natgillin/translations-raw huggingface dataset:
Information on the sources of capital available, including the means used for transferring financial resources when raising capital, should be submitted by an applicant in order to enable competent authorities to assess that all relevant requirements in the field of financial crime have been complied with.
Prosilec bi moral predložiti informacije o razpoložljivih kapitalskih virih, vključno z načinom, ki se pri zbiranju kapitala uporablja za prenos finančnih sredstev, da bi pristojni organi lahko ocenili, ali so izpolnjene vse zadevne zahteve, ki se nanašajo na področje finančnega kriminala.
Newly established entities, when submitting an application, may only be in a position to provide information on how capital will be raised and the types and amount of capital that will be raised.
Novo ustanovljeni subjekti lahko pri predložitvi vloge zagotovijo le informacije o načinu zbiranja kapitala ter vrstah in znesku kapitala, ki bo zbran.
However, evidence of paid-up share capital and other types of capital raised, together with information on the sources of capital, should be provided to the competent authorities, in view of obtaining authorisation, before authorisation is granted.
Vendar bi morali za pridobitev dovoljenja pristojnim organom predložiti dokazila o vplačanem osnovnem kapitalu in drugih vrstah zbranega kapitala, skupaj z informacijami o virih kapitala, preden se dovoljenje izda.
Such evidence may include copies of relevant capital instruments and corresponding bank statements.
Takšna dokazila lahko vključujejo kopije zadevnih kapitalskih instrumentov in ustreznih bančnih izpiskov.
In order to enable competent authorities to assess the reputation of any person who will direct the business of the investment firm, of the proposed shareholders and members with qualifying holdings it is important to require an applicant to provide information on these persons.
Da bi pristojni organi lahko ocenili ugled vseh, ki bodo vodili poslovanje investicijskega podjetja, predlaganih delničarjev in družbenikov s kvalificiranimi deleži, je pomembno, da od prosilca zahtevajo predložitev informacij o teh osebah.
In order to assess the experience of any person who will direct the business of the investment firm, competent authorities should be presented by an applicant with information on the relevant education and professional training, and professional experience of the members of the management body and persons effectively directing the business and their related powers and any proxies.
Da bi ocenili izkušnje vseh, ki bodo vodili dejavnost investicijskega podjetja, bi morali pristojni organi od prosilca pridobiti informacije o zadevni izobrazbi in poklicnem usposabljanju ter delovnih izkušnjah članov upravljalnega organa in vseh, ki bodo dejansko vodili dejavnost investicijskega podjetja, kot tudi o njihovih zadevnih pristojnostih in morebitnih pooblaščenih osebah.
Financial information concerning the investment firm should be submitted by an applicant to the competent authorities so that these may assess the financial soundness of that investment firm.
Prosilci bi morali pristojnim organom predložiti finančne informacije, ki se nanašajo na investicijska podjetja, da bi ti lahko ocenili finančno trdnost navedenega finančnega podjetja.
Since, at time of the application, newly established firms might not be in the position to provide information on the auditors; those applicants should be exempted from providing this information to the competent authority unless the auditors have already been appointed.
Ker novoustanovljena podjetja ob predložitvi vloge morda ne bodo mogla zagotoviti informacij o revizorjih, bi morala biti izvzeta iz zagotavljanja teh informacij pristojnemu organu, razen če revizorji niso že bili imenovani.
Information relevant to the assessment of the organisational structure of the investment firm should include details on the internal control system, on the measures to detect conflicts of interests, and on client assets safeguarding arrangements, in order to allow the competent authority to assess whether that investment firm will be able to comply with its obligations under Article 16 of Directive 2014/65/EU.
Informacije, pomembne za oceno organizacijske strukture investicijskega podjetja, bi morale vsebovati podrobnosti o sistemu notranje kontrole, ukrepih za odkrivanje nasprotij interesov ter ureditvah v zvezi z zaščito sredstev strank, da bo pristojni organ lahko ocenil, ali bo navedeno investicijsko podjetje zmožno izpolniti svoje obveznosti v skladu s členom 16 Direktive 2014/65/EU.
National competent authorities may authorise as investment firm a natural person or a legal person managed by a single natural person.
Pristojni nacionalni organi lahko izdajo dovoljenje fizični ali pravni osebi, ki jo upravlja ena sama fizična oseba, da opravlja storitve kot investicijsko podjetje.
