natgillin/translations-raw huggingface dataset:
Such exchange of information must be intended for the performance of the tasks of those competent authorities.
nesodelovanje ali neskladno ravnanje v preiskavi, inšpekcijskem pregledu ali zahtevi iz člena 23(2).
Article 27
Države članice Komisiji in ESMA do 3. julija 2016 predložijo podrobno obvestilo o pravilih iz prvega in drugega pododstavka.
Professional secrecy
Komisijo in ESMA nemudoma uradno obvestijo o vseh poznejših spremembah teh pravil.
Any confidential information received, exchanged or transmitted pursuant to this Regulation shall be subject to the conditions of professional secrecy laid down in paragraphs 2 and 3.
Države članice v skladu z nacionalnim pravom zagotovijo, da so pristojni organi pooblaščeni, da naložijo vsaj naslednje upravne kazni in sprejmejo vsaj naslednje upravne ukrepe v primeru kršitev iz točke (a) prvega pododstavka odstavka 1:
All the information exchanged between the competent authorities under this Regulation that concerns business or operational conditions and other economic or personal affairs shall be considered to be confidential and shall be subject to the requirements of professional secrecy, except where the competent authority states at the time of communication that such information may be disclosed or such disclosure is necessary for legal proceedings.
odredbo, s katero se od osebe, odgovorne za kršitev, zahteva, da preneha z ravnanjem in da tega ravnanja več ne ponovi;
The obligation of professional secrecy applies to all persons who work or who have worked for the competent authority or for any authority or market undertaking to whom the competent authority has delegated its powers, including auditors and experts contracted by the competent authority.
povrnitev dobička, pridobljenega s kršitvijo, ali izgube zaradi kršitve, kadar ju je mogoče določiti;
Information covered by professional secrecy may not be disclosed to any other person or authority except by virtue of provisions laid down by Union or national law.
javno opozorilo, v katerem sta navedeni odgovorna oseba in vrsta kršitve;
Article 28
odvzem ali začasni odvzem dovoljenja investicijskega podjetja;
Data protection
začasna prepoved opravljanja funkcij upravljanja v investicijskih podjetjih za osebo, ki opravlja poslovodne naloge v investicijskem podjetju, ali za katero koli drugo fizično osebo, ki je odgovorna za kršitev;
With regard to the processing of personal data within the framework of this Regulation, competent authorities shall carry out their tasks for the purposes of this Regulation in accordance with the national laws, regulations or administrative provisions transposing Directive 95/46/EC.
v primeru ponovnih kršitev člena 14 ali 15, trajna prepoved opravljanja funkcij upravljanja v investicijskih podjetjih za katero koli osebo, ki opravlja poslovodne naloge v investicijskem podjetju, ali za katero koli drugo fizično osebo, ki je odgovorna za kršitev;
With regard to the processing of personal data by ESMA within the framework of this Regulation, ESMA shall comply with the provisions of Regulation (EC) No 45/2001.
začasna prepoved poslovanja za svoj račun za osebo, ki opravlja poslovodne naloge v investicijskem podjetju, ali za drugo fizično osebo ki je odgovorna za kršitev;
Personal data shall be retained for a maximum period of five years.
najvišje upravne denarne kazni v višini vsaj trikratnega zneska pridobljenega dobička ali preprečene izgube na podlagi kršitve, kadar ju je mogoče opredeliti;
Article 29
v primeru fizične osebe, najvišje upravne denarne kazni v višini najmanj:
The competent authority of a Member State may transfer personal data to a third country provided the requirements of Directive 95/46/EC are fulfilled and only on a case-by-case basis.
za kršitve členov 16 in 17 1000000 EUR oziroma v državah članicah, katerih valuta ni euro, ustrezne vrednosti v nacionalni valuti na dan 2. julija 2014, in
The competent authority shall ensure that the transfer is necessary for the purpose of this Regulation and that the third country does not transfer the data to another third country unless it is given express written authorisation and complies with the conditions specified by the competent authority of the Member State.
