natgillin/translations-raw huggingface dataset:
Investment firms shall establish, implement and maintain accounting policies and procedures that enable them, at the request of the competent authority, to deliver in a timely manner to the competent authority financial reports which reflect a true and fair view of their financial position and which comply with all applicable accounting standards and rules.
Investicijska podjetja vzpostavijo, izvajajo in vzdržujejo sisteme in postopke, ki so primerni za ohranjanje varnosti, celovitosti in zaupnosti informacij, pri čemer upoštevajo naravo zadevnih informacij.
Investment firms shall monitor and, on a regular basis, evaluate the adequacy and effectiveness of their systems, internal control mechanisms and arrangements established in accordance with paragraphs 1 to 4, and take appropriate measures to address any deficiencies.
Investicijska podjetja opredelijo, izvajajo in vzdržujejo ustrezno politiko neprekinjenega poslovanja, katere cilj je zagotoviti, da se v primeru prekinitev v njihovih sistemih in postopkih ohranijo ključni podatki in funkcije ter nadaljujejo storitve in dejavnosti ali, kadar to ni mogoče, da se ti podatki in funkcije pravočasno obnovijo, njihove storitve in dejavnosti pa se začnejo hitro ponovno izvajati.
Article 22
Investicijska podjetja opredelijo, izvajajo in vzdržujejo računovodske politike in postopke, ki jim omogočajo, da pristojnemu organu na njegovo zahtevo pravočasno pošljejo računovodska poročila, ki prikazujejo resnično in pošteno sliko njihovega finančnega položaja ter so skladna z vsemi veljavnimi računovodskimi standardi in pravili.
Compliance
Investicijska podjetja spremljajo in redno ocenjujejo ustreznost in učinkovitost svojih sistemov, mehanizmov notranjega nadzora in ureditev, vzpostavljenih v skladu z odstavki 1 do 4, ter sprejmejo ustrezne ukrepe za odpravljanje morebitnih pomanjkljivosti.
(Article 16(2) of Directive 2014/65/EU)
Člen 22
Investment firms shall establish, implement and maintain adequate policies and procedures designed to detect any risk of failure by the firm to comply with its obligations under Directive 2014/65/EU, as well as the associated risks, and put in place adequate measures and procedures designed to minimise such risk and to enable the competent authorities to exercise their powers effectively under that Directive.
Skladnost s predpisi
Investment firms shall take into account the nature, scale and complexity of the business of the firm, and the nature and range of investment services and activities undertaken in the course of that business.
(člen 16(2) Direktive 2014/65/EU)
Investment firms shall establish and maintain a permanent and effective compliance function which operates independently and which has the following responsibilities:
Investicijska podjetja vzpostavijo, izvajajo in vzdržujejo primerne politike in postopke, ki so namenjeni odkrivanju morebitnega tveganja, da investicijsko podjetje ne bi izpolnjevalo obveznosti iz Direktive 2014/65/EU, ter s tem povezanih tveganj, ter vzpostavijo primerne ukrepe in postopke, katerih cilj je, da se tako tveganje čim bolj zmanjša in da se pristojnim organom omogoči učinkovito izvajanje njihovih pooblastil na podlagi navedene direktive.
to monitor on a permanent basis and to assess, on a regular basis, the adequacy and effectiveness of the measures, policies and procedures put in place in accordance with the first subparagraph of paragraph 1, and the actions taken to address any deficiencies in the firm's compliance with its obligations;
Investicijska podjetja upoštevajo naravo, obseg in kompleksnost poslovanja podjetja ter naravo in nabor investicijskih storitev in dejavnosti, ki se izvajajo v toku tega poslovanja.
to advise and assist the relevant persons responsible for carrying out investment services and activities to comply with the firm's obligations under Directive 2014/65/EU;
Investicijska podjetja vzpostavijo in vzdržujejo trajno in učinkovito funkcijo zagotavljanja skladnosti s predpisi, ki deluje neodvisno in ima naslednje odgovornosti:
to report to the management body, on at least an annual basis, on the implementation and effectiveness of the overall control environment for investment services and activities, on the risks that have been identified and on the complaints-handling reporting as well as remedies undertaken or to be undertaken;
trajno spremljati in redno ocenjevati primernost in učinkovitost ukrepov, politik in postopkov, vzpostavljenih v skladu s prvim pododstavkom odstavka 1, ter ukrepov, sprejetih za odpravljanje morebitnih pomanjkljivosti pri izpolnjevanju obveznosti podjetja;
to monitor the operations of the complaints-handling process and consider complaints as a source of relevant information in the context of its general monitoring responsibilities.
