natgillin/translations-raw huggingface dataset:
for companies that are already active, statutory financial statements, at an individual and, where applicable, at consolidated group and sub-consolidated levels for the last three financial periods, approved, where the financial statements are audited, by the external auditor, including:
izkazom poslovnega izida;
the balance sheet;
letnimi poročili in računovodskimi prilogami ter vsemi drugimi dokumenti, evidentiranimi v ustreznem registru ali pri ustreznem organu na določenem ozemlju, ki so relevantni za računovodske izkaze družbe, in po potrebi poročilom revizorja podjetja za zadnja tri leta ali za obdobje od začetka dejavnosti podjetja;
the profit and loss accounts or income statements;
analizo področja uporabe nadzora na konsolidirani podlagi v skladu z Uredbo (EU) št. 575/2013, vključno podrobne informacije o tem, za katere subjekte v skupini se bodo po izdanem dovoljenju uporabljale zahteve glede nadzora na konsolidirani podlagi in na kateri ravni znotraj skupine se bodo te zahteve uporabljale na konsolidirani ali subkonsolidirani podlagi.
the annual reports and financial annexes and any other documents registered with the relevant registry or authority in the particular territory relevant to the company financial statements and, where applicable, a report by the company's auditor of the last three years or since the beginning of the activity;
Člen 6
an analysis of the scope of consolidated supervision under Regulation (EU) No 575/2013, including details on which group entities will be included in the scope of consolidated supervision requirements post-authorisation and at which level within the group these requirements will apply on a full or sub-consolidated basis.
Informacije o organizaciji podjetja
Article 6
Subjekt, ki zaprosi za dovoljenje kot investicijsko podjetje v skladu z naslovom II Direktive 2014/65/EU, pristojnemu organu zagotovi naslednje informacije o organizaciji svojega podjetja:
Information on the organisation of the firm
začetni poslovni načrt za naslednja tri leta, vključno informacije o načrtovanih reguliranih in nereguliranih poslih, podrobne informacije o geografski razširjenosti in dejavnostih, ki jih bodo izvajala investicijska podjetja.
An applicant seeking authorisation as an investment firm in accordance to Title II of Directive2014/65/EU shall provide to the competent authority the following information on its organisation:
Zadevne informacije v poslovnem načrtu morajo vsebovati:
a programme of initial operations for the following three years, including information on planned regulated and unregulated activities detailed information on the geographical distribution and activities to be carried out by the investment firm.
kraj prebivališča potencialnih strank in ciljnih vlagateljev;
Relevant information in the programme of operations shall include:
dejavnosti in ureditve v zvezi s trženjem in promocijo, vključno z jeziki, v katerih so sestavljene ponudbe in promocijski dokumenti; opredelitev držav članic, v katerih oglasi so najvidnejši in najpogostejši; vrsto promocijskih dokumentov (da se oceni, kje se bo dejansko razvijalo učinkovito trženje);
the domicile of prospective customers and targeted investors;
opredelitev tistih, ki neposredno tržijo svoje izdelke, svetovalcev in distributerjev za finančne naložbe ter geografska lokacija njihovih dejavnosti;
the marketing and promotional activity and arrangements, including languages of the offering and promotional documents; identification of the Member States where advertisements are most visible and frequent; type of promotional documents (in order to assess where effective marketing will be mostly developed);
podrobne informacije o revizorjih podjetja, kadar so na voljo ob predložitvi vloge za izdajo dovoljenja;
the identity of direct marketers, financial investment advisers and distributors, geographical localisation of their activity;
organizacijsko strukturo in sisteme notranje kontrole podjetja, vključno:
details of the firm's auditors, when available at time of application for authorisation;
osebne podatke vodij notranjih funkcij (funkcije upravljanja in nadzora), tudi podrobni življenjepis, v katerem so navedeni ustrezna izobrazba, poklicno izobraževanje in delovne izkušnje;
the organisational structure and internal control systems of the company, comprising:
opis virov (zlasti človeških in tehničnih), ki so dodeljeni za različne načrtovane dejavnosti;
the personal details of the heads of internal functions (management and supervisory), including a detailed curriculum vitae, stating relevant education and professional training, professional experience;
v zvezi z lastništvom finančnih instrumentov in sredstev stranke: informacije, ki določajo vsako ureditev v zvezi z zaščito sredstev strank (zlasti, kadar so finančni instrumenti in sredstva v skrbništvu, ime skrbnika in zadevne pogodbe);
the description of the resources (in particular human and technical) allocated to the various planned activities;
pojasnilo, kako bo podjetje izpolnilo bonitetne zahteve in zahteve glede dobrega ravnanja.