It is therefore appropriate to set out authorisation requirements applicable to the management of investment firms that are natural persons or legal persons managed by a single natural person.
Zato je primerno določiti zahteve za izdajo dovoljenja za upravljanje investicijskih podjetij, ki so fizične ali pravne osebe, ki jo upravlja ena sama fizična oseba.
In order to provide legal certainty, clarity and predictability with regards to the authorisation process, it is appropriate that the criteria against which competent authorities appraise the suitability of the shareholders or members with qualifying holdings, when authorising an investment firm, are the same criteria set out by Article 13 of Directive 2014/65/EU for the assessment of a proposed acquisition.
Da se zagotovi pravna varnost, jasnost in predvidljivost v zvezi s postopkom za izdajo dovoljenja, je primerno, da so merila, v skladu s katerimi pristojni organi v postopku za izdajo dovoljenja ocenijo primernost delničarjev ali družbenikov s kvalificiranimi deleži, enaka merilom za ocenjevanje predlagane pridobitve iz člena 13 Direktive 2014/65/EU.
In particular, competent authorities should appraise the suitability of the shareholders or members with qualifying holdings and the financial soundness of the firm taking into account criteria relating to the reputation, experience of the persons directing the business of the investment firm and the financial soundness of the firm.
Pristojni organi bi morali zlasti oceniti primernost delničarjev in družbenikov s kvalificiranimi deleži ter finančno trdnost podjetja, pri čemer bi morali upoštevati merila v zvezi z ugledom, izkušnjami vseh, ki bodo vodili dejavnost investicijskega podjetja, ter finančno trdnostjo podjetja.
In order to identify obstacles that could prevent effective exercise of the supervisory functions, competent authorities should consider the complexity and transparency of group structure of investment firm, the geographical location of the entities of the group and the activities the group entities perform.
Da bi odkrili ovire, ki bi lahko preprečile učinkovito izvajanje nadzornih funkcij, bi morali pristojni organi preučiti kompleksnost in preglednost strukture skupine, v okviru katere bo poslovalo investicijsko podjetje, geografsko lokacijo subjektov skupine in dejavnosti, ki jih opravljajo subjekti v skupini.
Directive 95/46/EC of the European Parliament and of the Council [2] applies to the processing of personal data by the Member States in the application of this Regulation.
Direktiva 95/46/ES Evropskega parlamenta in Sveta [2] se uporablja pri obdelavi osebnih podatkov v državah članicah pri izvajanju te uredbe.
In accordance with Article 10 of Regulation (EU) No 1095/2010 of the European Parliament and of the Council [3], ESMA has conducted open public consultations, 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 that Regulation,
ESMA je v skladu s členom 10 Uredbe (EU) št. 1095/2010 Evropskega parlamenta in Sveta [3] izvedla odprta 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 navedene uredbe –
An applicant seeking authorisation as an investment firm in accordance to Title II of Directive 2014/65/EU shall submit to the competent authority an application that includes the following general information:
Subjekt, ki zaprosi za dovoljenje kot investicijsko podjetje v skladu z naslovom II Direktive 2014/65/EU, pristojnemu organu predloži vlogo, ki vsebuje naslednje splošne informacije:
its name (including its legal name and any other trading name to be used); legal structure (including information on whether it will be a legal person or, where allowed by national legislation, a natural person), address of the head office and, for existing companies, registered office; contact details; its national identification number, where available; as well as:
ime (vključno pravno ali katero koli drugo trgovsko ime, ki se uporablja), pravno strukturo (tudi informacije o tem, ali bo pravna oseba ali fizična oseba, če to dovoljuje nacionalna zakonodaja), naslov glavnega sedeža in statutarni sedež (za že obstoječe družbe); kontaktne podatke, nacionalno identifikacijsko številko, če je na voljo; ter
for domestic branches: information on where the branches will operate;
za domače podružnice: informacije o tem, kje bodo podružnice poslovale;
for domestic tied agents: details on its intention to use tied agents;
za domače vezane zastopnike: podrobnosti o nameri, da uporabi vezane zastopnike;
the list of investment services and activities, ancillary services and financial instruments to be provided, and whether clients' financial instruments and funds will be held (even on a temporary basis).
seznam investicijskih storitev in poslov ter pomožnih storitev in finančnih instrumentov, ki jih je treba zagotoviti, in ali bodo na voljo finančni instrumenti in sredstva strank (tudi če začasno).
copies of corporate documents and evidence of registration with the national register of companies, where applicable.
kopije dokumentacije podjetja in po potrebi dokazil o registraciji v nacionalni register družb.