svetovati in pomagati ustreznim osebam, pristojnim za izvajanje investicijskih storitev in dejavnosti, za potrebe izpolnjevanja obveznosti podjetja v skladu z Direktivo 2014/65/EU;
In order to comply with points (a) and (b) of this paragraph, the compliance function shall conduct an assessment on the basis of which it shall establish a risk-based monitoring programme that takes into consideration all areas of the investment firm's investment services, activities and any relevant ancillary services, including relevant information gathered in relation to the monitoring of complaints handling.
vsaj letno poročati upravljalnemu organu o izvajanju in učinkovitosti splošnega nadzornega okolja za investicijske storitve in dejavnosti, o ugotovljenih tveganjih ter o poročanju v zvezi z reševanjem pritožb kot tudi o ukrepih, ki so bili oziroma se morajo sprejeti;
The monitoring programme shall establish priorities determined by the compliance risk assessment ensuring that compliance risk is comprehensively monitored.
spremljati delovanje postopka za reševanje pritožb in obravnavati pritožbe kot vir relevantnih informacij v okviru njegovih splošnih odgovornosti v zvezi z nadzorom.
In order to enable the compliance function referred to in paragraph 2 to discharge its responsibilities properly and independently, investment firms shall ensure that the following conditions are satisfied:
Da bi izpolnjevala zahteve iz točk (a) in (b) tega odstavka, funkcija zagotavljanja skladnosti s predpisi opravi oceno, ob upoštevanju katere vzpostavi program spremljanja na podlagi tveganj, v katerem so upoštevana vsa področja naložbenih storitev, dejavnosti ter vse zadevne pomožne storitve investicijskega podjetja, vključno z relevantnimi informacijami, zbranimi pri spremljanju reševanja pritožb.
the compliance function has the necessary authority, resources, expertise and access to all relevant information;
V programu spremljanja so določene prednostne naloge, ki se določijo v oceni tveganja glede skladnosti s predpisi in s katerimi je zagotovljeno, da se tveganje glede skladnosti s predpisi v celoti spremlja.
a compliance officer is appointed and replaced by the management body and is responsible for the compliance function and for any reporting as to compliance required by Directive 2014/65/EU and Article 25(2) of this Regulation;
Da lahko funkcija zagotavljanja skladnosti s predpisi iz odstavka 2 pravilno in neodvisno opravlja svoje naloge, investicijsko podjetje zagotovi, da so izpolnjeni naslednji pogoji:
the compliance function reports on an ad-hoc basis directly to the management body where it detects a significant risk of failure by the firm to comply with its obligations under Directive 2014/65/EU;
funkcija zagotavljanja skladnosti s predpisi ima potrebne pristojnosti, vire, strokovno znanje in dostop do vseh relevantnih informacij;
the relevant persons involved in the compliance function are not involved in the performance of services or activities they monitor;
upravljalni organ imenuje in zamenja odgovorno osebo za zagotavljanje skladnosti s predpisi, ki je pristojna za funkcijo zagotavljanja skladnosti ter vsako poročanje v zvezi s skladnostjo z zahtevami na podlagi Direktive 2014/65/EU in člena 25(2) te uredbe;
the method of determining the remuneration of the relevant persons involved in the compliance function does not compromise their objectivity and is not likely to do so.
funkcija zagotavljanja skladnosti s predpisi poroča na ad hoc podlagi neposredno upravljalnemu organu, če ugotovi, da obstaja pomembno tveganje, da podjetje ne bo izpolnjevalo svojih obveznosti v skladu z Direktivo 2014/65/EU;
An investment firm shall not be required to comply with point (d) or point (e) of paragraph 3 where it is able to demonstrate that in view of the nature, scale and complexity of its business, and the nature and range of investment services and activities, the requirements under point (d) or (e) are not proportionate and that its compliance function continues to be effective.
zadevne osebe, vključene v funkcijo zagotavljanja skladnosti s predpisi, se ukvarjajo z opravljanjem storitev ali dejavnosti, ki jih spremljajo;
In that case, the investment firm shall assess whether the effectiveness of the compliance function is compromised.
metoda določanja prejemkov zadevnih oseb, pristojnih za funkcijo zagotavljanja skladnosti s predpisi, ne sme vplivati na njihovo objektivnost, niti ne sme biti verjetno, da lahko vpliva nanjo.
The assessment shall be reviewed on a regular basis.
