natgillin/translations-raw huggingface dataset:
Where a credit rating agency does not comply with its reporting requirements, ESMA should be empowered to request the information by means of a decision issued under Article 23b(3) of Regulation (EC) No 1060/2009, or take other investigatory measures.
Če bonitetna agencija ne izpolnjuje njenih zahtev glede poročanja, bi morala biti ESMA pooblaščena, da zahteva informacije s sklepom, izdanim na podlagi člena 23b(3) Uredbe (ES) št. 1060/2009, ali sprejme druge preiskovalne ukrepe.
This Regulation is based on the draft regulatory technical standards submitted by ESMA to the Commission, in accordance with Article 10 of Regulation (EU) No 1095/2010 of the European Parliament and of the Council [3].
Ta uredba temelji na osnutkih regulativnih tehničnih standardov, ki jih je ESMA predložila Komisiji v skladu s členom 10 Uredbe (EU) št. 1095/2010 Evropskega parlamenta in Sveta [3].
ESMA has conducted open public consultations on the draft regulatory technical standards on which this Regulation is based, analysed the potential related costs and benefits and requested the opinion of the Securities and Markets Stakeholder Group established in accordance with Article 37 of Regulation (EU) No 1095/2010,
ESMA je o osnutkih regulativnih tehničnih standardov, na katerih temelji ta uredba, opravila javna posvetovanja, analizirala morebitne s tem povezane stroške in koristi ter zahtevala mnenje interesne skupine za vrednostne papirje in trge, ustanovljene v skladu s členom 37 Uredbe (EU) št. 1095/2010 –
Registered credit rating agencies shall submit the following types of reports to ESMA:
Registrirane bonitetne agencije organu ESMA predložijo naslednje vrste poročil:
pricing policies and procedures as set out in Article 2;
politike in postopke oblikovanja cen iz člena 2;
fee data for credit ratings activities provided under the issuer-pays model as set out in Article 3(1);
podatke v zvezi s honorarji za dejavnosti bonitetnega ocenjevanja na podlagi modela „izdajatelj plača“ iz člena 3(1);
fee data for credit rating activities provided under the subscriber- or investor-pays model as set out in Article 3(2).
podatke v zvezi s honorarji za dejavnosti bonitetnega ocenjevanja na podlagi modela „vlagatelj ali naročnik plača“ iz člena 3(2).
Registered credit rating agencies shall ensure the accuracy and completeness of the information and data reported to ESMA.
Registrirane bonitetne agencije zagotovijo točnost in popolnost informacij in podatkov, ki jih sporočijo ESMA.
For groups of credit rating agencies, the members of each group may mandate one member to submit reports required under this Regulation on their behalf.
Pri skupini bonitetnih agencij lahko članice vsake skupine eno od njih pooblastijo, da poročila, ki jih določa ta uredba, predloži v imenu skupine.
Each credit rating agency on whose behalf such a report is submitted shall be identified in the data submitted to ESMA.
Vsaka bonitetna agencija, v katere imenu se navedeno poročilo predloži, se navede v podatkih, ki se predložijo ESMA.
Pricing policies and procedures
Politike in postopki oblikovanja cen
Registered credit rating agencies shall provide to ESMA their pricing policies, fee structure or fee schedules and pricing criteria in relation to those rated entities or financial instruments on which they are issuing credit ratings and, where applicable, pricing policies regarding ancillary services.
Registrirane bonitetne agencije ESMA predložijo svoje politike oblikovanja cen, strukturo honorarjev ali cenike storitev in merila za oblikovanje cen v zvezi s tistimi ocenjevanimi subjekti ali finančnimi instrumenti, za katere izdajajo bonitetne ocene, po potrebi pa tudi politike oblikovanja cen za pomožne storitve.
