natgillin/translations-raw huggingface dataset:
automatically block or cancel orders from individuals which operate trading systems that submit orders related to algorithmic trading and which lack authorisation to send orders through DEA,;
POGLAVJE IV
automatically block or cancel orders from a DEA client for financial instruments which that client is not authorised to trade, using an internal flagging system to identify and block single DEA clients or a group of DEA clients;
INVESTICIJSKA PODJETJA, KI DELUJEJO KOT SPLOŠNI KLIRINŠKI ČLANI
automatically block or cancel orders from a DEA client that breach the risk management thresholds of the DEA provider, applying controls to exposures of individual DEA clients, financial instruments or groups of DEA clients;
(člen 17(6) Direktive 2014/65/EU)
stop order flows transmitted by its DEA clients;
Za vse sisteme, ki jih uporablja investicijsko podjetje, ki deluje kot splošen klirinški član (v nadaljnjem besedilu: klirinška družba), za podpiranje klirinških storitev, ki jih zagotavlja strankam, se uporabljajo ustrezna ocenjevanja potrebne skrbnosti, kontrole in spremljanje.
suspend or withdraw DEA services to any DEA client where the DEA provider is not satisfied that continued access would be consistent with its rules and procedures for fair and orderly trading and market integrity;
Klirinška družba izvede začetno ocenjevanje potencialne klirinške stranke, pri čemer upošteva naravo, obseg in zapletenost poslovanja potencialne klirinške stranke.
carry out, whenever necessary, a review of the internal risk control systems of DEA clients.
Vsaka potencialna klirinška stranka se oceni glede na naslednja merila:
A DEA provider shall have procedures to evaluate, manage and mitigate market disruption and firm-specific risks.
kreditno kakovost, vključno z morebitnimi podeljenimi jamstvi;
The DEA provider shall be able to identify the persons to be notified in the event of an error resulting in violations of the risk profile or in potential violations of the trading venue's rules.
sisteme notranjega nadzora tveganj;
A DEA provider shall at all times be able to identify its different DEA clients and the trading desks and traders of those DEA clients, who submit orders through the DEA provider's systems, by assigning a unique identification code to them.
načrtovano strategijo trgovanja;
A DEA provider allowing a DEA client to provide its DEA access to its own clients (‘sub-delegation’) shall be able to identify the different order flows from the beneficiaries of such sub-delegation without being required to know the identity of the beneficiaries of such arrangement.
plačilne sisteme in ureditve, ki potencialni klirinški stranki omogočajo, da zagotovi pravočasen prenos sredstev ali denarnih sredstev kot kritja, kot klirinška družba zahteva za klirinške storitve, ki jih zagotavlja;
Article 22 Due diligence assessment of prospective DEA clients
morebitno zavarovanje s premoženjem, ki ga potencialna klirinška stranka zagotovi klirinški družbi;
A DEA provider shall conduct a due diligence assessment of its prospective DEA clients to ensure that they meet the requirements set out in this Regulation and the rules of the trading venue to which it offers access.
operativne vire, vključno s tehnološkimi vmesniki in povezljivostjo;
The due diligence assessment referred to in paragraph 1 shall cover:
morebitno sodelovanje potencialne klirinške stranke pri kršitvi pravil, ki zagotavljajo celovitost finančnih trgov, vključno z vključenostjo v zlorabo trga, finančni kriminal ali dejavnosti pranja denarja.
the governance and ownership structure of the prospective DEA client;
Klirinška družba letno pregleduje tekoče delovanje svojih klirinških članov glede meril iz odstavka 1.
The investment firm offering DEA allowing DEA clients to use third-party trading software for accessing trading venues shall ensure that the software includes pre-trade controls that are equivalent to the pre-trade controls set out in this Regulation.
Klirinška družba določi ustrezne omejitve trgovanja in pozicij, da zmanjša in upravlja lastno tveganje nasprotne stranke, likvidnostno tveganje, operativno tveganje in druga tveganja, ter o njih obvesti klirinške stranke.
the responsibilities within the prospective DEA client for dealing with actions and errors;
Klirinška družba čim bolj sprotno spremlja pozicije svojih klirinških strank glede na omejitve iz odstavka 1 in ima vzpostavljene ustrezne postopke za upravljanje tveganj kršitev omejitev pozicij pred trgovanjem in po njem, in sicer z ustrezno prakso določanja kritja in drugimi ustreznimi sredstvi.
the historical trading pattern and behaviour of the prospective DEA client;
Klirinška družba pisno dokumentira postopke iz odstavka 2 in zabeleži, ali klirinške stranke zagotavljajo skladnost z navedenimi postopki.
the level of expected trading and order volume of the prospective DEA client;
Klirinška družba objavi pogoje, pod katerimi ponuja svoje klirinške storitve.
the ability of the prospective DEA client to meet its financial obligations to the DEA provider;
Te storitve ponuja pod razumnimi komercialnimi pogoji.
the disciplinary history of the prospective DEA client, where available.