za kršitve členov 18, 19 in 20, 500000 EUR oziroma v državah članicah, katerih valuta ni euro, ustrezne vrednosti v nacionalni valuti na dan 2. julija 2014, ter
The competent authority of a Member State shall only disclose personal data received from a competent authority of another Member State to a supervisory authority of a third country where the competent authority of the Member State concerned has obtained express agreement from the competent authority which transmitted the data and, where applicable, the data is disclosed solely for the purposes for which that competent authority gave its agreement.
v primeru pravne osebe, najvišje upravne denarne kazni v višini najmanj:
Where a cooperation agreement provides for the excha nge of personal data, it shall comply with the national laws, regulations or administrative provisions transposing Directive 95/46/EC.
za kršitve členov 14 in 15, 15000000 EUR ali 15 % skupnega letnega prometa pravne osebe na podlagi zadnjih razpoložljivih računovodskih izkazov, ki jih odobri poslovodni organ, ali, v državah članicah, katerih valuta ni euro, ustrezne vrednosti v nacionalni valuti na dan 2. julija 2014;
CHAPTER 5
za kršitve členov 16 in 17, 2500000 EUR ali 2 % njenega skupnega letnega prometa na podlagi zadnjih razpoložljivih računovodskih izkazov, ki jih odobri poslovodni organ, ali, v državah članicah, katerih valuta ni euro, ustrezne vrednosti v nacionalni valuti na dan 2. julija 2014, in
ADMINISTRATIVE MEASURES AND SANCTIONS
za kršitve členov 18, 19 in 20, 1000000 EUR oziroma v državah članicah, katerih valuta ni euro, ustrezne vrednosti v nacionalni valuti na dan 2. julija 2014.
Article 30
Sklicevanja na pristojni organ v tem odstavku ne posega v možnost pristojnega organa za opravljanje svojih funkcij na načine, navedene v členu 23(1).
Without prejudice to any criminal sanctions and without prejudice to the supervisory powers of competent authorities under Article 23, Member States shall, in accordance with national law, provide for competent authorities to have the power to take appropriate administrative sanctions and other administrative measures in relation to at least the following infringements:
Države članice lahko na te pristojne organe prenesejo druga pooblastila za sankcioniranje poleg tistih iz odstavka 2 in lahko določijo sankcije, višje od tistih iz navedenega odstavka.
infringements of Articles 14 and 15, Article 16(1) and (2), Article 17(1), (2), (4) and (5), and (8), Article 18(1) to (6), Article 19(1), (2), (3), (5), (6), (7) and (11) and Article 20(1); and
Člen 31
failure to cooperate or to comply with an investigation, with an inspection or with a request as referred to in Article 23(2).
Izvajanje nadzornih pooblastil in nalaganje kazni
Member States may decide not to lay down rules for administrative sanctions as referred to in the first subparagraph where the infringements referred to in point (a) or point (b) of that subparagraph are already subject to criminal sanctions in their national law by 3 July 2016.
Države članice zagotovijo, da pristojni organi pri določanju vrste in ravni upravnih kazni upoštevajo vse pomembne okoliščine, ki po potrebi vključujejo:
Where they so decide, Member States shall notify, in detail, to the Commission and to ESMA, the relevant parts of their criminal law.
resnost in trajanje kršitve;
By 3 July 2016, Member States shall notify, in detail, the rules referred to in the first and second subparagraph to the Commission and to ESMA.
stopnjo odgovornosti osebe, odgovorne za kršitev;
They shall notify the Commission and ESMA without delay of any subsequent amendments thereto.