The information shall include:
podrobnosti o dostopu do virov kapitala in finančnih trgov, vključno s podrobnostmi o finančnih instrumentih, ki so bili in bodo izdani;
details on the use of private financial resources including the origin and availability of those funds;
zadevne dogovore in pogodbe v zvezi z zbranim kapitalom;
details on access to capital sources and financial markets including details of financial instruments issued or to be issued;
informacije o uporabi ali pričakovani uporabi izposojenih sredstev, vključno imena zadevnih posojilodajalcev in podrobnosti o posojilnih pogojih, ki so bili dodeljeni ali bodo dodeljeni, zlasti roki zapadlosti, pogoji, zaveze in jamstva, ter informacije o izvoru izposojenih sredstev (ali sredstev, ki bodo izposojena), kadar posojilodajalec ni nadzorovana finančna institucija;
any relevant agreements and contracts regarding the capital raised;
podrobnosti o ukrepih za prenos finančnih sredstev v investicijsko podjetje, vključno z omrežjem, ki se uporablja za prenos takih sredstev.
information on the use or expected use of borrowed funds including the name of relevant lenders and details of the facilities granted or expected to be granted, including maturities, terms, pledges and guarantees, along with information on the origin of the borrowed funds (or funds expected to be borrowed) where the lender is not a supervised financial institution;
V točki (b) se morajo informacije o vrstah zbranega kapitala po potrebi nanašati na vrste kapitala, navedenega v Uredbi (EU) št. 575/2013, zlasti morajo določati, ali kapital vsebuje postavke navadnega lastniškega temeljnega kapitala, postavke dodatnega temeljnega kapitala ali postavke dodatnega kapitala.
details on the means of transferring financial resources to the firm including the network used to transfer such funds.
Člen 3
For the purposes of point (b), information on types of capital raised shall refer, where relevant, to the types of capital specified under Regulation (EU) No 575/2013, specifically whether the capital comprises Common Equity Tier 1 items, Additional Tier 1 items or Tier 2 items.
Informacije o delničarjih
Article 3
Subjekt, ki zaprosi za dovoljenje kot investicijsko podjetje v skladu z naslovom II Direktive 2014/65/EU, pristojnemu organu zagotovi naslednje informacije o svojih delničarjih:
Information on shareholders
seznam oseb, ki imajo neposreden ali posreden kvalificirani delež v investicijskem podjetju, in znesek teh deležev, za posredne deleže pa ime vmesne osebe, prek katere je v lasti delež, in ime končnega imetnika;
An applicant seeking authorisation as an investment firm in accordance to Title II of Directive 2014/65/EU shall provide to the competent authority the following information on its shareholders:
za osebe, ki imajo (neposreden ali posreden) kvalificirani delež v investicijskem podjetju: dokumentacijo, ki se zahteva od bodočega pridobitelja za pridobitev in povečanja kvalificiranih deležev v investicijskih podjetjih v skladu s členi 3, 4 in 5 Delegirane uredbe Komisije (EU) 2017/1946 z dne 11. julija 2017 o dopolnitvi direktiv 2004/39/ES in 2014/65/EU Evropskega parlamenta in Sveta v zvezi z regulativnimi tehničnimi standardi za izčrpen seznam informacij, ki jih morajo bodoči pridobitelji vključiti v obvestilo o predlagani pridobitvi kvalificiranega deleža v investicijskem podjetju [4];
the list of persons with a direct or indirect qualifying holding in the investment firm, and the amount of these holdings and, for indirect holdings, the name of the person through which the stake is held and the name of the final holder;
za družbe delničarke, ki so članice skupine: organizacijsko shemo skupine, ki navaja glavne dejavnosti vsakega podjetja v skupini, opredelitev vseh reguliranih subjektov v skupini in imena zadevnih nadzornih organov ter razmerje med finančnimi subjekti skupine in drugimi nefinančnimi subjekti v skupini.
for persons with a qualifying holding (direct or indirect) in the investment firm the documentation required from proposed acquirers for the acquisition and increases in qualifying holdings in investment firms in accordance with Articles 3, 4 and 5 of Commission Delegated Regulation 2017/1946 of 11 July 2017 supplementing Directives 2004/39/EC and 2014/65/EU of the European Parliament and of the Council with regard to regulatory technical standards for an exhaustive list of information to be included by proposed acquirers in the notification of a proposed acquisition of a qualifying holding in an investment firm [4];
V točki (b) in kadar imetnik kvalificiranega deleža ni fizična oseba, se mora dokumentacija nanašati tudi na vse člane upravljalnega organa in generalnega direktorja ter na vse ostale, ki opravljajo enake naloge.
for corporate shareholders that are members of a group, an organisational chart of the group indicating the main activities of each firm within the group, identification of any regulated entities within the group and the names of the relevant supervisory authorities as well as the relationship between the financial entities of the group and other non-financial group entities.