in relation to holding client financial instruments and funds, information, specifying any client asset safeguarding arrangements (in particular, where financial instruments and funds are held in a custodian, the name of the custodian, and related contracts);
informacije o statusu vloge, ki jo je investicijsko podjetje predložilo, da postane član odškodninske shema za vlagatelje v matični državi članici, ali dokazilo o članstvu v odškodninski shemi za vlagatelje, kadar je na voljo;
an explanation of how the firm will satisfy its prudential and conduct requirements.
seznam funkcij, storitev ali dejavnosti, ki se oddajo v zunanje izvajanje (ali so namenjene za zunanje izvajanje), ter seznam pogodb, ki so bile ali bodo sklenjene z zunanjimi izvajalci, ter viri (zlasti človeški in tehnični viri ter sistem notranje kontrole), ki so dodeljeni za kontrolo funkcij, storitev ali dejavnosti, ki se oddajo v zunanje izvajanje;
information on the status of the application undertaken by the investment firm to become a member of the investor compensation scheme of the Home Member State or evidence of membership to the investor compensation scheme, where available;
ukrepe za prepoznavanje in preprečevanje oziroma obvladovanje nasprotij interesov, ki nastanejo pri zagotavljanju investicijskih in pomožnih storitev, ter opis ureditev upravljanja produktov;
a list of the outsourced functions, services or activities (or those intended to be outsourced) and a list of the contracts concluded or foreseen with external providers and resources (in particular, human and technical, and the internal control system) allocated to the control of the outsourced functions, services or activities;
opis sistemov za spremljanje dejavnosti podjetja, tudi rezervni sistem, kadar je na voljo, ter sisteme in nadzor tveganj, kadar se podjetje želi ukvarjati z algoritemskim trgovanjem in/ali zagotavljati neposredni elektronski dostop;
measures to identify and to prevent or manage conflicts of interest that arise in the course of providing investment and ancillary services and a description of product governance arrangements;
informacije o sistemih za spremljanje skladnosti, notranjo kontrolo in upravljanje tveganj (sistem spremljanja, notranje revizije ter funkcije svetovanja in podporne funkcije);
a description of systems for monitoring the activities of the firm, including back–up systems, where available, and systems and risk controls where the firm wishes to engage in algorithmic trading and/or provide direct electronic access;
podrobne informacije o sistemih za ocenjevanje in obvladovanje tveganja v zvezi s pranjem denarja in financiranjem terorizma;
information on the compliance, internal control, and, risk management systems (a monitoring system, internal audits and the advice and assistance functions).
načrt neprekinjenega poslovanja, vključno s sistemi in človeškimi viri (ključno osebje);
details on the systems for assessing and managing the risks of money laundering and terrorist financing;
politike v zvezi z upravljanjem evidenc, vodenjem evidenc in hrambo evidenc;
business continuity plans, including systems and human resources (key personnel);
opis priročnika o postopkih podjetja.
record management, record-keeping and record retention policies;
Člen 7
a description of the firm's manual of procedures.
Splošne zahteve
Article 7
Informacije, ki se predložijo pristojnemu organu matične države članice, kakor so določene v členih 1 do 6, se nanašajo na glavni sedež podjetja ter njegove podružnice in vezane zastopnike.
General requirements
Informacije, ki se predložijo pristojnemu organu matične države članice, kakor so določene v členih 2 do 5, se nanašajo na glavni sedež podjetja.
The information to be provided to the competent authority of the home Member State, as set out in Articles 1 and 6, shall refer to both the head office of the firm and its branches and tied agents.
Člen 8
The information to be provided to the competent authority of the home Member State, as set out in Articles 2 to 5, shall refer to the head office of the firm.
Zahteve, ki se uporabljajo za upravljanje investicijskih podjetij, ki so fizične osebe, ali investicijskih podjetij, ki so pravne osebe in jih upravlja ena sama fizična oseba
Article 8
Pristojni organ lahko dovoli fizični ali pravni osebi, ki jo upravlja ena sama fizična oseba (tj. prosilcu), da opravlja storitve kot investicijsko podjetje, če:
Requirements applicable to the management of investment firms that are natural persons or investment firms that are legal persons managed by a single natural person
pristojni organi lahko hitro in enostavno stopijo v stik s fizično osebo;
The competent authority shall only authorise as investment firm an applicant natural person or a legal person managed by a single natural person where:
ima fizična oseba na voljo dovolj časa za opravljanje te funkcije;
the natural person is easily contactable at short notice by the competent authorities;
upravljalni organi ali predpisi investicijskega podjetja pooblastijo osebo, ki bo takoj nadomestila vodjo in opravila vse naloge, če jih ta ne bo mogel;
the natural person has sufficient time dedicated to this function;
imajo osebe, pooblaščene v skladu s prejšnjo točko, dovolj dober ugled in dovolj izkušenj, da nadomestijo vodjo za čas odsotnosti, ali zagotovijo dobro in preudarno upravljanje investicijskega podjetja, dokler ni imenovan nov vodja.