Registered credit rating agencies shall ensure that for each type of credit rating offered the pricing policies contain or are accompanied by the following items:
Registrirane bonitetne agencije zagotovijo, da politike oblikovanja cen za vsako vrsto bonitetne ocene, ki jo ponujajo, vsebujejo ali imajo priložene naslednje:
the names of the persons responsible for the approval and maintenance of the pricing policies, fee schedules and/or fee programmes, including those responsible for setting fees, the internal identifier, the function and internal department to which the persons belong;
imena oseb, odgovornih za odobritev in vzdrževanje politik oblikovanja cen, cenikov storitev in/ali programov plačevanja honorarjev, vključno z imeni oseb, odgovornih za določanje honorarjev, internim identifikatorjem, funkcijo in oddelkom, kateremu pripadajo zadevne osebe;
any internal guidelines for application of the pricing criteria in the pricing policies, fee schedules and/or fee programmes relating to the setting of individual fees;
morebitne interne smernice za uporabo meril za oblikovanje cen v politikah oblikovanja cen, cenikov storitev in/ali programov plačevanja honorarjev, povezanih z določanjem posameznih honorarjev;
a detailed description of the fee range or fee schedule and criteria applicable to the different types of fees, including those provided for in the fee schedules;
podroben opis razpona honorarjev ali cenika storitev ter meril, ki se uporabljajo za različne vrste honorarjev, vključno s tistimi iz cenikov storitev;
a detailed description of any fee programme, including a relationship programme, frequency of use programme, loyalty programme or other programme, and including the criteria of application and fee range, from which individual credit ratings or set of ratings may benefit in fee terms;
podroben opis posameznih programov plačevanja honorarjev, vključno s programom povezave, programom pogostosti uporabe, programom zvestobe ali drugim programom ter vključno z merili za uporabo in razponom honorarjev, na podlagi katerih imajo lahko posamezne bonitetne ocene ali sklop bonitetnih ocen koristi v smislu honorarja;
where applicable, the pricing principles and rules to be employed whenever there is a relationship or link between the fees charged for credit rating services and ancillary services or any other services provided to the client, within the meaning of the second subparagraph of point 2 of Part II of Section E of Annex I to Regulation (EC) No 1060/2009 (client), by the credit rating agency and/or any of the entities belonging to the credit rating agency’s group within the meaning of Articles 1 and 2 of Council Directive 83/349/EEC [4], as well as any entity linked to the credit rating agency or other company of the credit rating agency’s group by a relationship within the meaning of Article 12(1) of Directive 83/349/EEC;
po potrebi načela in pravila oblikovanja cen, ki jih bonitetna agencija in/ali kateri od subjektov iz skupine bonitetne agencije v smislu členov 1 in 2 Direktive Sveta 83/349/EGS [4] ter vsak subjekt, ki je z bonitetno agencijo ali drugim podjetjem iz skupine bonitetne agencije povezan v smislu člena 12(1) Direktive 83/349/EGS, uporabi v primeru povezave med honorarji, zaračunanimi za storitve bonitetnega ocenjevanja in pomožne storitve ali katere druge storitve, zagotovljene stranki, v smislu drugega pododstavka točke 2 dela II oddelka E Priloge I k Uredbi (ES) št. 1060/2009 (v nadaljnjem besedilu: stranka);
the geographical scope of application of the pricing policy, fee schedule or fee programme in terms of the location of the clients and the credit rating agency or agencies applying the pricing policy, fee schedule or fee programme;
geografski obseg uporabe politike oblikovanja cen, cenika storitev ali programa plačevanja honorarjev v smislu lokacije strank in bonitetne agencije ali agencij, ki uporabljajo politiko oblikovanja cen, cenik storitev ali program plačevanja honorarjev;
the names of the persons authorised to set fees and other charges under the respective pricing policy, fee schedule or fee programme, including those responsible for setting fees, the internal identifier, the function and internal department to which the persons belong.
imena oseb, pooblaščenih za določanje honorarjev in drugih stroškov v okviru zadevne politike oblikovanja cen, cenika storitev ali programa plačevanja honorarjev, vključno z imeni oseb, odgovornih za določanje honorarjev, internim identifikatorjem, funkcijo in oddelkom, s katerega so zadevne osebe.