Člen 4
For the purposes of point (b), where the holder of a qualifying holding is not a natural person, the documentation shall also relate to all members of the management body and the general manager, or any other person performing equivalent duties.
Informacije o upravljalnem organu in vseh, ki bodo vodili dejavnost investicijskega podjetja
Article 4
Subjekt, ki zaprosi za dovoljenje kot investicijsko podjetje v skladu z naslovom II Direktive 2014/65/EU, pristojnemu organu zagotovi:
Information on the management body and persons who direct the business
informacije o članih upravljalnega organa in vseh, ki bodo dejansko vodili dejavnost investicijskega podjetja, kot tudi o njihovih zadevnih pristojnostih in morebitnih pooblaščenih osebah, in sicer:
An applicant seeking authorisation as an investment firm in accordance to Title II of Directive 2014/65/EU shall provide to the competent authority the following information:
osebne podatke, vključno z imenom in priimkom ter datumom in krajem rojstva osebe, osebno matično številko, kadar je na voljo, ter naslov in kontaktne podatke;
in respect of members of the management body and persons effectively directing the business and their related powers and any proxies:
položaj, na katerega je oseba imenovana ali bo imenovana;
personal details comprising the person's name, date and place of birth, personal national identification number, where available, address and contact details;
življenjepis z navedbo dosežene izobrazbe in poklicnega usposabljanja, delovnih izkušenj, vključno z imeni vseh organizacij, za katere je oseba delala, ter vrsto in trajanjem izvajanih nalog, zlasti za vse dejavnosti v okviru prihodnjega položaja; oseba pri opisu teh dejavnosti za položaje, ki jih je zasedala v zadnjih 10 letih, navede tudi vsa pooblastila, notranja pooblastila za odločanje ter področja poslovanja, za katera je bila pristojna;
the position for which the person is/will be appointed;
dokumentacijo, ki se nanaša na ugled in izkušnje osebe, zlasti seznam referenčnih oseb, vključno s kontaktnimi podatki in priporočilnimi pismi;
a curriculum vitae stating relevant education and professional training, professional experience, including the names of all organisations for which the person has worked and nature and duration of the functions performed, in particular for any activities within the scope of the position sought; for positions held in the previous 10 years, when describing those activities, details shall be included on all delegated powers and internal decision-making powers held and the areas of operations under control;
uradna potrdila ali druge enakovredne dokumente (če so na voljo v državi članici ali tretji državi) glede kazenske evidence in informacij o kazenskih preiskavah in postopkih, relevantnih civilnih in upravnih zadevah ter disciplinskih ukrepih, ki so bili uvedeni proti osebi (tudi razrešitev z mesta direktorja ali bankrot, insolventnost in podobni postopki); za preiskavo, ki poteka, se informacije lahko predložijo v obliki častne izjave;
documentation relating to person's reputation and experience, in particular a list of reference persons including contact information, letters of recommendation;
informacije o zavrnitvi registracije, dovoljenja, članstva ali licence za izvajanje trgovanja, poslovne ali poklicne dejavnosti; ali odvzem, preklic ali prenehanje veljavnosti takšne registracije, dovoljenja, članstva ali licence; ali izključitev s strani regulativnega ali vladnega organa ali poklicnega organa ali združenja;
criminal records and information on criminal investigations and proceedings relevant civil and administrative cases, and disciplinary actions opened against them (including disqualification as a company director, bankruptcy, insolvency and similar procedures), notably through an official certificate (if and so far as it is available from the relevant Member State or third country), or through another equivalent document; for ongoing investigations, the information may be provided through a declaration of honour;
informacije o odpovedi delovnega razmerja ali odstranitvi z odgovornega položaja, prekinitvi fiduciarnega razmerja ali podobni situaciji;
information on refusal of registration, authorisation, membership or licence to carry out a trade, business or profession; or the withdrawal, revocation or termination of such a registration, authorisation, membership or licence; or expulsion by a regulatory or government body or by a professional body or association;