the governing bodies or bylaws of the investment firm empower a person to substitute the manager immediately and perform all his duties if the latter is unable to perform them;
Oseba, pooblaščena za investicijska podjetja, ki so fizične osebe, mora tudi biti pripravljena pomagati stečajnim upraviteljem in zadevnim organom v primeru likvidacije podjetja.
the person empowered pursuant to the previous point shall be of sufficiently good repute and have sufficient experience to substitute the manager for the time of absence, or until a new manager is appointed, so as to ensure sound and prudent management of the investment firm.
Ta oseba mora imeti na voljo dovolj časa za opravljanje te funkcije.
The person empowered for investment firms that are natural persons, shall be also available to assist insolvency practitioners and relevant authorities in the liquidation of the firm.
Investicijsko podjetje, ki je fizična oseba ali pravna oseba, ki ga upravlja ena sama fizična oseba (tj. prosilec), v okviru postopka za izdajo dovoljenja pristojnemu organu zagotovi informacije iz člena 4(1)(a), (c), (d), (e) in (f) v zvezi s pooblaščeno osebo iz odstavka 1(d) tega člena.
This person shall have the necessary availability for this function.
Člen 9
As part of its authorisation process, an applicant investment firm which is a natural person, or a legal person managed by a single natural person, shall provide to the competent authority the information listed in Article 4(1)(a), (c), (d), (e) and (f) in relation to the person empowered under paragraph 1(d) of this Article.
Zahteve, ki se uporabljajo za delničarje in družbenike s kvalificiranimi deleži
Article 9
Pristojni organ preveri, da zahtevek prosilca za dovoljenje kot investicijsko podjetje v skladu z naslovom II Direktive 2014/65/EU ponuja zadostna jamstva za dobro in preudarno upravljanje subjekta, in sicer tako, da oceni primernost predlaganih delničarjev in družbenikov s kvalificiranimi deleži in upošteva verjetni vpliv vsakega predlaganega delničarja ali družbenika s kvalificiranimi deleži na investicijsko podjetje, pri čemer upošteva naslednja merila:
Requirements applicable to shareholders and members with qualifying holdings
ugled in izkušnje vseh, ki bodo vodili poslovanje investicijskega podjetja;
The competent authority shall verify that the request of an applicant for authorisation as an investment firm, in accordance to Title II of Directive 2014/65/EU, offers sufficient guarantees for a sound and prudent management of the entity by assessing the suitability of proposed shareholders and members with qualifying holdings, having regard to the likely influence on the investment firm of each proposed shareholder or member with qualifying holdings, against all of the following criteria:
ugled predlaganih delničarjev in družbenikov s kvalificiranimi deleži;
the reputation and experience of any person who will direct the business of the investment firm;
finančno trdnost predlaganih delničarjev in družbenikov s kvalificiranimi deleži, zlasti v zvezi z vrsto opravljanih in načrtovanih dejavnosti v investicijskem podjetju;
the reputation of the proposed shareholders and members with qualifying holdings;
ali bo investicijsko podjetje lahko izpolnilo in še naprej izpolnjevalo bonitetne zahteve iz člena 15 Direktive 2014/65/EU in, kjer je ustrezno, direktiv 2002/87/ES [6] in 2013/36/EU [7] Evropskega parlamenta in Sveta in zlasti ali ima skupina, katere del bo postalo, strukturo, ki omogoča izvajanje učinkovitega nadzora, učinkovito izmenjavo informacij med pristojnimi organi in porazdelitev pristojnosti med njimi;
the financial soundness of the proposed shareholders and members with qualifying holding, in particular in relation to the type of business pursued and envisaged in the investment firm;
ali obstajajo utemeljeni razlogi za sum, da se v zvezi z izdajo dovoljenja za investicijsko podjetje izvaja pranje denarja ali financiranja terorizma v smislu člena 1 Direktive 2005/60/ES Evropskega parlamenta in Sveta [8], je šlo za poskus takšnega kaznivega dejanja ali bi izdaja dovoljenja za investicijsko podjetje povečala tveganje zanj.
