natgillin/translations-raw huggingface dataset:
ESMA shall maintain and update a list of the contact points designated in accordance with paragraph 1, for the use of the competent authorities.
ESMA za namene uporabe s strani pristojnih organov vodi in posodablja seznam kontaktnih točk, določenih v skladu z odstavkom 1.
Request for cooperation or exchange of information
Prošnja za sodelovanje ali izmenjavo informacij
A requesting authority shall make a request for cooperation or exchange of information in paper form or by electronic means, using the form set out in Annex I. It shall address the request to the contact point of the requested authority.
Organ prejemnik vloži prošnjo za sodelovanje ali izmenjavo informacij v papirni ali elektronski obliki z uporabo obrazca iz Priloge I. Naslovi jo na kontaktno točko organa prejemnika.
In urgent cases, the requesting authority may make the request for cooperation or exchange of information verbally provided that subsequent confirmation of the request is made in writing within a reasonable timeframe, unless the requested authority agrees otherwise.
V nujnih primerih lahko organ vložnik vloži prošnjo za sodelovanje ali izmenjavo informacij ustno, če se prošnja naknadno pisno potrdi v razumnem roku, razen če se organ prejemnik strinja s kakšnim drugim načinom.
The requesting authority may attach to the request any document or supporting material deemed necessary to support the request.
Organ vložnik lahko prošnji priloži vse dokumente ali podporno gradivo, ki so potrebni za utemeljitev prošnje.
Acknowledgement of receipt
Potrditev prejema
Within 10 working days of receipt of the request for cooperation or exchange of information by the contact point of the requested authority, that authority shall send an acknowledgement of receipt to the requesting authority, using the form set out in Annex II.
Ko kontaktna točka organa prejemnika prejme prošnjo za sodelovanje ali izmenjavo informacij, navedeni organ v desetih delovnih dneh pošlje potrditev prejema organu vložniku z uporabo obrazca iz Priloge II.
Reply to a request for cooperation or exchange of information
Odgovor na prošnjo za sodelovanje ali izmenjavo informacij
The requested authority shall respond to a request for cooperation or exchange of information in paper form or by electronic means, using the form set out in Annex III.
Organ prejemnik odgovori na prošnjo za sodelovanje ali izmenjavo informacij v papirni ali elektronski obliki z uporabo obrazca iz Priloge III.
Unless otherwise specified by the requesting authority, the reply shall be addressed to the contact point of the requesting authority.
Odgovor se naslovi na kontaktno točko organa vložnika, razen če ta določi drugače.
The requested authority shall execute requests for cooperation or exchange of information in a manner which ensures any necessary regulatory action shall proceed without undue delay, taking into account the complexity of the request and the necessity to involve third parties or another authority.
Organ prejemnik se odzove na prošnje za sodelovanje ali izmenjavo informacij na način, ki zagotavlja, da se vsi regulativni ukrepi izvedejo brez nepotrebnega odlašanja, pri čemer upošteva kompleksnost prošnje in potrebo po vključitvi tretjih strani ali drugega organa.
Procedures for sending and processing a request for cooperation or exchange of information
Postopki za pošiljanje in obravnavo prošnje za sodelovanje ali izmenjavo informacij
The requesting authority and the requested authority shall communicate in relation to the request for cooperation or exchange of information either in paper form or electronically, depending on which of the two is the most expeditious, and taking due account of confidentiality considerations, correspondence times, the volume of material to be communicated and the ease of access to the information by the requesting authority.
Organ vložnik in organ prejemnik se obveščata v zvezi s prošnjo za sodelovanje ali izmenjavo informacij v papirni ali elektronski obliki, odvisno od tega, kaj je hitreje, pri čemer ustrezno upoštevata zaupnost, čas korespondence, obseg gradiva, ki ga je treba posredovati, in kako preprosto lahko organ vložnik dostopa do informacij.
In particular, the requesting authority shall respond promptly to any clarifications asked by the requested authority.
Organ vložnik zlasti nemudoma odgovori na zahteve organa prejemnika po pojasnilih.
The requested authority shall notify the requesting authority where it anticipates a delay of more than 5 working days beyond the estimated date of response specified in the acknowledgement of receipt.
Organ prejemnik obvesti vložnika, kadar predvideva zamudo, daljšo od pet delovnih dni po predvidenem datumu za odgovor, navedenem v potrditvi prejema.
Where the request has been qualified by the requesting authority as urgent, the requested authority and the requesting authority shall agree on the frequency with which the requested authority will update the requesting authority on its handling of the request and on the date when it expects to provide a response.