Klirinška družba obvesti svoje potencialne in obstoječe klirinške stranke o stopnji zaščite in stroških, povezanih z različnimi stopnjami ločevanja, ki jih zagotavlja.
Article 23 Periodic review of DEA clients
POGLAVJE V
A DEA provider shall review its due diligence assessment processes annually.
TEHNIKA VISOKOFREKVENČNEGA ALGORITEMSKEGA TRGOVANJA IN KONČNE DOLOČBE
A DEA provider shall carry out an annual risk-based reassessment of the adequacy of its clients' systems and controls, in particular taking into account changes to the scale, nature or complexity of their trading activities or strategies, changes to their staffing, ownership structure, trading or bank account, regulatory status, financial position and whether a DEA client has expressed an intention to sub-delegate the access it receives from the DEA provider.
(člen 17(2) Direktive 2014/65/EU)
CHAPTER IV
Investicijsko podjetje, ki uporablja tehniko visokofrekvenčnega algoritemskega trgovanja, zabeleži podrobnosti vsakega predloženega naročila v obliki iz tabel 2 in 3 Priloge II takoj po njegovi predložitvi.
Article 24 Systems and controls of investment firms acting as general clearing members
Evidence iz odstavkov 1 in 2 se vodijo pet let od datuma predložitve naročila mestu trgovanja ali drugemu investicijskemu podjetju za izvršitev.
(Article 17(6) of Directive 2014/65/EU)
Ta uredba začne veljati dvajseti dan po objavi v Uradnem listu Evropske unije.
Article 25 Due diligence assessments of prospective clearing clients
Ta uredba je v celoti zavezujoča in se neposredno uporablja v vseh državah članicah.
A clearing firm shall make an initial assessment of a prospective clearing client, taking into account the nature, scale and complexity of the prospective clearing client's business.
V Bruslju, 19. julija 2016
Each prospective clearing client shall be assessed against the following criteria:
Za Komisijo
credit strength, including any guarantees given;
Predsednik
internal risk control systems;
UL L 173, 12.6.2014, str. 349.
intended trading strategy;
Uredba (EU) št. 596/2014 Evropskega parlamenta in Sveta z dne 16. aprila 2014 o zlorabi trga (uredba o zlorabi trga) ter razveljavitvi Direktive 2003/6/ES Evropskega parlamenta in Sveta ter direktiv Komisije 2003/124/ES, 2003/125/ES in 2004/72/ES (UL L 173, 12.6.2014, str.
payment systems and arrangements that enable the prospective clearing client to ensure a timely transfer of assets or cash as margin, as required by the clearing firm in relation to the clearing services it provides;
1)..
systems settings and access to information that helps the prospective clearing client to respect any maximum trading limit agreed with the clearing firm;
Uredba (EU) št. 600/2014 Evropskega parlamenta in Sveta z dne 15. maja 2014 o trgih finančnih instrumentov in spremembi Uredbe (EU) št. 648/2012 (UL L 173, 12.6.2014, str. 84).
any collateral provided to the clearing firm by the prospective clearing client;
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).
operational resources, including technological interfaces and connectivity;
Delegirana uredba Komisije (EU) 2017/565 z dne 25. aprila 2016 o dopolnitvi Direktive 2014/65/EU Evropskega parlamenta in Sveta v zvezi z organizacijskimi zahtevami in pogoji poslovanja investicijskih družb ter opredeljenimi izrazi za namene navedene direktive (glej stran 1 tega Uradnega lista).
any involvement of the prospective clearing client in a breach of the rules ensuring the integrity of the financial markets, including involvement in market abuse, financial crime or money laundering activities.
PRILOGA I
A clearing firm shall annually review the on-going performance of its clearing clients against the criteria listed in paragraph 1.
Merila, ki jih je treba upoštevati pri samoocenjevanju investicijskega podjetja, kot je navedeno v členu 9(1)
The binding written agreement referred to in Article 17(6) of Directive 2014/65/EU shall contain those criteria and set out the frequency at which the clearing firm shall review its clearing clients' performance against those criteria, where this review is to be conducted more than once a year.