Registered credit rating agencies shall ensure that the pricing procedures contain or are accompanied by the following items:
Registrirane bonitetne agencije zagotovijo, da postopki oblikovanja cen vsebujejo ali imajo priloženo naslednje:
the names of the persons responsible for the approval and maintenance of the procedures implementing the pricing policies, including those responsible for setting fees, the internal identifier, the function and internal department to which the persons belong;
imena oseb, odgovornih za odobritev in vzdrževanje postopkov za izvajanje politik oblikovanja cen, vključno z imeni oseb, odgovornih za določanje honorarjev, internim identifikatorjem, funkcijo in internim oddelkom, kateremu pripadajo zadevne osebe;
a detailed description of the procedures and controls in place to ensure and monitor strict compliance with the pricing policies;
podroben opis postopkov in kontrol, ki se uporabljajo za zagotavljanje in spremljanje stroge skladnosti s politikami oblikovanja cen;
a detailed description of the procedures in place for the lowering fees or for otherwise departing from the fee schedule or fee programmes;
podroben opis postopkov, ki se uporabljajo za nižanje honorarjev ali kakšno drugačno odstopanje od cenika storitev ali programov plačevanja honorarjev;
the names of the persons directly responsible for monitoring the application of the pricing policies to individual fees, including the internal identifier, the function and internal department to which the persons belong;
imena oseb, neposredno odgovornih za spremljanje uporabe politik oblikovanja cen za posamezne honorarje, vključno z internim identifikatorjem, funkcijo in internim oddelkom, kateremu pripadajo zadevne osebe;
the names of the persons directly responsible for ensuring compliance of individual fees with pricing policies, including the internal identifier, the function and internal department to which the persons belongs;
imena oseb, neposredno odgovornih za zagotavljanje skladnosti posameznih honorarjev s politikami oblikovanja cen, vključno z internim identifikatorjem, funkcijo in internim oddelkom, kateremu pripadajo zadevne osebe;
a detailed description of the measures to be adopted in the event of a breach of pricing policies, fee schedules, fee programmes and procedures;
podroben opis ukrepov, ki se sprejmejo v primeru kršitve politik oblikovanja cen, cenikov storitev, programov in postopkov plačevanja honorarjev;
a detailed description of the procedure for reporting to ESMA any material breach of pricing policies or procedures which may result in a breach of point 3c of Section B of Annex I to Regulation (EC) No 1060/2009.
podroben opis postopka, na podlagi katerega se organu ESMA sporoči vsaka pomembna kršitev politik ali postopkov oblikovanja cen, zaradi katerih bi lahko prišlo do kršitve točke 3(c) oddelka B Priloge I k Uredbi (ES) št. 1060/2009.
List of fees charged to each client
Seznam honorarjev, ki se zaračunajo posamezni stranki
Registered credit rating agencies providing credit ratings on an issuer-pays model shall provide to ESMA the fees charged to each client for individual credit ratings and any ancillary services per legal entity as well as aggregated by group of companies.
Registrirane bonitetne agencije, ki zagotavljajo bonitetne ocene na podlagi modela izdajatelj plača, honorarji, ki jih posamezni stranki zaračunajo za posamezne bonitetne ocene in morebitne pomožne storitve, ESMA predložijo za posamezni pravni subjekt in skupaj za skupino podjetij.
Registered credit rating agencies providing credit ratings on a subscriber- or investor-pays model shall provide to ESMA, on a per client basis, the total fees charged for such services as well as for the ancillary services provided.
Registrirane bonitetne agencije, ki zagotavljajo bonitetne ocene na podlagi modela naročnik ali vlagatelj plača, organu ESMA za posamezno stranko predložijo skupni znesek honorarjev, zaračunanih za zadevne storitve in zagotovljene pomožne storitve.
All deviations from pricing policies or pricing procedures, or the non-application of a pricing policy, fee schedule or fee programme, or pricing procedure to a rating shall be recorded by the registered credit rating agencies, with a clear identification of the main explanations for the deviation and the individual rating involved in the format set out in Table 1 of Annex II.