Investicijskemu podjetju ni treba izpolnjevati točke (d) ali točke (e) odstavka 3, če lahko dokaže, da glede na naravo, obseg in kompleksnost poslovanja ter naravo in nabor investicijskih storitev in dejavnosti zahteve iz točke (d) ali (e) niso sorazmerne in da je njegova funkcija zagotavljanja skladnosti s predpisi še naprej učinkovita.
Article 23
V tem primeru investicijsko podjetje oceni, ali je ogrožena učinkovitost funkcije zagotavljanja skladnosti s predpisi.
Risk management
Ocena se redno pregleduje.
(Article 16(5) of Directive 2014/65/EU)
Člen 23
Investment firms shall take the following actions relating to risk management:
Obvladovanje tveganj
establish, implement and maintain adequate risk management policies and procedures which identify the risks relating to the firm's activities, processes and systems, and where appropriate, set the level of risk tolerated by the firm;
(člen 16(5) Direktive 2014/65/EU)
adopt effective arrangements, processes and mechanisms to manage the risks relating to the firm's activities, processes and systems, in light of that level of risk tolerance;
Investicijska podjetja sprejmejo naslednje ukrepe v zvezi z obvladovanjem tveganj:
monitor the following:
vzpostavijo, izvajajo in vzdržujejo primerno politiko obvladovanja tveganj in postopke za ugotavljanje tveganj v zvezi z dejavnostmi, procesi in sistemi podjetja in po potrebi določijo raven tveganja, ki jo podjetje še dovoljuje;
the adequacy and effectiveness of the investment firm's risk management policies and procedures;
sprejmejo učinkovite ureditve, procese in mehanizme za obvladovanje tveganj v zvezi z dejavnostmi, procesi in sistemi podjetja glede na navedeno raven dovoljenega tveganja;
the level of compliance by the investment firm and its relevant persons with the arrangements, processes and mechanisms adopted in accordance with point (b);
spremljajo naslednje:
the adequacy and effectiveness of measures taken to address any deficiencies in those policies, procedures, arrangements, processes and mechanisms, including failures by the relevant persons to comply with such arrangements, processes and mechanisms or follow such policies and procedures.
primernost in učinkovitost politik in postopkov investicijskega podjetja za obvladovanje tveganj;
Investment firms shall, where appropriate and proportionate in view of the nature, scale and complexity of their business and the nature and range of the investment services and activities undertaken in the course of that business, establish and maintain a risk management function that operates independently and carries out the following tasks:
raven skladnosti investicijskega podjetja in njegovih zadevnih oseb z ureditvami, procesi in mehanizmi, sprejetimi v skladu s točko (b);
implementation of the policy and procedures referred to in paragraph 1;
primernost in učinkovitost ukrepov, sprejetih za obravnavanje morebitnih pomanjkljivosti v navedenih politikah, ureditvah, postopkih in mehanizmih, vključno z ravnanjem zadevnih oseb v nasprotju s takimi ureditvami, postopki in mehanizmi ali neizvajanjem takih politik in postopkov.
provision of reports and advice to senior management in accordance with Article 25(2).
Če je primerno in sorazmerno glede na naravo, obseg in kompleksnost poslovanja ter naravo in nabor investicijskih storitev in dejavnosti, ki jih izvajajo pri svojem poslovanju, investicijska podjetja vzpostavijo in vzdržujejo funkcijo obvladovanja tveganj, ki deluje neodvisno in opravlja naslednje naloge:
Where an investment firm does not establish and maintain a risk management function under the first sub-paragraph, it shall be able to demonstrate upon request that the policies and procedures which it is has adopted in accordance with paragraph 1 satisfy the requirements therein.
izvajanje politike in postopkov iz odstavka 1;
Article 24
priprava poročil in svetovanje višjemu vodstvu v skladu s členom 25(2).
Internal audit
Če investicijsko podjetje ne vzpostavi in vzdržuje funkcije obvladovanja tveganj v skladu s prvim pododstavkom, mora biti na zahtevo sposobno dokazati, da politike in postopki, ki jih je sprejelo v skladu z odstavkom 1, izpolnjujejo zahteve iz navedenega odstavka.