Pri upoštevanju narave poslovanja investicijsko podjetje upošteva v nadaljevanju navedene zadeve, kadar je to primerno:
Article 26 Position limits
vlogo podjetja na trgu, vključno s tem, ali je vzdrževalec trga in ali izvršuje naročila za stranko ali pa le trguje za svoj račun;
A clearing firm shall set out and communicate to its clearing clients appropriate trading and position limits to mitigate and manage its own counterparty, liquidity, operational and other risks.
stopnjo avtomatizacije trgovanja in drugih procesov ali dejavnosti podjetja;
A clearing firm shall monitor its clearing clients' positions against the limits referred to in paragraph 1 as close to real-time as possible and have appropriate pre-trade and post-trade procedures for managing the risk of breaches of the position limits, by way of appropriate margining practice and other appropriate means.
vrste in regulativni status instrumentov, produktov in razredov finančnih instrumentov, s katerimi podjetje trguje;
Article 27 Disclosure of information about the services provided
občutljivost strategij in dejavnosti trgovanja podjetja na zamik;
A clearing firm shall publish the conditions under which it offers its clearing services.
vrsto in regulativni status mest trgovanja in drugih likvidnostnih bazenov, do katerih dostopa, in zlasti dejstvo, ali je dejavnost trgovanja na navedenih mestih trgovanja in v drugih likvidnostnih bazenih odkrito, prikrito ali izvenborzno trgovanje;
It shall offer those services on reasonable commercial terms.
rešitve za povezljivost podjetja in dejstvo, ali do mesta trgovanja dostopa kot član, stranka, ki uporablja neposreden elektronski dostop, ali ponudnik neposrednega elektronskega dostopa;
A clearing firm shall inform its prospective and existing clearing clients of the levels of protection and of the costs associated with the different levels of segregation it provides.
obseg, do katerega se podjetje zanaša na tretje osebe za razvoj in vzdrževanje svojih algoritmov ali sistemov trgovanja, in dejstvo, ali je te algoritme ali sisteme trgovanja razvilo samo, s tretjo osebo, kupilo od tretje osebe ali oddalo v zunanje izvajanje tretji osebi;
Information on the different levels of segregation shall include a description of the main legal effects of the respective levels of segregation offered, including information on the insolvency law applicable in the relevant jurisdiction.
lastniško strukturo in strukturo upravljanja podjetja, kako je organizacijsko in operativno strukturirano, ter dejstvo, ali je partnerstvo, odvisno podjetje, podjetje, ki kotira na borzi, ali drugo;
CHAPTER V
strukturo in organizacijo podjetja, kar zadeva upravljanje tveganj, spremljanje skladnosti in revizijo;
Article 28 Content and format of order records
Pri upoštevanju obsega poslovanja investicijsko podjetje upošteva v nadaljevanju navedene zadeve, kadar je to primerno:
(Article 17(2) of Directive 2014/65/EU)
število vzporedno delujočih algoritmov in strategij;
An investment firm that engages in a high-frequency algorithmic trading technique shall immediately after order submission record the details of each submitted order using the format set out in tables 2 and 3 of Annex II.
število posameznih instrumentov, produktov in razredov finančnih instrumentov, s katerimi trguje;
An investment firm that engages in a high-frequency algorithmic trading technique shall update the information referred to in paragraph 1 in the standards and formats specified in the fourth column of tables 2 and 3 of Annex II.
število delujočih trgovalnih enot in uporabljenih posameznih identifikatorjev trgovanja fizičnih oseb in algoritmov, odgovornih za izvršitev naročila;
Article 29 Entry into force and application
denarno vrednost bruto in neto pozicij znotraj dneva in čez noč;
This Regulation shall enter into force on the twentieth day following that of its publication in the Official Journal of the European Union.
število trgov, do katerih dostopa prek neposrednega elektronskega dostopa bodisi kot član ali udeleženec;
It shall apply from 3 January 2018.
število in obseg strank podjetja ter zlasti strank podjetja, ki uporabljajo neposreden elektronski dostop;
This Regulation shall be binding in its entirety and directly applicable in all Member States.
število mest za kolokacijo ali gostovanje v bližini, s katerimi je podjetje povezano;
Done at Brussels, 19 July 2016.
pretočno velikost infrastrukture povezljivosti podjetja;
For the Commission
število klirinških članov ali članstva v centralnih nasprotnih strankah podjetja;
The President
velikost podjetja v smislu števila trgovcev in osebja enote za trgovanje, spremljevalnega oddelka in zalednih služb, zaposlenega v ekvivalentih polnega delovnega časa;
OJ L 173, 12.6.2014, p. 349.