whether the investment firm will be able to comply and continue to comply with the prudential requirements set out in Article 15 of Directive 2014/65/EU and, where applicable, Directives 2002/87/EC [6] and 2013/36/EU [7] of the European Parliament and of the Council and in particular, whether the group of which it will become a part has a structure that makes it possible to exercise effective supervision, effectively exchange information among the competent authorities and determine the allocation of responsibilities among the competent authorities;
Člen 10
whether there are reasonable grounds to suspect that, in connection with the authorisation of the investment firm, money laundering or terrorist financing within the meaning of Article 1 of Directive 2005/60/EC of the European Parliament and of the Council [8] is being or has been committed or attempted, or that the authorisation of the investment firm could increase the risk thereof.
Učinkovito izvajanje nadzornih funkcij
Article 10
Šteje se, da struktura skupine, v okviru katere bo poslovalo investicijsko podjetje, ovira izvajanje nadzorne funkcije pristojnega organa za namene člena 10(1) in (2) Direktive 2014/65/EU, če:
Effective exercise of supervisory functions
je zapletena in ni dovolj pregledna;
A group structure within which the investment firm will operate shall be considered to be an obstacle to the exercise of the supervisory function of the competent authority for the purposes of Article 10(1) and (2) of Directive 2014/65/EU in any of the following cases:
imajo subjekti v skupini geografsko lokacijo;
it is complex and not sufficiently transparent;
vključuje dejavnosti, ki jih opravljajo subjekti v skupini, ki bi lahko pristojnemu organu preprečile, da oceni primernost delničarjev ali družbenikov s kvalificiranim deležem ali vpliv tesnih povezav z investicijskim podjetjem.
it has a geographical location of group entities;
Člen 11
it includes activities performed by the group entities that may prevent the competent authority to effectively appraise the suitability of the shareholders or members with qualifying holdings or the influence of close links with the investment firm.
Začetek veljavnosti in uporaba
Entry into force and application
Uporablja se od datuma, ki je kot prvi naveden v drugem pododstavku člena 93(1) Direktive 2014/65/EU.
It shall apply from the date that appears first in the second subparagraph of Article 93(1) of Directive 2014/65/EU.
V Bruslju, 14. julija 2016
OJ L 173, 12.6.2014, p.
Direktiva Evropskega parlamenta in Sveta 95/46/ES z dne 24. oktobra 1995 o varstvu posameznikov pri obdelavi osebnih podatkov in o prostem pretoku takih podatkov (UL L 281, 23.11.1995, str. 31).
349.
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. 84).
Directive 95/46/EC of the European Parliament and of the Council of 24 October 1995 on the protection of individuals with regard to the processing of personal data and on the free movement of such data (OJ L 281, 23.11.1995, p.
Glej stran 32 tega Uradnega lista.
31).
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.
84).
Direktiva 2002/87/ES Evropskega parlamenta in Sveta z dne 16. decembra 2002 o dopolnilnem nadzoru kreditnih institucij, zavarovalnic in investicijskih družb v finančnem konglomeratu, ki spreminja direktive Sveta 73/239/EGS, 79/267/EGS, 92/49/EGS, 92/96/EGS, 93/6/EGS in 93/22/EGS ter direktivi 98/78/ES in 2000/12/ES Evropskega parlamenta in Sveta (UL L 35, 11.2.2003, str. 1)
See page 32 of this Official Journal.
Direktiva 2013/36/EU Evropskega parlamenta in Sveta z dne 26. junija 2013 o dostopu do dejavnosti kreditnih institucij in bonitetnem nadzoru kreditnih institucij in investicijskih podjetij, spremembi Direktive 2002/87/ES in razveljavitvi direktiv 2006/48/ES in 2006/49/ES (UL L 176, 27.6.2013, 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.
338).