Kadar je organ vložnik prošnjo označil kot nujno, se organ prejemnik in organ vložnik dogovorita o pogostosti, s katero bo organ prejemnik obveščal vložnika o obravnavi prošnje in predvidenem datumu odgovora.
The requested authority and the requesting authority shall cooperate to resolve any difficulties that may arise in executing a request.
Organ prejemnik in organ vložnik sodelujeta, da razrešita vse težave, do katerih lahko pride pri obravnavi prošnje.
Procedure for requests for taking a statement from a person
Postopek za prošnje za pridobitev izjave od osebe
If the requesting authority includes within its request the taking of a statement of any person, the requested authority and the requesting authority shall, subject to existing legal limitations or constraints and any differences in procedural requirements, assess and take into account:
Če organ vložnik v svojo prošnjo vključi pridobitev izjave od kogar koli, organ prejemnik in organ vložnik ob upoštevanju obstoječih pravnih omejitev ali ovir ter vseh razlik v postopkovnih zahtevah ocenita in upoštevata:
the rights of the person or persons from which the statements are to be taken;
pravice osebe ali oseb, od katerih je treba pridobiti izjavo;
the role of the staff of the requested authority and of the requesting authority in the taking of the statement;
vlogo uslužbencev organa prejemnika in organa vložnika pri pridobivanju izjave;
whether the person from whom the statement is to be taken has the right to be assisted by a legal representative and, if so, the scope of the representative's assistance during the taking of the statement, including in relation to any records or report of the statement;
ali ima oseba, od katere je treba pridobiti izjavo, pravico do pomoči pravnega zastopnika ter v tem primeru obseg zastopnikove pomoči med pridobivanjem izjave, vključno v zvezi z vsemi zapisi ali poročili o izjavi;
whether the statement is to be taken on a voluntary or compelled basis where that distinction exists;
ali se izjava da prostovoljno ali obvezno, kadar obstaja to razlikovanje;
whether, based on the information that is available at the time of the request, the person from which the statement is to be taken is a witness or subject of investigation;
ali je na podlagi informacij, ki so na voljo v trenutku prošnje, oseba, od katere je treba pridobiti izjavo, priča ali oseba, proti kateri se vodi preiskava;
whether, based on the information that is available at the time of the request, the statement could be, or is intended to be used in criminal proceedings;
ali bi se na podlagi informacij, ki so na voljo v trenutku prošnje, izjava lahko ali se namerava uporabiti v kazenskem postopku;
the admissibility of the statement in the requesting authority's jurisdiction;
dopustnost izjave v jurisdikciji organa vložnika;
the recording of the statement and the applicable procedures, including whether it will be contemporaneous or summarised written minutes or an audio or audiovisual recording;
zapis izjave in veljavne postopke, vključno s tem, ali gre za hkratni ali pisni povzetek zapisnika ali za zvočni ali avdiovizualni posnetek;
procedures on the certification or confirmation of the statement by the persons providing the statement, including whether that takes place after the statement is taken.
postopke za certificiranje ali potrjevanje izjave s strani oseb, ki podajo izjavo, vključno s tem, ali takšno certificiranje ali potrjevanje poteka po pridobitvi izjave.
The requested authority and the requesting authority shall ensure that arrangements are in place for their staff to proceed efficiently, including arrangements to enable their staff to agree on any additional information that may be necessary, including the following:
Organ prejemnik in organ vložnik zagotovita, da so vzpostavljene ureditve, da lahko njuni uslužbenci ravnajo učinkovito, vključno z ureditvami, ki njunim uslužbencem zagotavljajo, da se dogovorijo o vseh dodatnih informacijah, ki so morda potrebne, kar vključuje:
planning of dates;
načrtovanje datumov;
the list of questions to be asked of the person from which the statement is to be taken and its review;
seznam vprašanj, ki se postavijo osebi, od katere se pridobi izjava, in njegov pregled;
travelling arrangements, including ensuring that the requested authority and the requesting authority are able to meet to discuss the matter prior to the taking of the statement;
organizacijo potovanj, vključno z zagotavljanjem, da se lahko organ prejemnik in organ vložnik srečata in razpravljata o zadevi pred pridobivanjem izjave;
translation arrangements.
ureditve prevajanja.