Investment firms shall, where appropriate and proportionate in view of the nature, scale and complexity of their business and the nature and range of investment services and activities undertaken in the course of that business, establish and maintain an internal audit function which is separate and independent from the other functions and activities of the investment firm and which has the following responsibilities:
Člen 24
establish, implement and maintain an audit plan to examine and evaluate the adequacy and effectiveness of the investment firm's systems, internal control mechanisms and arrangements;
Notranja revizija
issue recommendations based on the result of work carried out in accordance with point (a) and verify compliance with those recommendations;
Če je primerno in sorazmerno glede na naravo, obseg in kompleksnost poslovanja ter naravo in nabor investicijskih storitev in dejavnosti, ki jih izvajajo pri svojem poslovanju, investicijska podjetja vzpostavijo in vzdržujejo funkcijo notranje revizije, ki je ločena in neodvisna od drugih funkcij in dejavnosti investicijskega podjetja ter ima naslednje odgovornosti:
report in relation to internal audit matters in accordance with Article 25(2).
vzpostavitev, izvajanje in vzdrževanje revizijskega načrta za pregled in ocenjevanje primernosti in učinkovitosti sistemov, mehanizmov notranje kontrole in ureditev investicijskega podjetja;
Article 25
izdajanje priporočil na podlagi rezultatov dela, opravljenega v skladu s točko (a), ter preverjanje izvajanja navedenih priporočil;
Responsibility of senior management
poročanje o zadevah v zvezi z notranjo revizijo v skladu s členom 25(2).
Investment firms shall, when allocating functions internally, ensure that senior management, and, where applicable, the supervisory function, are responsible for ensuring that the firm complies with its obligations under Directive 2014/65/EU.
Člen 25
In particular, senior management and, where applicable, the supervisory function shall be required to assess and periodically review the effectiveness of the policies, arrangements and procedures put in place to comply with the obligations under Directive 2014/65/EU and to take appropriate measures to address any deficiencies.
Odgovornost višjega vodstva
The allocation of significant functions among senior managers shall clearly establish who is responsible for overseeing and maintaining the firm's organisational requirements.
Investicijska podjetja pri notranjem razporejanju funkcij zagotovijo, da imata višje vodstvo in po potrebi nadzorna funkcija odgovornost, da zagotovita izpolnjevanje obveznosti podjetja iz Direktive 2014/65/EU.
Records of the allocation of significant functions shall be kept up-to-date.
Zlasti se zahteva, da višje vodstvo in po potrebi nadzorna funkcija ocenjujeta in redno pregledujeta učinkovitost politik, ureditev in postopkov, vzpostavljenih za izpolnjevanje obveznosti iz Direktive 2014/65/EU, in sprejemata primerne ukrepe za obravnavanje morebitnih pomanjkljivosti.
Investment firms shall ensure that their senior management receive on a frequent basis, and at least annually, written reports on the matters covered by Articles 22, 23 and 24 indicating in particular whether the appropriate remedial measures have been taken in the event of any deficiencies.
Z razporeditvijo pomembnejših funkcij med višje vodstvene delavce se jasno določi, kdo je odgovoren za nadzor in trajno izpolnjevanje organizacijskih zahtev podjetja.
Investment firms shall ensure that where there is a supervisory function, it receives written reports on the matters covered by Articles 22, 23 and 24 on a regular basis.
Evidence o razporeditvi pomembnih funkcij se redno posodabljajo.
For the purposes of this Article, the supervisory function shall be the function within an investment firm responsible for the supervision of its senior management.
Investicijska podjetja zagotovijo, da njihovo višje vodstvo redno in vsaj enkrat na leto prejme pisna poročila o zadevah iz členov 22, 23 in 24, v katerih je zlasti navedeno, ali so bili v primeru pomanjkljivosti sprejeti primerni ukrepi.
Article 26
Investicijska podjetja zagotovijo, da pisna poročila o zadevah iz členov 22, 23 in 24 redno prejema tudi nadzorna funkcija, če ta obstaja.
Complaints handling
Za namene tega člena nadzorna funkcija pomeni funkcijo v investicijskem podjetju, ki je odgovorna za nadzor njenega višjega vodstva.
Investment firms shall establish, implement and maintain effective and transparent complaints management policies and procedures for the prompt handling of clients' or potential clients' complaints.
Člen 26
Investment firms shall keep a record of the complaints received and the measures taken for their resolution.
Reševanje pritožb
The complaints management policy shall provide clear, accurate and up-to-date information about the complaints-handling process.
Investicijska podjetja vzpostavijo, izvajajo in vzdržujejo učinkovite ter pregledne politike in postopke za upravljanje pritožb, ki se uporabljajo za hitro reševanje pritožb strank ali potencialnih strank.
This policy shall be endorsed by the firm's management body.
Investicijska podjetja vodijo evidence prejetih pritožb in ukrepov, sprejetih za njihovo reševanje.
Investment firms shall publish the details of the process to be followed when handling a complaint.
Politika za upravljanje pritožb zagotavlja jasne, točne in najnovejše informacije o postopku reševanja pritožb.
Such details shall include information about the complaints management policy and the contact details of the complaints management function.
To politiko potrdi upravljalni organ podjetja.