finančno stanje osebe, odgovorne za kršitev, kot se ugotovi na primer na podlagi skupnega prometa pravne osebe ali letnih prihodkov fizične osebe;
Member States shall, in accordance with national law, ensure that competent authorities have the power to impose at least the following administrative sanctions and to take at least the following administrative measures in the event of the infringements referred to in point (a) of the first subparagraph of paragraph 1:
obseg pridobljenega dobička ali preprečene izgube za osebo, odgovorno za kršitev, če ju je mogoče opredeliti;
an order requiring the person responsible for the infringement to cease the conduct and to desist from a repetition of that conduct;
raven sodelovanja osebe, odgovorne za kršitev, s pristojnim organom, brez poseganja v potrebo po zagotovitvi povrnitve pridobljenega dobička ali preprečene izgube na podlagi kršitve;
the disgorgement of the profits gained or losses avoided due to the infringement insofar as they can be determined;
prejšnje kršitve osebe, odgovorne za kršitev, in
a public warning which indicates the person responsible for the infringement and the nature of the infringement;
ukrepe, ki jih je oseba, odgovorna za kršitev, sprejela, da ne bi kršitve ponovila.
withdrawal or suspension of the authorisation of an investment firm;
Pristojni organi pri izvajanju pooblastil za nalaganje upravnih kazni in drugih upravnih ukrepov na podlagi člena 30 tesno sodelujejo, da bi zagotovili, da je izvrševanje njihovih nadzornih in preiskovalnih pooblastil, ter upravne kazni, ki jih naložijo, in drugi upravni ukrepi, ki jih uvedejo, učinkoviti in ustrezni na podlagi te uredbe.
a temporary ban of a person discharging managerial responsibilities within an investment firm or any other natural person, who is held responsible for the infringement, from exercising management functions in investment firms;
Svoje dejavnosti usklajujejo v skladu s členom 25, da bi se preprečila podvajanje in prekrivanje pri izvajanju nadzornih in preiskovalnih pooblastil ter pri nalaganju upravnih kazni v čezmejnih primerih.
in the event of repeated infringements of Article 14 or 15, a permanent ban of any person discharging managerial responsibilities within an investment firm or any other natural person who is held responsible for the infringement, from exercising management functions in investment firms;
Člen 32
a temporary ban of a person discharging managerial responsibilities within an investment firm or another natural person who is held responsible for the infringement, from dealing on own account;
Poročanje o kršitvah
maximum administrative pecuniary sanctions of at least three times the amount of the profits gained or losses avoided because of the infringement, where those can be determined;
Države članice zagotovijo, da pristojni organi vzpostavijo učinkovite mehanizme za omogočanje poročanja pristojnim organom o dejanskih ali morebitnih kršitvah te uredbe.
in respect of a natural person, maximum administrative pecuniary sanctions of at least:
Mehanizmi iz odstavka 1 vključujejo vsaj:
for infringements of Articles 14 and 15, EUR 5000000 or in the Member States whose currency is not the euro, the corresponding value in the national currency on 2 July 2014;
posebne postopke za prejem poročil o kršitvah in njihovo nadaljnje spremljanje, vključno z vzpostavitvijo varnih komunikacijskih kanalov za takšna poročila;
for infringements of Articles 16 and 17, EUR 1000000 or in the Member States whose currency is not the euro, the corresponding value in the national currency on 2 July 2014; and
za osebe, ki delajo na podlagi pogodbe o zaposlitvi in poročajo o kršitvah ali so obtožene kršitev, ustrezno zaščito v okviru zaposlitve vsaj pred povračilnimi ukrepi, diskriminaciji ali drugimi vrstami nepravične obravnave, in
for infringements of Articles 18, 19 and 20, EUR 500000 or in the Member States whose currency is not the euro, the corresponding value in the national currency on 2 July 2014; and
varstvo osebnih podatkov osebe, ki prijavi kršitev, in fizične osebe, ki je domnevno storila kršitev, vključno z varstvom v zvezi z ohranjanjem tajnosti identitete zadevnih oseb v vseh fazah postopka, pri čemer se ne posega v razkritja informacij, ki so v skladu z nacionalnim pravom potrebna v povezavi s preiskavami ali nadaljnjimi sodnimi postopki.