število fizičnih lokacij podjetja;
Regulation (EU) No 596/2014 of the European Parliament and of the Council of 16 April 2014 on market abuse (market abuse regulation) and repealing Directive 2003/6/EC of the European Parliament and of the Council and Commission Directives 2003/124/EC, 2003/125/EC and 2004/72/EC (OJ L 173, 12.6.2014, p.
število držav in regij, v katerih podjetje opravlja dejavnosti trgovanja;
1).
letne dohodke in dobiček podjetja.
Regulation (EU) No 600/2014 of the European Parliament and of the Council of 15 May 2014 on markets in financial instruments and amending Regulation (EU) No 648/2012 (OJ L 173, 12.6.2014, p. 84).
Pri upoštevanju zapletenosti poslovanja investicijsko podjetje upošteva v nadaljevanju navedene zadeve, kadar je to primerno:
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. 84).
naravo strategij, ki jih izvaja podjetje ali njegove stranke, kolikor podjetje pozna te strategije, in zlasti če te strategije kažejo, da algoritmi izvajajo naročila v zvezi s tesno povezanimi instrumenti, na več mestih trgovanja ali v likvidnostnih bazenih;
Commission Delegated Regulation (EU) 2017/565 of 25 April 2016 supplementing Directive 2014/65/EU of the European Parliament and of the Council as regards organisational requirements and operating conditions for investment firms and defined terms for the purposes of that Directive (see page 1 of this Official Journal).
algoritme podjetja v smislu kodiranja, vnosov, od katerih so algoritmi odvisni, soodvisnosti in izjem od pravil, ki jih vsebujejo algoritmi, ali drugače;
ANNEX I
sisteme trgovanja podjetja v smislu raznolikosti uporabljenih sistemov trgovanja in obseg, do katerega podjetje nadzira nastavitve, prilagoditve, testiranje in pregledovanje sistemov trgovanja;
Criteria to be considered in the investment firm's self-assessment as referred to in Article 9(1)
strukturo podjetja v smislu lastniške strukture in strukture upravljanja ter organizacijsko, operativno, tehnično, fizično ali geografsko strukturo;
When considering the nature of its business, an investment firm shall consider the following, where applicable:
raznolikost rešitev podjetja v zvezi z njegovo povezljivostjo, tehnologijo ali kliringom;
the regulatory status of the firm and, where applicable, of its DEA clients, including the regulatory requirements to which it is subject as an investment firm under Directive 2014/65/EU, and other relevant regulatory requirements;
raznolikost fizičnih infrastruktur za trgovanje podjetja;
the firm's roles in the market, including whether it is a market maker and whether it executes orders for clients or rather only trades on its own account;
raven zunanjega izvajanja, ki ga opravlja ali ponuja podjetje, zlasti če se v zunanje izvajanje oddajo ključne funkcije;
the level of automation of trading and of other processes or activities of the firm;
zagotavljanje ali uporaba neposrednega elektronskega dostopa podjetja, ne glede na to, ali je neposreden dostop do trga ali sponzorirani dostop, in pogoji, pod katerimi neposredni elektronski dostop ponuja svojim strankam, in
the types and regulatory status of the instruments, products and asset classes that the firm trades in;
hitrost trgovanja podjetja ali njegovih strank.
the types of strategies the firm employs and the risks contained in these strategies for the firm's own risk management and for the fair and orderly functioning of the markets; the firm shall consider in particular the nature of these strategies, such as market making or arbitrage, and whether those strategies are long-term, short-term, directional, or non-directional;
PRILOGA II
the latency sensitivity of the firm's strategies and trading activities;
Vsebina in oblika evidenc o naročilih iz člena 28
the type and regulatory status of trading venues and other liquidity pools accessed and in particular whether the trading activity on those trading venues and other liquidity pools are lit, dark or over-the-counter trading;
Tabela 1
the connectivity solutions of the firm and whether it accesses trading venues as a member, as a DEA client or as a DEA provider;
Legenda za tabeli 2 in 3
the extent to which the firm relies on third parties for the development and maintenance of its algorithms or trading systems and whether these algorithms or trading systems are self-developed, co-developed with a third party, or purchased from, or outsourced to, a third party;
Znak
the firm's ownership and governance structure, how it is structured organisationally and operationally, and whether it is a partnership, subsidiary, publicly traded company, or otherwise;
Vrsta podatkov
the firm's risk management, compliance, audit structure and organisation;
Opredelitev
the date of establishment of the firm and level of experience and competency of its personnel and whether it is recently established.
Do n alfanumeričnih znakov.