The information shall be provided to clients or potential clients, on request, or when acknowledging a complaint.
Investicijska podjetja objavijo podrobnosti o postopku, v skladu s katerim se morajo reševati pritožbe.
Investment firms shall enable clients and potential clients to submit complaints free of charge.
Te podrobnosti vključujejo informacije o politiki za upravljanje pritožb in kontaktne podatke funkcije za upravljanje pritožb.
Investment firms shall establish a complaints management function responsible for the investigation of complaints.
Informacije se strankam ali potencialnim strankam zagotovijo na zahtevo ali ob potrditvi prejema pritožbe.
This function may be carried out by the compliance function.
Investicijska podjetja strankam in potencialnim strankam omogočijo, da pritožbe predložijo brezplačno.
When handling a complaint, investment firms shall communicate with clients or potential clients clearly, in plain language that is easy to understand and shall reply to the complaint without undue delay.
Investicijska podjetja vzpostavijo funkcijo za upravljanje pritožb, ki je odgovorna za preučevanje pritožb.
Investment firms shall communicate the firm's position on the complaint to clients or potential clients and inform the clients or potential clients about their options, including that they may be able to refer the complaint to an alternative dispute resolution entity, as defined in Article 4(h) of Directive 2013/11/EU of the European Parliament and the Council [21] on consumer ADR or that the client may be able to take civil action.
To funkcijo lahko izvaja funkcija zagotavljanja skladnosti s predpisi.
Investment firms shall provide information on complaints and complaints-handling to the relevant competent authorities and, where applicable under national law, to an alternative dispute resolution (ADR) entity.
Pri reševanju pritožbe investicijska podjetja s strankami oziroma potencialnimi strankami komunicirajo jasno, v preprostem jeziku, ki ga je lahko razumeti, in se na pritožbo odzovejo brez nepotrebnih zamud.
Investment firms' compliance function shall analyse complaints and complaints-handling data to ensure that they identify and address any risks or issues.
Investicijska podjetja strankam ali potencialnim strankam sporočijo stališče podjetja glede pritožbe ter jih obvestijo o njihovih možnostih, kar vključuje možnost, da stranka pritožbo posreduje organu za alternativno reševanje sporov, kot je opredeljen v členu 4(h) Direktive 2013/11/EU Evropskega parlamenta in Sveta [21] o alternativnem reševanju potrošniških sporov, ali da se odloči za civilno tožbo.
Article 27
Investicijska podjetja zagotovijo informacije o pritožbah in reševanju pritožb zadevnim pristojnim organom in, če je smiselno v skladu z nacionalno zakonodajo, organu za alternativno reševanje sporov.
Remuneration policies and practices
Funkcija zagotavljanja skladnosti s predpisi analizira podatke o pritožbah in reševanju pritožb, da zagotovi, da se opredelijo in obravnavajo vsa tveganja in vprašanja.
(Articles 16, 23 and 24 of Directive 2014/65/EU)
Člen 27
Investment firms shall define and implement remuneration policies and practices under appropriate internal procedures taking into account the interests of all the clients of the firm, with a view to ensuring that clients are treated fairly and their interests are not impaired by the remuneration practices adopted by the firm in the short, medium or long term.
Politike in prakse glede prejemkov
Remuneration policies and practices shall be designed in such a way so as not to create a conflict of interest or incentive that may lead relevant persons to favour their own interests or the firm's interests to the potential detriment of any client.
(Členi 16, 23 in 24 Direktive 2014/65/EU)
Investment firms shall ensure that their remuneration policies and practices apply to all relevant persons with an impact, directly or indirectly, on investment and ancillary services provided by the investment firm or on its corporate behaviour, regardless of the type of clients, to the extent that the remuneration of such persons and similar incentives may create a conflict of interest that encourages them to act against the interests of any of the firm's clients.
Investicijska podjetja določijo in izvajajo politike in prakse v zvezi s prejemki v skladu z ustreznimi notranjimi postopki, pri čemer upoštevajo interese vseh strank podjetja, pri čemer je cilj zagotoviti, da se s strankami ravna pošteno in da njihovim interesom ne škodijo prakse v zvezi s prejemki, ki jih podjetje sprejme na kratek, srednji ali dolgi rok.
The management body of the investment firm shall approve, after taking advice from the compliance function, the firm's remuneration policy.
Politike in prakse glede prejemkov so zasnovane tako, da ne vodijo do nasprotja interesov ali do spodbud, zaradi katerih bi zadevne osebe dajale prednost svojim interesom ali interesom podjetja v morebitno škodo katere od strank.