in respect of legal persons, maximum administrative pecuniary sanctions of at least:
Države članice zahtevajo od delodajalcev, ki opravljajo dejavnosti, ki jih urejajo predpisi za finančne storitve, da imajo vzpostavljene ustrezne notranje postopke, prek katerih lahko uslužbenci poročajo o kršitvah te uredbe.
for infringements of Articles 14 and 15, EUR 15000000 or 15 % of the total annual turnover of the legal person according to the last available accounts approved by the management body, or in the Member States whose currency is not the euro, the corresponding value in the national currency on 2 July 2014;
Države članice lahko za osebe, ki posredujejo pomembne informacije o morebitnih kršitvah te uredbe, določijo finančne spodbude v skladu z nacionalnim pravom, kadar za te osebe že ne veljajo druge obstoječe pravne ali pogodbene obveznosti glede poročanja o takšnih informacijah, ter kadar so informacije nove in kadar je na njihovi podlagi mogoče izreči upravno kazen ali kazensko sankcijo ali izvedbo drugega upravnega ukrepa za kršitev te uredbe.
for infringements of Articles 16 and 17, EUR 2500000 or 2 % of its total annual turnover according to the last available accounts approved by the management body, or in the Member States whose currency is not the euro, the corresponding value in the national currency on 2 July 2014; and
Komisija sprejme izvedbene akte za opredelitev postopkov iz odstavka 1, vključno z ureditvami za poročanje in spremljanje poročil, ter ukrepe za varstvo delavcev, ki delajo na podlagi pogodbe o zaposlitvi in ukrepe za varovanje osebnih podatkov.
for infringements of Articles 18, 19 and 20, EUR 1000000 or in the Member States whose currency is not the euro, the corresponding value in the national currency on 2 July 2014.
Ti izvedbeni akti se sprejmejo v skladu s postopkom pregleda iz člena 36(2).
References to the competent authority in this paragraph are without prejudice to the ability of the competent authority to exercise its functions in any ways referred to in Article 23(1).
Člen 33
For the purposes of points (j)(i) and (ii) of the first subparagraph, where the legal person is a parent undertaking or a subsidiary undertaking which is required to prepare consolidated financial accounts pursuant to Directive 2013/34/EU [28], the relevant total annual turnover shall be the total annual turnover or the corresponding type of income in accordance with the relevant accounting directives – Council Directive 86/635/EEC [29] for banks and Council Directive 91/674/EEC [30] for insurance companies – according to the last available consolidated accounts approved by the management body of the ultimate parent undertaking.
Izmenjava informacij z ESMA
Member States may provide that competent authorities have powers in addition to those referred to in paragraph 2 and may provide for higher levels of sanctions than those established in that paragraph.
Pristojni organi letno posredujejo ESMA informacije v zbirni obliki o vseh upravnih kaznih in drugih upravnih ukrepih, ki jih pristojni organ naloži v skladu s členi 30, 31 in 32.
Article 31
ESMA te informacije objavi v letnem poročilu.
Exercise of supervisory powers and imposition of sanctions
Pristojni organi letno posredujejo ESMA tudi podatke v anonimni in zbirni obliki o vseh upravnih preiskavah, opravljenih v skladu z navedenimi členi.
