natgillin/translations-raw huggingface dataset:
Where the eligible counterparty expressly requests treatment as a retail client, the investment firm shall treat the eligible counterparty as a retail client, applying the provisions in respect of requests of non-professional treatment specified in the second, third and fourth sub-paragraphs of Section I of Annex II to Directive 2014/65/EU.
Poleg kategorij, ki so izrecno navedene v členu 30(2) Direktive 2014/65/EU, lahko države članice kot primerno nasprotno stranko v skladu s členom 30(3) navedene direktive priznajo podjetje, ki spada v kategorijo strank, ki se morajo šteti za profesionalne stranke v skladu z odstavki 1, 2 in 3 oddelka I Priloge II k navedeni Direktivi.
Where a client requests to be treated as an eligible counterparty, in accordance with Article 30(3) of Directive 2014/65/EU, the following procedure shall be followed:
Če v skladu z drugim pododstavkom člena 30(2) Direktive 2014/65/EU primerna nasprotna stranka zahteva obravnavo kot stranka, katere posle z investicijskim podjetjem urejajo členi 24, 25, 27 in 28 navedene direktive, mora biti zahteva v pisni obliki in navajati, ali se obravnava kot profesionalna oziroma neprofesionalna stranka nanaša na eno ali več investicijskih storitev ali poslov oziroma na eno ali več vrst poslov ali produktov.
the investment firm shall provide the client with a clear written warning of the consequences for the client of such a request, including the protections they may lose;
Če primerna nasprotna stranka zahteva obravnavo kot stranka, katere posle z investicijskim podjetjem urejajo členi 24, 25, 27 in 28 Direktive 2014/65/EU, vendar ne zahteva izrecno obravnave kot neprofesionalna stranka, podjetje obravnava navedeno primerno nasprotno stranko kot profesionalno stranko.
the client shall confirm in writing the request to be treated as an eligible counterparty either generally or in respect of one or more investment services or a transaction or type of transaction or product and that they are aware of the consequences of the protection they may lose as a result of the request.
Če navedena primerna nasprotna stranka izrecno zahteva obravnavo kot neprofesionalna stranka, investicijsko podjetje primerno nasprotno stranko obravnava kot neprofesionalno stranko, pri čemer uporablja določbe glede zahtev za obravnavo kot neprofesionalna stranka iz drugega, tretjega in četrtega pododstavka oddelka I Priloge II k Direktivi 2014/65/EU.
SECTION 8
Če stranka zahteva obravnavo kot primerna nasprotna stranka v skladu s členom 30(3) Direktive 2014/65/EU, se upošteva naslednji postopek:
Record-keeping
investicijsko podjetje stranki zagotovi jasno pisno opozorilo o posledicah take zahteve zanjo, vključno z zaščito, ki jo lahko izgubi;
Article 72
stranka pisno potrdi, da je zahtevala obravnavo kot primerna nasprotna stranka, in sicer na splošno ali v zvezi z eno ali več investicijskimi storitvami ali posli oziroma vrstami poslov ali produktov, ter da se zaveda posledic izgube zaščite, do katere lahko pride zaradi zahteve.
Retention of records
ODDELEK 8
The records shall be retained in a medium that allows the storage of information in a way accessible for future reference by the competent authority, and in such a form and manner that the following conditions are met:
Vodenje evidenc
the competent authority is able to access them readily and to reconstitute each key stage of the processing of each transaction;
Člen 72
it is possible for any corrections or other amendments, and the contents of the records prior to such corrections or amendments, to be easily ascertained;
Hranjenje evidenc
it is not possible for the records otherwise to be manipulated or altered;
Evidence se hranijo na nosilcu podatkov, na katerem se lahko informacije shranijo tako, da lahko pristojni organ v prihodnosti do njih dostopa, ter v taki obliki in na tak način, da so izpolnjeni naslednji pogoji:
it allows IT or any other efficient exploitation when the analysis of the data cannot be easily carried out due to the volume and the nature of the data; and
pristojni organ ima možnost hitrega dostopa do evidenc in rekonstrukcije vseh ključnih faz obdelave vsakega posameznega posla;
the firm's arrangements comply with the record keeping requirements irrespective of the technology used.