Bonitetne agencije zabeležijo vsako odstopanje od politike oblikovanja cen ali postopkov oblikovanja cen ali neuporabo politike oblikovanja cen, cenika storitev ali programa plačevanja honorarjev ali postopka oblikovanja cen pri oceni, pri tem pa v obliki iz preglednice 1 Priloge II jasno navedejo glavna pojasnila za odstopanje in zadevno posamezno oceno.
This record shall be made promptly available to ESMA upon request.
Ta evidenca se na zahtevo takoj predloži organu ESMA.
Credit rating types
Vrste bonitetnih ocen
Registered credit rating agencies shall classify the ratings to be reported in accordance with the types defined in Article 3 of Commission Delegated Regulation (EU) 2015/2 [5].Article 5
Registrirane bonitetne agencije ocene, ki se bodo poročale, razvrstijo v skladu z vrstami iz člena 3 Delegirane uredbe Komisije (EU) 2015/2 [5].Člen 5
Data to be provided
Podatki, ki se predložijo
Registered credit rating agencies shall provide to ESMA the items set out in Article 2(2) and (3), and the data set out in Tables 1 to 4 of Annex I, as well as the pricing policies, fee schedules, fee programmes and procedures in separate files.
Registrirane bonitetne agencije organu ESMA v ločenih datotekah predložijo podatke iz člena 2(2) in (3), podatke iz preglednic od 1 do 4 Priloge I ter politike oblikovanja cen, cenike storitev, programe in postopke plačevanja honorarjev.
Registered credit rating agencies shall provide to ESMA the data set out in Tables 1 and 2 of Annex II for fees data on each individual credit rating issued and the fees charged for credit ratings and any ancillary services per client in accordance with Article 3(1).
Registrirane bonitetne agencije organu ESMA predložijo podatke iz preglednic 1 in 2 Priloge II za podatke v zvezi s honorarji za vsako posamezno izdano bonitetno oceno in honorarje, zaračunane za bonitetne ocene in vse pomožne storitve za posamezno stranko v skladu s členom 3(1).
Registered credit rating agencies that have provided credit ratings on a subscriber or investor-pays model shall provide to ESMA the data set out in Table 1 of Annex III for each client of the credit ratings services provided, in accordance with Article 3(2).
Registrirane bonitetne agencije, ki so bonitetne ocene pripravile po modelu naročnik ali vlagatelj plača, organu ESMA za vsako posamezno stranko predložijo podatke iz preglednice 1 Priloge III o zagotovljenih storitvah bonitetnega ocenjevanja v skladu s členom 3(2).
The data specified in Tables 1 to 4 of Annex I, Tables 1 and 2 of Annex II, and Table 1 of Annex III shall be submitted to ESMA in separate files.
Podatki iz preglednic 1 do 4 Priloge I, preglednic 1 in 2 Priloge II ter preglednice 1 Priloge III se organu ESMA predložijo v ločenih datotekah.
Initial reporting
Prvo poročanje
Each registered credit rating agency shall provide data to ESMA by filling in Tables 1 to 4 of Annex I and separate files for pricing policies, fee schedules, fee programmes and procedures it is applying for each credit rating type in which it is active, in accordance with Article 5(1), within 30 days after the date of entry into force of this Regulation.
Vsaka registrirana bonitetna agencija predloži organu ESMA podatke, tako da izpolni preglednice 1 do 4 Priloge I in ločenih datotek za politike oblikovanja cen, cenike storitev, programe in postopke plačevanja honorarjev, ki jih uporablja za posamezno vrsto bonitetne ocene, ki jo izdaja, in sicer v skladu s členom 5(1) v 30 dneh po začetku veljavnosti te uredbe.
Initial reporting on fees referred to in Article 5(2) and (3) shall be submitted to ESMA nine months after the date of entry into force of this Regulation and shall include the data accumulated from the date of entry into force of this Regulation until 30 June 2015.
Prvo poročanje o honorarjih iz člena 5(2) in (3) organu ESMA se opravi devet mesecev po začetku veljavnosti te uredbe in vključuje podatke, zbrane od začetka veljavnosti te uredbe do 30. junija 2015.