Member States shall ensure that when determining the type and level of administrative sanctions, competent authorities take into account all relevant circumstances, including, where appropriate:
Kadar države članice v skladu z drugim pododstavkom člena 30(1) določijo kazenske sankcije za kršitve iz navedenega člena, pristojni organi ESMA letno posredujejo podatke v anonimni in zbirni obliki o vseh kazenskih preiskavah in kazenskih sankcijah, ki so jih v skladu s členi 30, 31 in 32 naložili sodni organi.
the gravity and duration of the infringement;
ESMA podatke o naloženih kazenskih sankcijah objavi v letnem poročilu.
the degree of responsibility of the person responsible for the infringement;
Kadar pristojni organ razkrije upravne kazni ali kazenske sankcije ali druge upravne ukrepe javnosti, o tem hkrati obvesti ESMA.
the financial strength of the person responsible for the infringement, as indicated, for example, by the total turnover of a legal person or the annual income of a natural person;
Kadar se objavljena upravna kazen ali kazenska sankcija ali drug upravni ukrep nanaša na investicijsko podjetje, pooblaščeno v skladu z Direktivo 2014/65/EU, ESMA doda sklicevanje na to objavljeno sankcijo ali ukrep v register investicijskih podjetij, ustanovljenih v skladu s členom 5(3) navedene direktive.
the importance of the profits gained or losses avoided by the person responsible for the infringement, insofar as they can be determined;
Da se zagotovijo enotni pogoji za uporabo tega člena, ESMA pripravi osnutke izvedbenih tehničnih standardov o postopkih in obrazcih za izmenjavo informacij iz tega člena.
the level of cooperation of the person responsible for the infringement with the competent authority, without prejudice to the need to ensure disgorgement of profits gained or losses avoided by that person;
Člen 34
previous infringements by the person responsible for the infringement; and
Objava sklepov
measures taken by the person responsible for the infringement to prevent its repetition.
Ob upoštevanju tretjega pododstavka, pristojni organi na svojem spletnem mestu objavijo vsak sklep, ki nalaga upravno kazen ali drug upravni ukrep v zvezi s kršitvijo te uredbe takoj potem, ko se osebo, na katero se nanaša sklep, obvesti o tem sklepu.
In the exercise of their powers to impose administrative sanctions and other administrative measures under Article 30, competent authorities shall cooperate closely to ensure that the exercise of their supervisory and investigative powers, and the administrative sanctions that they impose, and the other administrative measures that they take, are effective and appropriate under this Regulation.
Taka objava zajema vsaj informacije o vrsti in naravi kršitve ter identiteti osebe, na katero se nanaša sklep.
They shall coordinate their actions in accordance with Article 25 in order to avoid duplication and overlaps when exercising their supervisory and investigative powers and when imposing administrative sanctions in respect of cross-border cases.
Prvi pododstavek se ne uporablja v primeru sklepov, ki nalagajo ukrepe preiskovalne narave.
Article 32
Kadar na podlagi presoje od primera do primera pristojni organ meni, da bi bila objava identitete pravne osebe, na katero se nanaša sklep, ali osebnih podatkov fizične osebe nesorazmerna na podlagi ocene posameznega primera, ki se izvede glede sorazmernosti objave takih podatkov, ali kadar bi taka objava ogrožala preiskavo v teku ali stabilnost finančnih trgov, pristojni organ stori karkoli od naslednjega:
Reporting of infringements
odloži objavo sklepa dokler razlogi za to odložitev prenehajo obstajati;
Member States shall ensure that competent authorities establish effective mechanisms to enable reporting of actual or potential infringements of this Regulation to competent authorities.
sklep objavi anonimno in v skladu z nacionalnim pravom, kadar taka objava zagotavlja učinkovito varstvo zadevnih osebnih podatkov in, kadar je ustrezno, preloži objavo zadevnih podatkov za razumno obdobje, kadar je mogoče predvideti, da bodo razlogi za anonimno objavo v tem obdobju prenehali obstajati;
The mechanisms referred to in paragraph 1 shall include at least:
ne objavi sklepa v primeru, da pristojni organ meni, da objava v skladu s točko (a) ali (b) ne bo zadostovala:
specific procedures for the receipt of reports of infringements and their follow-up, including the establishment of secure communication channels for such reports;
da stabilnost finančnih trgov ne bi bila ogrožena, ali
within their employment, appropriate protection for persons working under a contract of employment, who report infringements or are accused of infringements, against retaliation, discrimination or other types of unfair treatment at a minimum; and
da bi se zagotovila sorazmernost objave takšnih sklepov v zvezi z ukrepi, ki štejejo za blažje.
protection of personal data both of the person who reports the infringement and the natural person who allegedly committed the infringement, including protection in relation to preserving the confidentiality of their identity, at all stages of the procedure without prejudice to disclosure of information being required by national law in the context of investigations or subsequent judicial proceedings.