vsi popravki ali druge spremembe ter vsebina evidenc pred takimi popravki ali spremembami se lahko enostavno ugotovijo;
Investment firms shall keep at least the records identified in Annex I to this Regulation depending upon the nature of their activities.
drugo prirejanje ali spreminjanje evidenc ni mogoče;
The list of records identified in Annex I to this Regulation is without prejudice to any other record-keeping obligations arising from other legislation.
omogoča računalniško ali kakršno koli drugo učinkovito obdelavo, če zaradi obsega in narave podatkov njihova analiza ni preprosta, in
Investment firms shall also keep records of any policies and procedures they are required to maintain pursuant to Directive 2014/65/EU, Regulation (EU) No 600/2014, Directive 2014/57/EU and Regulation (EU) No 596/2014 and their respective implementing measures in writing.
ureditve podjetja so v skladu z zahtevami glede vodenja evidenc ne glede na uporabljeno tehnologijo.
Competent authorities may require investment firms to keep additional records to the list identified in Annex I to this Regulation.
Investicijska podjetja vodijo vsaj evidence, določene v Prilogi I k tej uredbi, glede na naravo njihovih dejavnosti.
Article 73
Seznam evidenc v Prilogi I k tej uredbi ne posega v nobene druge obveznosti glede vodenja evidenc iz druge zakonodaje.
Record keeping of rights and obligations of the investment firm and the client
Investicijska podjetja vodijo tudi pisne evidence o vseh politikah in postopkih, ki jih morajo izvajati v skladu z Direktivo 2014/65/EU, Uredbo (EU) št. 600/2014, Direktivo 2014/57/EU in Uredbo (EU) št. 596/2014 ter njihovimi zadevnimi izvedbenimi ukrepi.
(Article 25(5) of Directive 2014/65/EU)
Pristojni organi lahko od investicijskih podjetij zahtevajo, da poleg evidenc iz seznama iz Priloge I k tej uredbi vodijo tudi dodatne evidence.
Records which set out the respective rights and obligations of the investment firm and the client under an agreement to provide services, or the terms on which the firm provides services to the client, shall be retained for at least the duration of the relationship with the client.
Člen 73
Article 74
Vodenje evidenc o pravicah in obveznostih investicijskega podjetja in stranke
Record keeping of client orders and decision to deal
(člen 25(5) Direktive 2014/65/EU)
An investment firm shall, in relation to every initial order received from a client and in relation to every initial decision to deal taken, immediately record and keep at the disposal of the competent authority at least the details set out in Section 1 of Annex IV to this Regulation to the extent they are applicable to the order or decision to deal in question.
Evidence, ki navajajo ustrezne pravice in obveznosti investicijskega podjetja in stranke na podlagi pogodbe o opravljanju storitev ali pogoje, pod katerimi podjetje opravlja storitve za stranko, se hranijo najmanj toliko časa, kolikor traja razmerje s stranko.
Where the details set out in Section 1 of Annex IV to this Regulation are also prescribed under Articles 25 and 26 of Regulation (EU) No 600/2014, these details should be maintained in a consistent way and according to the same standards prescribed under Articles 25 and 26 of Regulation (EU) No 600/2014.
Člen 74
Article 75
Vodenje evidenc o naročilih strank in odločitvah o trgovanju
Record keeping of transactions and order processing
Investicijsko podjetje v zvezi z vsakim začetnim naročilom, prejetim od stranke, ter v zvezi z vsako sprejeto začetno odločitvijo o trgovanju takoj evidentira vsaj podrobnosti iz oddelka 1 Priloge IV k tej uredbi, v kolikor so relevantne za zadevno naročilo ali odločitev o trgovanju, in omogočijo dostop do teh evidenc tudi pristojnemu organu.
