa je bil razrešen z delovnega mesta oz. drugega položaja v podjetju.
ISSUANCE AND REVIEW OF CREDIT RATINGS
IZDAJA IN PREGLED BONITETNIH OCEN
(Articles 16, 17 and 18)
(členi 16, 17 in 18)
The information regarding the policies and procedures referred to in Article 16(2)(a) regarding the development, validation and review of the CRA’s rating methodologies shall include:
Informacije o politikah in postopkih iz člena 16(2)(a) za razvijanje, potrjevanje in pregledovanje metodologij bonitetnega ocenjevanja bonitetne agencije vključujejo:
the responsibilities and process for rating methodology development and sign off, including details on the composition of the rating methodology committees and the procedures for members’ selection;
pristojnosti in postopek za razvoj in odobritev metodologij bonitetnega ocenjevanja, vključno s podatki o sestavi odborov za metodologije bonitetnega ocenjevanja in postopki za izbor članov;
the responsibilities and process for rating methodology, including:
pristojnosti in postopek za metodologije bonitetnega ocenjevanja, vključno s:
the verification and validation of a rating methodology;
preverjanjem in potrjevanjem metodologij bonitetnega ocenjevanja;
the validation of the rating methodology based on historical data, including how the results of the back-testing are taken into account.
potrjevanjem metodologij bonitetnega ocenjevanja na podlagi preteklih podatkov, vključno s tem, kako se upoštevajo rezultati testiranja za nazaj.
In addition, the credit rating agency shall also include the results of such validation/back-testing for the past three years, where quantitative data is available;
Poleg tega bonitetna agencija sporoči tudi rezultate takšnega potrjevanja/testiranja za nazaj za zadnja tri leta, če so na voljo kvantitativni podatki;
the reporting of the outcome of the rating methodology review; and
poročanjem rezultatov pregleda metodologij bonitetnega ocenjevanja, in
the implementation of a change in methodology, model or key rating assumptions.
uvedbo sprememb v metodologijah, modelih ali ključnih ocenjevalnih predpostavkah.
The information regarding the policies and procedures referred to in Article 17(1)(c) regarding the issuance of credit ratings shall include:
Informacije o politikah in postopkih iz člena 17(1)(c) za izdajanje bonitetnih ocen vključujejo:
an assessment of the minimum information requirements to initiate and maintain a rating, including both public and non-public information;
oceno minimalnih zahtev glede informacij za pripravo in ohranitev ocene, vključno z javnimi in nejavnimi informacijami;
the controls mechanisms for the issuance of credit ratings, including the involvement of the issuer/arranger/investor/servicer within this process;
nadzorni mehanizem za izdajanje bonitetnih ocen, vključno z vključitvijo izdajatelja/organizatorja/vlagatelja/ponudnika storitev;
the process for collation, analysis and assessment of the information used to determine a rating, including, where applicable, reliance on analysis by another credit rating agency or other third parties;
postopek zbiranja, analiziranja in presojanja informacij, ki se uporabljajo za določanje ocene, po potrebi vključno z uporabo analize druge bonitetne agencije ali drugih tretjih oseb;
the role and responsibilities of rating analysts, as well as the process and procedures for their selection on specific securities;
naloge in pristojnosti bonitetnih analitikov kot tudi proces in postopke za njihov izbor pri določenih vrednostnih papirjih;
the rating approval process, including the identification of the role and responsibilities of the persons approving the ratings as well as the process and procedures for their selection;
postopek za potrditev ocene, vključno z opredelitvijo nalog in pristojnosti oseb, ki potrjujejo ocene, ter proces in postopek za njihov izbor;
where a credit rating agency has established rating committees, the role and responsibilities of rating committee chairs, as well as the skills required and the process and procedures for their nomination; and
če je bonitetna agencija ustanovila bonitetne odbore, naloge in pristojnosti predsednikov bonitetnih odborov kot tudi zahtevana znanja in sposobnosti ter proces in postopke za njihovo imenovanje, in
the minimum qualifications of the persons involved in the rating decision.
minimalno usposobljenost oseb, vključenih v sprejemanje odločitve o oceni.