Procedure for requests for an on-site verification or investigation
Postopek za prošnje za preverjanje na kraju samem ali preiskavo
Where there is a request for carrying out an on-site verification or investigation, the requesting authority and the requested authority shall consult each other on the best way to give useful effect to the request for cooperation taking into account points (a), (b) and (c) of Article 80(1) of Directive 2014/65/EU, including on the merits of conducting a joint on-site verification or joint investigation.
Kadar gre za prošnjo za opravljanje preverjanja na kraju samem ali preiskave, se organ vložnik in organ prejemnik posvetujeta o najboljšem načinu, kako ugoditi prošnji za sodelovanje ob upoštevanju točk (a), (b) in (c) člena 80(1) Direktive 2014/65/EU, vključno z upravičenostjo opravljanja skupnega preverjanja na kraju samem ali skupne preiskave.
In deciding on the best way to give useful effect to the request for cooperation, the requesting authority and the requested authority shall take into account at least the following:
Pri odločanju o najboljšem načinu za ugoditev prošnji za sodelovanje organ vložnik in organ prejemnik upoštevata vsaj naslednje:
the contents of any request for cooperation received from the requesting authority, including any suggestion on the appropriateness to carry out the investigation or on-site verification jointly;
vsebino vsake prošnje za sodelovanje, prejete od organa vložnika, vključno z vsemi predlogi o primernosti izvedbe skupne preiskave ali preverjanja na kraju samem;
whether they are separately conducting their own inquiries into a matter with cross-border implications and whether that matter would be more suitably dealt with by joint collaboration;
ali organa opravljata ločene poizvedbe o zadevi s čezmejnimi posledicami ter ali bi bila primernejša obravnava zadeve v okviru sodelovanja;
the legal and regulatory framework in each of their jurisdictions, ensuring that both authorities have a good understanding of the potential constraints and legal limitations on their conduct and on any proceedings that may follow, including any issues relating to the principle of ne bis in idem;
pravni in regulativni okvir v vsaki od njunih jurisdikcij, pri čemer se zagotovi, da oba organa dobro razumeta morebitne ovire in pravne omejitve svojega ravnanja in vseh postopkov, ki lahko sledijo, vključno z vsemi vprašanji, povezanimi z načelom prepovedi ponovnega sojenja o isti stvari;
the management and direction needed for the investigation or on-site inspection;
upravljanje in usmerjanje, potrebno za preiskavo ali preverjanje na kraju samem;
the allocation of resources and appointment of staff in charge of carrying out investigation or on-site inspections;
razporeditev virov in imenovanje uslužbencev, odgovornih za izvedbo preiskave ali preverjanj na kraju samem;
the possibility to establish a joint action plan and timings of work by each authority;
možnost vzpostavitve skupnega akcijskega načrta in časovnega načrta dela vsakega organa;
the determination of actions to be taken, jointly or individually, by each authority;
določitev ukrepov, ki jih morata skupaj ali ločeno sprejeti oba organa;
mutual sharing of information gathered and reporting on the outcomes of the individual actions taken;
vzajemno izmenjavo zbranih informacij in poročanje o rezultatih posameznih sprejetih ukrepov;
other case specific issues.
druga vprašanja, ki so specifična za primer.
Where the requested authority carries out the verification or investigation itself, it shall keep the requesting authority informed of the progress of these activities and shall deliver its findings in good time.
Kadar organ prejemnik sam izvaja preverjanje ali preiskavo, vložnika obvešča o napredku navedenih dejavnosti in pravočasno predloži svoje ugotovitve.