Investment firms shall, immediately after receiving a client order or making a decision to deal to the extent they are applicable to the order or decision to deal in question, record and keep at the disposal of the competent authority at least the details set out in Section 2 of Annex IV.
Kadar so podrobnosti iz oddelka 1 Priloge IV k tej uredbi določene tudi na podlagi členov 25 in 26 Uredbe (EU) št. 600/2014, se morajo te podrobnosti voditi skladno z in ob upoštevanju istih standardov, kot so določeni s členoma 25 in 26 Uredbe (EU) št. 600/2014.
Where the details set out in Section 2 of Annex IV are also prescribed under Articles 25 and 26 of Regulation (EU) No 600/2014, they shall be maintained in a consistent way and according to the same standards prescribed under Articles 25 and 26 of Regulation (EU) No 600/2014.
Člen 75
Article 76
Vodenje evidenc o poslih in obdelavi naročil
Recording of telephone conversations or electronic communications
Investicijska podjetja takoj po prejemu naročila stranke ali sprejetju odločitve o trgovanju evidentirajo vsaj podrobnosti iz oddelka 2 Priloge IV, v kolikor so relevantne za zadevno naročilo ali odločitev o trgovanju, in omogočijo dostop do teh evidenc pristojnemu organu.
(Article 16(7) of Directive 2014/65/EU)
Kadar so podrobnosti iz oddelka 2 Priloge IV določene tudi na podlagi členov 25 in 26 Uredbe (EU) št. 600/2014, se morajo voditi skladno z in ob upoštevanju istih standardov, kot so določeni s členoma 25 in 26 Uredbe (EU) št. 600/2014.
Investment firms shall establish, implement and maintain an effective recording of telephone conversations and electronic communications policy, set out in writing, and appropriate to the size and organisation of the firm, and the nature, scale and complexity of its business.
Člen 76
The policy shall include the following content:
Snemanje telefonskih pogovorov ali elektronskih komunikacij
the identification of the telephone conversations and electronic communications, including relevant internal telephone conversations and electronic communications, that are subject to the recording requirements in accordance with Article 16(7) of Directive 2014/65/EU; and
(člen 16(7) Direktive 2014/65/EU)
the specification of the procedures to be followed and measures to be adopted to ensure the firm's compliance with the third and eighth subparagraphs of Article 16(7) of Directive 2014/65/EU where exceptional circumstances arise and the firm is unable to record the conversation/communication on devices issued, accepted or permitted by the firm.
Investicijska podjetja vzpostavijo, izvajajo in ohranjajo učinkovito politiko snemanja telefonskih pogovorov in elektronskih komunikacij, ki je v pisni obliki in je primerna glede na velikost in organizacijo podjetja ter naravo, obseg in kompleksnost njegovega poslovanja.
Evidence of such circumstances shall be retained and shall be accessible to competent authorities.
Politika vključuje naslednje:
Investment firms shall ensure that the management body has effective oversight and control over the policies and procedures relating to the firm's recording of telephone conversations and electronic communications.
identifikacijo telefonskih pogovorov in elektronskih komunikacij, vključno z relevantnimi internimi telefonskimi pogovori in elektronskimi komunikacijami, za katere veljajo zahteve glede snemanja iz člena 16(7) Direktive 2014/65/EU; in
Investment firms shall ensure that the arrangements to comply with recording requirements are technology-neutral.
opredelitev postopkov, ki jih je treba izvesti, in ukrepov, ki jih je treba sprejeti, da podjetje zagotovi izpolnjevanje tretjega in osmega pododstavka člena 16(7) Direktive 2014/65/EU, kadar pride do izjemnih okoliščin in podjetje ne more posneti pogovora/komunikacije na napravah, ki jih izda, sprejme ali dovoljuje.