Commission Implementing Regulation (EU) 2017/1944
Izvedbena uredba Komisije (EU) 2017/1944
laying down implementing technical standards with regard to standard forms, templates and procedures for the consultation process between relevant competent authorities in relation to the notification of a proposed acquisition of a qualifying holding in an investment firm in accordance with Directives 2004/39/EC and 2014/65/EU of the European Parliament and of the Council
o določitvi izvedbenih tehničnih standardov v zvezi s standardnimi obrazci, predlogami in postopki posvetovanja med zadevnimi pristojnimi organi glede obvestila o predlagani pridobitvi kvalificiranega deleža v investicijskem podjetju v skladu z direktivama 2004/39/ES in 2014/65/EU Evropskega parlamenta in Sveta
Having regard to Directive 2004/39/EC of the European Parliament and of the Council of 21 April 2004 on markets in financial instruments amending Council Directives 85/611/EEC and 93/6/EEC and Directive 2000/12/EC of the European Parliament and of the Council and repealing Council Directive 93/22/EEC [1], and in particular the sixth subparagraph of Article 10a(8) thereof,
ob upoštevanju Direktive 2004/39/ES Evropskega parlamenta in Sveta z dne 21. aprila 2004 o trgih finančnih instrumentov in o spremembah direktiv Sveta 85/611/EGS, 93/6/EGS in Direktive 2000/12/ES Evropskega parlamenta in Sveta ter o razveljavitvi Direktive Sveta 93/22/EGS [1], in zlasti šestega pododstavka člena 10a(8) Direktive,
Having regard to Directive 2014/65/EU of the European Parliament and of the Council of 15 May 2014 on markets in financial instruments and amending Directive 2002/92/EC and Directive 2011/61/EU [2], and in particular Article 12(9) thereof,
ob upoštevanju Direktive 2014/65/EU Evropskega parlamenta in Sveta z dne 15. maja 2014 o trgih finančnih instrumentov ter spremembi Direktive 2002/92/ES in Direktive 2011/61/EU [2], in zlasti člena 12(9) Direktive,
It is appropriate to set out common standard forms, templates and procedures to ensure the accurate assessment by Member States' competent authorities of notifications of proposed acquisitions or increases of qualifying holdings in an investment firm.
Ustrezno je, da se določijo standardni obrazci, predloge in postopki, s katerimi pristojni organi držav članic lahko zagotovijo natančno oceno obvestil o predlaganih pridobitvah ali povečanjih kvalificiranih deležev v investicijskem podjetju.
In those cases, the relevant competent authorities should consult and provide each other with any essential or relevant information.
V teh primerih bi se morali zadevni pristojni organi posvetovati in si medsebojno zagotoviti vse bistvene ali zadevne informacije.
To facilitate the cooperation between them and ensure efficiency in their exchange of information, competent authorities designated in accordance with Article 48 of Directive 2004/39/EC should designate contact persons specifically for the purpose of the consultation process provided for in Article 10(4) of Directive 2004/39/EC and a centralised list of those contact persons should be maintained by the European Securities and Markets Authority (ESMA).
Za olajšanje medsebojnega sodelovanja in zagotovitev učinkovitosti pri izmenjavi informacij bi morali pristojni organi, imenovani v skladu s členom 48 Direktive 2004/39/ES, imenovati kontaktne osebe prav za namene posvetovanja iz člena 10(4) Direktive 2004/39/ES, Evropski organ za vrednostne papirje in trge (ESMA) pa bi moral centralni seznam navedenih kontaktnih oseb vzdrževati.
Consultation procedures containing clear timing constraints should be set up in order to ensure the timely and efficient cooperation between competent authorities.
Določiti bi bilo treba postopke posvetovanja z jasnimi roki, da se zagotovi pravočasno in učinkovito sodelovanje med pristojnimi organi.
A clear cooperation procedure should include a preliminary notice to be sent by the requesting authority to the requested authority, to inform the requested authority of the ongoing assessment.
Jasni postopki posvetovanja bi morali vključevati predhodno obvestilo, ki ga organ prosilec pošlje zaprošenemu organu, da je zaprošeni organ obveščen o oceni, ki se trenutno izvaja.
The procedures should also aim at ensuring that competent authorities cooperate and work towards the improvement of the process by promoting the exchange of feedback on the quality and relevance of the information received.
Postopki bi morali tudi zagotavljati, da pristojni organi sodelujejo in skupaj izboljšujejo postopek, in sicer tako da spodbujajo izmenjavo povratnih informacij glede kakovosti in primernosti prejetih informacij.
Any exchange or transmission of information between competent authorities, other authorities, bodies or persons should be in accordance with the rules on personal data as laid down in Directive 95/46/EC of the European Parliament and of the Council [3].
Vsaka izmenjava ali prenos informacij med pristojnimi organi, drugimi organi, telesi ali osebami bi morala biti v skladu s pravili o osebnih podatkih, določenimi v Direktivi Evropskega parlamenta in Sveta 95/46/ES [3].