Kadar pristojni organ sprejme odločitev, da sklep objavi na anonimni osnovi iz točke (b) tretjega pododstavka, lahko odloži objavo zadevnih podatkov za razumno obdobje, kadar je mogoče predvideti, da bodo razlogi za anonimno objavo v tem obdobju prenehali obstajati.
Member States shall require employers who carry out activities that are regulated by financial services regulation to have in place appropriate internal procedures for their employees to report infringements of this Regulation.
Kadar je sklep predmet pritožbe pred nacionalnim sodnim, upravnim ali drugim organom, pristojni organi na svojem spletnem mestu takoj objavijo tudi informacije o tem in vse naknadne informacije o odločitvi o pritožbi.
Member States may provide for financial incentives to persons who offer relevant information about potential infringements of this Regulation to be granted in accordance with national law where such persons do not have other pre-existing legal or contractual duties to report such information, and provided that the information is new, and that it results in the imposition of an administrative or criminal sanction, or the taking of another administrative measure, for an infringement of this Regulation.
Objavi se tudi vsakršen sklep o razveljavitvi sklepa, zoper katerega je bila vložena pritožba.
The Commission shall adopt implementing acts to specify the procedures referred to in paragraph 1, including the arrangements for reporting and for following-up reports, and measures for the protection of persons working under a contract of employment and measures for the protection of personal data.
Pristojni organi zagotovijo, da vsak sklep, objavljen v skladu s tem členom ostane dostopen na njihovem spletnem mestu najmanj pet let po objavi.
Those implementing acts shall be adopted in accordance with the examination procedure referred to in Article 36(2).
Osebni podatki iz takih objavah ostanejo na spletnem mestu pristojnega organa le tako dolgo, kot je potrebno v skladu z veljavnimi predpisi o varstvu podatkov.
Article 33
POGLAVJE 6
Exchange of information with ESMA
DELEGIRANI IN IZVEDBENI AKTI
Competent authorities shall provide ESMA annually with aggregated information regarding all administrative sanctions and other administrative measures imposed by the competent authority in accordance with Articles 30, 31 and 32.
Člen 35
ESMA shall publish that information in an annual report.
Izvajanje pooblastila
Competent authorities shall also provide ESMA annually with anonymised and aggregated data regarding all administrative investigations undertaken in accordance with those Articles.
Pooblastilo za sprejemanje delegiranih aktov je preneseno na Komisijo pod pogoji, določenimi v tem členu.
Where Member States have, in accordance with the second subparagraph of Article 30(1), laid down criminal sanctions for the infringements referred to in that Article, their competent authorities shall provide ESMA annually with anonymised and aggregated data regarding all criminal investigations undertaken and criminal penalties imposed by the judicial authorities in accordance with Articles 30, 31 and 32.
Pooblastilo za sprejemanje delegiranih aktov iz člena 6(5) in (6), člena 12(5), tretjega pododstavka člena 17(2), člena 17(3) ter člena 19(13) in (14) se prenese na Komisijo za nedoločen čas od 2. julija 2014.
ESMA shall publish data on criminal sanctions imposed in an annual report.
Pooblastilo iz člena 6(5) in (6), člena 12(5), tretjega pododstavka člena 17(2), člena 17(3) ter člena 19(13) in (14) lahko kadar koli prekliče Evropski parlament ali Svet.