informacije o tem, ali je bila ocena ugleda in izkušenj kot pridobitelja ali osebe, ki vodi poslovanje, že izvedena (tudi datum ocene, identiteto organa, ki je izvedel oceno, in dokaz o rezultatu tega ocenjevanja);
information on dismissal from employment or a position of trust, fiduciary relationship, or similar situation;
opis vseh finančnih in nefinančnih interesov ali razmerij osebe in njenih bližnjih sorodnikov s člani upravljalnega organa in nosilcev ključnih funkcij v isti instituciji, njeni matični instituciji in hčerinskih družbah ter z delničarji;
information on whether an assessment of reputation and experience as an acquirer or as a person who directs the business has already been conducted (including the date of the assessment, the identity of that authority and evidence of the outcome of this assessment);
podrobnosti o rezultatu ocenjevanja primernosti članov upravljalnega organa, ki ga izvede prosilec;
description of any financial and non-financial interests or relationships of the person and his/her close relatives to members of the management body and key function holders in the same institution, the parent institution and subsidiaries and shareholders;
informacije o najkrajšem obdobju, v katerem bo oseba opravljala funkcije znotraj podjetja (letni in mesečni podatki);
details of the result of any assessment of the suitability of the members of the management body, performed by the applicant itself;
informacije o človeških virih in finančnih sredstvih za uvajanje in usposabljanje članov (letni podatki);
information on the minimum time that will be devoted to the performance of the person's functions within the firm (annual and monthly indications);
seznam izvršnih in neizvršnih direktorskih funkcij, ki jih ta oseba trenutno opravlja.
information on human and financial resources devoted to the induction and training of the members (annual indications);
V točki (ix) točke (a) finančni interesi vključujejo interese, kot so kreditni posli, jamstva in zaveze, nefinančni interesi pa lahko vključujejo interese, kot so družinska razmerja in bližnji odnosi.
the list of executive and non-executive directorships currently held by the person.
informacije o osebju organov za upravljanje in notranji nadzor.
For the purposes of point (ix) of point (a), financial interests include interests such as credit operations, guarantees and pledge, whereas non-financial interests may include interests such as family or close relationships.
Člen 5
The staff of the internal management and control bodies.
Finančni podatki
Article 5
Subjekt, ki zaprosi za dovoljenje kot investicijsko podjetje v skladu z naslovom II Direktive 2014/65/EU, pristojnemu organu zagotovi naslednje informacije o svojem finančnem stanju:
Financial information
napovedi na posamezni in po potrebi na konsolidirani in subkonsolidirani ravni, vključno:
An applicant seeking authorisation as an investment firm in accordance to Title II of Directive 2014/65/EU shall provide to the competent authority the following information on its financial situation:
napovedi računovodskih načrtov za prva tri poslovna leta, vključno z:
forecast information at an individual and, where applicable, at consolidated group and sub-consolidated levels, including:
napovedano bilanco stanja;
forecast accounting plans for the first three business years including:
napovedanim izkazom poslovnega izida;
forecast balance sheets;
domneve glede načrtovanja za navedene napovedi ter pojasnila o podatkih, vključno s pričakovanim številom in vrsto strank, pričakovanim obsegom poslov/naročil, pričakovanimi upravljanimi sredstvi;
forecast profit and loss accounts or income statements;
po potrebi napovedi podjetja glede izračuna kapitalskih in likvidnostnih zahtev v skladu z Uredbo (EU) št. 575/2013 Evropskega parlamenta in Sveta [5] ter napovedi količnika kapitalske ustreznosti za prvo leto;
planning assumptions for the above forecasts as well as explanations of the figures, including expected number and type of customers, expected volume of transactions/orders, expected assets under management;
za podjetja, ki že delujejo: obvezne računovodske izkaze na posamezni in po potrebi na konsolidirani in subkonsolidirani ravni za zadnja tri finančna obdobja, ki jih, kadar so revidirani, potrdi zunanji revizor, vključno z:
where applicable, forecast calculations of the firm's capital requirements and liquidity requirements under Regulation (EU) No 575/2013 of the European Parliament and of the Council [5] and forecast solvency ratio for the first year;
bilanco stanja;