When considering the scale of its business, an investment firm shall consider the following, where applicable:
Polje za prosto besedilo.
the number of algorithms and strategies running in parallel;
Trije alfanumerični znaki.
the number of individual instruments, products, and asset classes traded;
Tričrkovna koda valute, kot je opredeljena s kodo valute v skladu z ISO 4217.
the number of trading desks operated and individual trading identifiers of the natural persons and algorithms responsible for order execution used;
Oblika datuma in ure v skladu z ISO 8601.
the messaging volume capacities and in particular the number of orders submitted, adjusted, cancelled and executed;
Datum in ura v naslednji obliki:
the monetary value of its gross and net positions intraday and overnight;
„LLLL“ je leto,
the number of markets accessed either as a member or participant or via DEA;
„MM“ je mesec,
the number and size of the firm's clients and notably the firm's DEA clients;
„DD“ je dan,
the number of co-location or proximity hosting sites to which the firm has connectivity;
„T“ pomeni, da je treba uporabiti črko „T“,
the throughput size of connectivity infrastructure of the firm;
„hh“ je ura,
the number of clearing members or CCP memberships of the firm;
„mm“ so minute,
the firm's size in terms of number of traders and front-office, middle-office and back-office staff employed as full-time equivalent;
„ss.dddddd“ je sekunda in del sekunde,
the number of the firm's physical locations;
Z je čas UTC.
the number of countries and regions in which the firm is undertaking trading activities;
Datumi in ure se poročajo v UTC.
the firm's annual earnings and profits.
Decimalno število s skupno do n števk, od katerih je lahko do m števk decimalk.
When considering the complexity of its business, an investment firm shall consider the following, where applicable:
Numerično polje za pozitivne in negativne vrednosti.
the nature of the strategies carried out by the firm or by its clients, to the extent that these strategies are known by the firm and, in particular, whether these strategies imply algorithms initiating orders related to correlated instruments or on several trading venues or liquidity pools;
Decimalno ločilo je „.“ (pika);
the firm's algorithms, in terms of coding, inputs upon which the algorithms are reliant, interdependencies, and the rule exceptions contained in the algorithms, or otherwise;
negativne vrednosti imajo predznak „–“ (minus);
the firm's trading systems in terms of diversity of trading systems employed, and the extent to which the firm has control over setting, adjusting, testing, and reviewing its trading systems;
vrednosti se zaokrožijo in se ne skrajšajo.
the structure of the firm in terms of ownership and governance and its organisational, operational, technical, physical, or geographical set up;
Celo število s skupno do n števk.
the diversity of the firm's connectivity, technology or clearing solutions;
Numerično polje za pozitivne in negativne cele vrednosti.
the diversity of the firm's physical trading infrastructures;
12 alfanumeričnih znakov.
the level of outsourcing undertaken or offered by the firm and in particular where key functions are being outsourced;
Koda ISIN, kot je opredeljena v standardu ISO 6166.
the firm's provision or usage of DEA, whether it is DMA or sponsored access, and the conditions under which DEA is offered to clients; and,
20 alfanumeričnih znakov.
the speed of trading by the firm or its clients.
Identifikator pravnih subjektov, kot je opredeljen v standardu ISO 17442.
ANNEX II
4 alfanumerični znaki.
Content and format of order records as referred to in Article 28
Identifikator trga, kot je opredeljen v standardu ISO 10383.
Table 1
35 alfanumeričnih znakov.
Legend for Tables 2 and 3
Identifikator je tisti, ki je določen v členu 6 in PRILOGI II [k regulativnim tehničnim standardom 22 o obveznostih poročanja o poslih v skladu s členom 26 Uredbe (EU) št. 600/2014].
SYMBOL
Tabela 2
DATA TYPE
Informacije o vsaki začetni odločitvi za trgovanje ali prihodnjih naročilih strank
DEFINITION
Polje
Free text field.
Standardi in oblika
3 alphanumerical characters
Ime stranke
3 letter currency code, as defined by ISO 4217 currency codes
Polno ime stranke.
ISO 8601 date and time format
Če ima stranka več kot eno ime, se v tem polju navedejo vsa imena in ločijo z vejico.
Date and time in the following format:
To polje ostane prazno v primeru kritja z identifikatorjem pravnih subjektov (LEI).
‘YYYY’ is the year;
Priimek stranke
‘MM’ is the month;
Polni priimek stranke.
‘DD’ is the day;
Če ima stranka več kot en priimek, se v tem polju navedejo vsi priimki in ločijo z vejico.
‘T’ — means that the letter ‘T’ shall be used
To polje ostane prazno v primeru kritja z LEI.
‘hh’ is the hour;
Identifikacijska koda stranke
‘mm’ is the minute;
Koda, ki se uporablja za identifikacijo stranke investicijskega podjetja.