Where the requesting authority and the requested authority decide to carry out a joint investigation or joint on-site verification, they shall:
Kadar se organ vložnik in organ prejemnik odločita, da bosta opravila skupno preiskavo ali skupno preverjanje na kraju samem:
engage in ongoing dialogue to coordinate the information gathering process and the finding of facts;
vzpostavita stalen dialog za koordinacijo postopka zbiranja informacij in ugotavljanja dejstev;
work closely and cooperate with each other when conducting the joint investigation or joint on-site inspection;
tesno sodelujeta pri izvajanju skupne preiskave ali skupnega preverjanja na kraju samem;
identify the specific legal provisions that form the subject matter of the investigation or on-site inspection;
določita posebne pravne določbe, ki so predmet preiskave ali preverjanja na kraju samem;
where relevant, agree upon at least the following:
kadar je ustrezno, se dogovorita vsaj o naslednjem:
the drawing up of a joint action plan specifying the substance, nature and timing of the actions to be taken, including the allocation of responsibilities in delivering the outcome of the work and taking into account each authority's respective priorities;
pripravi skupnega akcijskega načrta, v katerem so določene vsebina, narava in časovna razporeditev ukrepov, ki jih je treba sprejeti, vključno z razporeditvijo odgovornosti za rezultate dela in upoštevanjem posameznih prednostnih nalog vsakega organa;
the identification and assessment of any legal limitations or constraints and any differences in procedures with respect to investigative or enforcement action or any other proceedings, including the rights of any person subject to investigation;
ugotavljanju in oceni vseh pravnih omejitev ali ovir ter vseh razlik v postopkih v zvezi s preiskovalnimi ali izvršilnimi ukrepi ali kakršnimi koli drugimi postopki, vključno s pravicami vseh oseb, proti kateri se vodi preiskava;
the identification and assessment of specific legal professional privileges that may have an impact on the investigation proceedings as well as the enforcement proceedings, including self-incrimination;
ugotavljanju in oceni specifičnega varovanja poklicne skrivnosti odvetnikov, ki lahko vplivajo na preiskovalne postopke ter na izvršilne postopke, vključno s samoobtožbo;
the public and press strategy;
strategiji za stike z javnostjo in mediji;
the intended use of information exchanged.
načrtovani uporabi izmenjanih informacij.
Unsolicited exchanges of information
Nezahtevana izmenjava informacij
Where a competent authority has information that it believes would assist another competent authority for the purposes of carrying out its duties under Directive 2014/65/EU or Regulation (EU) No 600/2014 of the European Parliament and of the Council [3], it shall transmit that information in paper form or by electronic means to the contact point of the other competent authority.
Kadar ima pristojni organ informacije, za katere meni, da bi drugemu pristojnemu organu pomagale pri izvajanju njegovih dejavnosti v skladu z Direktivo 2014/65/EU ali Uredbo (EU) št. 600/2014 Evropskega parlamenta in Sveta [3], navedene informacije v papirni ali elektronski obliki posreduje kontaktni točki drugega pristojnega organa.
By way of derogation from paragraph 1, if the competent authority sending the information believes the information should be sent urgently, it may initially communicate the information verbally provided that subsequent transmission of information is made in writing within a reasonable timeframe, unless the authority receiving the information agrees otherwise.
Če pristojni organ, ki pošilja informacije meni, da bi bilo treba informacije nujno poslati, lahko informacije z odstopanjem od odstavka 1 najprej sporoči ustno, če je naknadni prenos informacij opravljen pisno v razumnem roku, razen če se organ prejemnik strinja s kakšnim drugim načinom.
An authority that sends information on an unsolicited basis shall do so using the form set out in Annex III, identifying in particular issues relating to the confidentiality of information.
Organ, ki informacij ne pošilja na zahtevo, to stori z uporabo obrazca iz Priloge III, pri čemer navede zlasti vprašanja, ki so povezana z zaupnostjo informacij.
Requirement to notify competent authorities
Zahteva po obveščanju pristojnih organov
Where, pursuant to Article 80(1) of Directive 2014/65/EU, a competent authority of a regulated market directly addresses investment firms that are remote members or participants of the regulated market, it shall inform the competent authority of the home Member State of the remote member or participant, in paper form or by electronic means, using the form set out in Annex IV to this Regulation, immediately after it has contacted the remote member or participant, unless the authority of the home Member State of the remote member or participant has previously agreed in writing to be informed by other means of communication.
Kadar se v skladu s členom 80(1) Direktive 2014/65/EU pristojni organ reguliranega trga obrne neposredno na investicijska podjetja, ki so oddaljeni člani ali udeleženci reguliranega trga, pristojni organ matične države članice oddaljenega člana ali udeleženca obvesti v pisni ali elektronski obliki z uporabo obrazca iz Priloge IV k tej uredbi takoj, ko je stopil v stik z oddaljenim članom ali udeležencem, razen če se je matična država članica oddaljenega člana ali udeleženca predhodno pisno strinjala z obveščanjem prek drugih sredstev komunikacije.
If the reason for addressing the remote member or participant of the regulated market is urgent, the competent authority of the regulated market may for justified reasons, make the notification verbally provided that subsequent confirmation of the request is made in writing within a reasonable timeframe, unless the requested authority agrees otherwise.
Če je razlog za kontaktiranje oddaljenega člana ali udeleženca reguliranega trga nujen, lahko pristojni organ reguliranega trga zaradi upravičenih razlogov obvestilo posreduje ustno, če je se prošnja naknadno pisno potrdi v razumnem časovnem roku, razen če se organ prejemnik strinja s kakšnim drugim načinom.