The second report on fees referred to in Article 5(2) and (3) shall be submitted to ESMA by 31 March 2016 and shall include the data accumulated from 1 July 2015 until 31 December 2015.
Drugo poročilo o honorarjih iz člena 5(2) in (3) se ESMA predloži do 31. marca 2016 in vključuje podatke, zbrane od 1. julija 2015 do 31. decembra 2015.
Ongoing reporting
Redno poročanje
Without prejudice to the initial reporting requirements set out in Article 6, the information submitted in accordance with Article 5 shall be submitted on a yearly basis by 31 March and shall include data and pricing policies, fee schedules, fee programmes and procedures relating to the preceding calendar year.
Brez poseganja v zahteve glede prvega poročanja iz člena 6 se informacije, predložene v skladu s členom 5, predložijo letno do 31. marca ter vključujejo podatke in politike oblikovanja cen, cenike storitev, programe in postopke plačevanja honorarjev, povezane s predhodnim koledarskim letom.
Without prejudice to paragraph 1, material changes to pricing policies, fee schedules, fee programmes and procedures shall be reported to ESMA on an ongoing basis without undue delay after their adoption and at the latest 30 days after their implementation.
Brez poseganja v odstavek 1 se pomembne spremembe politik oblikovanja cen, cenikov storitev, programov in postopkov plačevanja honorarjev organu ESMA sporočajo redno in takoj po njihovem sprejetju ter najpozneje 30 dni po njihovem izvajanju.
Registered credit rating agencies shall notify ESMA immediately of any exceptional circumstances that may temporarily prevent or delay reporting in accordance with this Regulation.
Registrirane bonitetne agencije organ ESMA nemudoma obvestijo o vseh izjemnih okoliščinah, zaradi katerih začasno ne morejo poročati v skladu s to uredbo oziroma lahko poročajo le z zamudo.
Registered credit rating agencies shall submit data files in accordance with the technical instructions provided by ESMA and using ESMA’s reporting system.
Registrirane bonitetne agencije datoteke s podatki predložijo v skladu s tehničnimi navodili, ki jih je zagotovil organ ESMA, in pri tem uporabljajo njegov sistem poročanja.
Registered credit rating agencies shall store the data files sent to and received by ESMA under Article 5 as well as the deviation records referred to in Article 3(3) in electronic form for at least five years.
Registrirane bonitetne agencije vse podatkovne datoteke, ki jih v skladu s členom 5 pošljejo organu ESMA in od njega prejmejo, ter odstopanja iz člena 3(3) hranijo v elektronski obliki vsaj pet let.
Those files shall be made available to ESMA on request.
Datoteke predložijo organu ESMA na zahtevo.
Where a registered credit rating agency identifies factual errors in data that have been reported, it shall inform ESMA without undue delay and correct the relevant data according to the technical instructions provided by ESMA.
Če registrirana bonitetna agencija ugotovi, da so v sporočenih podatkih stvarne napake, o tem takoj obvesti organ ESMA in zadevne podatke popravi v skladu s tehničnimi navodili, ki jih je zagotovil organ ESMA.
OJ L 302, 17.11.2009, p.
UL L 302, 17.11.2009, str.
Regulation (EU) No 575/2013 of the European Parliament and of the Council of 26 June 2013 on prudential requirements for credit institutions and investment firms and amending Regulation (EU) No 648/2012 (OJ L 176, 27.6.2013, p.
Uredba (EU) št. 575/2013 Evropskega parlamenta in Sveta z dne 26. junija 2013 o bonitetnih zahtevah za kreditne institucije in investicijska podjetja ter o spremembi Uredbe (EU) št. 648/2012 (UL L 176, 27.6.2013, str.
Regulation (EU) No 1095/2010 of the European Parliament and of the Council of 24 November 2010 establishing a European Supervisory Authority (European Securities and Markets Authority), amending Decision No 716/2009/EC and repealing Commission Decision 2009/77/EC (OJ L 331, 15.12.2010, p.