Form for a request for cooperation or exchange of information
Obrazec za prošnjo za sodelovanje ali izmenjavo informacij
Requesting Authority:
Organ vložnik:
(Contact details of the contact point)
(kontaktni podatki kontaktne točke)
Requested Authority:
Organ prejemnik:
Dear [insert appropriate name]
Spoštovani [vstavite ustrezno ime],
In accordance with Article(s) [80/81 (1)] of Directive 2014/65/EU your input is sought in relation to the matter(s) set out in further detail below.
v skladu s členom [80/81 (1)] Direktive 2014/65/EU prosimo za vaš prispevek v zvezi z zadevami, opisanimi v nadaljevanju.
I would be grateful to receive a response to the above request by [insert indicative date for the reply and in case of an urgent request insert deadline for the information to be provided by] or, if that is not possible, for an indication as to when you anticipate being in a position to provide the assistance which is sought.
Vljudno vas prosim, da na zgornjo prošnjo odgovorite do [vstavite okvirni datum za odgovor in v primeru nujne prošnje vstavite rok, do katerega je treba zagotoviti informacije] ali, če to ni mogoče, da sporočite, kdaj predvidevate, da boste lahko zagotovili pomoč, za katero vas prosimo.
Please insert relevant Article of Directive 2014/65/EU.
Vstavite zadevni člen Direktive 2014/65/EU.
Type of request
Vrsta prošnje
Please tick the appropriate box(es)
Označite ustrezna okenca:
Supervisory Activities (provision of information, taking of a statement, other)
nadzorne dejavnosti (zagotavljanje informacij, pridobitev izjave, drugo)
Investigation
preiskava
On-site verification
preverjanje na kraju samem
Reasons for the request
Razlogi za prošnjo
[insert description of the subject matter of the request, the purpose for which the cooperation or exchange of information is sought, facts underlying the investigation which form the basis of the request and explanation for its helpfulness]
V zvezi z/s
Further to
[če je smiselno, navedite informacije o prejšnji prošnji, na podlagi katerih se ta lahko identificira]
[if applicable, insert details of the previous request in order to enable it to be identified]
Nadzorne dejavnosti (zagotovitev informacij, pridobitev izjave)
Supervisory Activities (provision of information, taking of a statement)
Natančno opišite specifične informacije, ki jih potrebujete, skupaj z razlogi, zakaj bodo te informacije v pomoč, in, če so znane, seznam oseb, ki naj bi imele potrebne informacije, ali mest, kjer bi se takšne informacije lahko pridobile.
Please provide a detailed description of the specific information sought with reasons why that information will be of assistance and, if known, a list of the persons considered possessing the information sought or the places where such information may be obtained.
Če se prošnja nanaša na informacije, ki so povezane s poslom ali naročilom za določen finančni instrument, navedite naslednje informacije:
If the request concerns information relating to a transaction or order in a specific financial instrument, please provide the following information.
ID produkta:
Product ID:
[vstavite natančen opis finančnega instrumenta, vključno s kodo ISIN]
[insert precise description of the financial instrument, including the ISIN code]
ID osebe:
Person ID:
[vstavite identiteto vseh oseb, povezanih s poslom ali naročilom, vključno z osebo, ki trguje s finančnim instrumentom ali v imenu katere naj bi se trgovalo z njim]
[insert the identity of any person connected with the transaction or order, including a person dealing in the financial instrument or on whose behalf the dealing is considered to have taken place]
Datumi:
Dates:
[vstavite datuma, med katerima je prišlo do poslov ali naročil z navedenimi finančnimi instrumenti, v primeru daljšega obdobja vključno z razlogi, zakaj je relevantno celo obdobje]
[insert the dates between which transactions or orders in those financial instruments took place including in the case of a significant period of time, reasons why the entirety of the time period is beneficial]
Če se prošnja nanaša na informacije, ki so povezane s poslovanjem ali dejavnostmi osebe, navedite čim natančnejše informacije, da omogočite identifikacijo navedene osebe.
If the request concerns information relating to the business or activities of a person, please provide information as precise as possible to enable that person to be identified.
Če obstajajo posebni pomisleki o občutljivosti potrebnih informacij, opozorite na občutljivost informacij, ki jih vsebuje prošnja, in na vse posebne previdnostne ukrepe, ki jih je zato treba sprejeti pri zbiranju informacij.