Uredba (EU) št. 1095/2010 Evropskega parlamenta in Sveta z dne 24. novembra 2010 o ustanovitvi Evropskega nadzornega organa (Evropski organ za vrednostne papirje in trge) in o spremembi Sklepa št. 716/2009/ES ter razveljavitvi Sklepa Komisije 2009/77/ES (UL L 331, 15.12.2010, str.
Seventh Council Directive 83/349/EEC of 13 June 1983 based on the Article 54(3)(g) of the Treaty on consolidated accounts (OJ L 193, 18.7.1983, p.
Sedma direktiva Sveta 83/349/EGS z dne 13. junija 1983 o konsolidiranih računovodskih izkazih, ki temelji na členu 54(3)(g) Pogodbe (UL L 193, 18.7.1983, str.
Commission Delegated Regulation (EU) 2015/2 of 30 September 2014 supplementing Regulation (EC) No 1060/2009 of the European Parliament and of the Council with regard to regulatory technical standards for the presentation of the information that credit rating agencies make available to the European Securities and Markets Authority (see page 24 of this Official Journal).
Delegirana uredba Komisije (EU) 2015/2 z dne 30. septembra 2014 o dopolnitvi Uredbe (ES) št. 1060/2009 Evropskega parlamenta in Sveta glede regulativnih tehničnih standardov za predstavitev informacij, ki jih bonitetne agencije dajo na voljo Evropskemu organu za vrednostne papirje in trge (glej stran 24 tega Uradnega lista).
Standard
Identifikator bonitetne agencije
CRA identifier
Oznaka, ki se uporablja za identifikacijo bonitetne agencije poročevalke.
Code used to identify the reporting credit rating agency.
Določi jo ESMA pri registraciji.
It is provided by ESMA upon registration.
Obvezno.
Mandatory
Obseg bonitetne agencije
CRA scope
Opredelitev bonitetnih agencij, ki izvajajo cenovno politiko.
Identification of the CRAs applying the pricing policy.
Identifikator politike oblikovanja cen
Pricing policy identifier
Enotni identifikator politike oblikovanja cen, ki ostane nespremenjen.
Unique identifier of the pricing policy that shall be maintained.
Vse spremembe, razen obsega vrst bonitetnih ocen, zajetih v politiki oblikovanja cen, bi morale ohraniti isti enotni identifikator.
All changes other than the scope of the rating types covered by the pricing policy should maintain the same unique identifier.
Pri spremembah obsega je treba določiti nov identifikator politike oblikovanja cen.
Changes in the scope require a new pricing policy identifier.
Identifikator politike oblikovanja cen v obliki „PP_[interni identifikator politike oblikovanja cen]“
Pricing policy identifier in format ‘PP_[internal pricing policy identifier]’
Datum veljavnosti politike oblikovanja cen
Pricing policy validity date
Datum začetka veljavnosti politike oblikovanja cen.
The date from which the pricing policy is valid.
Oblika datuma po ISO 8601 (LLLL-MM-DD)
ISO 8601 date format (YYYY-MM-DD)
Datum prenehanja veljavnosti politike oblikovanja cen
Pricing policy end date
Datum prenehanja veljavnosti politike oblikovanja cen.
The end validity date of the pricing policy.
Oblika datuma po ISO 8601 (LLLL-MM-DD) ali kot 9999-01-01
ISO 8601 date dormat (YYYY-MM-DD) or 9999-01-01
Navedba modela
Indication of model
Navedba, ali je politika oblikovanja cen povezana z modelom ocenjevanja izdajatelj plača ali modelom vlagatelj plača ali naročnik plača.
Indication of whether the pricing policy relates to issuer-pays ratings or investor-pays or subscriber-pays model.
ESMA ugotavlja, da lahko bonitetne agencije storitve opravljajo v okviru več kot enega modela, zato se lahko politika oblikovanja cen uporablja za obe vrsti modela.
ESMA understands that CRAs may operate services under more than one model and therefore it is possible that a pricing policy may be used for both types of models.
V takih primerih se lahko izbereta oba, I in S.
In such cases I and S may both be chosen.
„I“ za model izdajatelj plača in/ali
‘I’ for issuer-pays model, and/or
„S“ za model vlagatelj plača ali naročnik plača