Firms shall periodically evaluate the effectiveness of the firm's policies and procedures and adopt any such alternative or additional measures and procedures as are necessary and appropriate.
Dokazi o takih okoliščinah se obdržijo in so na voljo pristojnim organom.
At a minimum, such adoption of alternative or additional measures shall occur when a new medium of communication is accepted or permitted for use by the firm.
Investicijska podjetja zagotovijo, da ima upravljalni organ učinkovit pregled in nadzor nad politikami in postopki v zvezi s snemanjem telefonskih pogovorov in elektronskih komunikacij podjetja.
Investment firms shall keep and regularly update a record of those individuals who have firm devices or privately owned devices that have been approved for use by the firm.
Investicijska podjetja zagotovijo, da so ureditve za izpolnjevanje zahtev glede snemanja tehnološko nevtralne.
Investment firms shall educate and train employees in procedures governing the requirements in Article 16(7) of Directive 2014/65/EU.
Podjetja redno ocenjujejo učinkovitost svojih politik in postopkov ter sprejmejo vse alternativne ali dodatne ukrepe in postopke, ki so potrebni in ustrezni.
To monitor compliance with the recording and record-keeping requirements in accordance with Article 16(7) of Directive 2014/65/EU, investment firms shall periodically monitor the records of transactions and orders subject to these requirements, including relevant conversations.
Do takega sprejetja alternativnih ali dodatnih ukrepov pride vsaj, kadar podjetje sprejme ali dovoli uporabo novega komunikacijskega sredstva.
Such monitoring shall be risk based and proportionate.
Investicijska podjetja vodijo in redno posodabljajo evidence tistih posameznikov, ki posedujejo naprave podjetja ali lastne naprave, katerih uporabo je potrdilo podjetje.
Investment firms shall demonstrate the policies, procedures and management oversight of the recording rules to the relevant competent authorities upon request.
Investicijska podjetja informirajo in usposobijo zaposlene glede postopkov v zvezi z zahtevami iz člena 16(7) Direktive 2014/65/EU.
Before investment firms provide investment services and activities relating to the reception, transmission and execution of orders to new and existing clients, firms shall inform the client of the following:
Za spremljanje izpolnjevanja zahtev glede beleženja oz. snemanja in shranjevanja evidenc iz člena 16(7) Direktive 2014/65/EU investicijska podjetja redno spremljajo evidence poslov in naročil, za katere se uporabljajo te zahteve, vključno z relevantnimi pogovori.
that the conversations and communications are being recorded; and
Takšno spremljanje temelji na tveganju in je sorazmerno.
that a copy of the recording of such conversations with the client and communications with the client will be available on request for a period of five years and, where requested by the competent authority, for a period of up to seven years.
Investicijska podjetja pristojnim organom na zahtevo dokažejo obstoj politik, postopkov in nadzora vodstva v zvezi s pravili glede snemanja.
The information referred to in the first sub-paragraph shall be presented in the same language(s) as that used to provide investment services to clients.
Preden investicijska podjetja novim ali obstoječim strankam zagotovijo investicijske storitve in dejavnosti v zvezi s sprejemom, posredovanjem in izvršitvijo naročil, jih obvestijo o naslednjem:
Investment firms shall record in a durable medium all relevant information related to relevant face-to-face conversations with clients.
da se pogovori in komunikacije snemajo oz. beležijo in
The information recorded shall include at least the following:
da bo pet let oziroma, če to določi pristojni organ, do sedem let na zahtevo na voljo kopija takih posnetih oz. zabeleženih pogovorov in komunikacij s strankami.
date and time of meetings;
Informacije iz prvega pododstavka se predstavijo v istem jeziku ali jezikih, uporabljenih pri zagotavljanju investicijskih storitev strankam.
location of meetings;
Investicijska podjetja na trajnem nosilcu podatkov zabeležijo vse relevantne informacije, povezane z ustreznimi osebnimi pogovori s strankami.
identity of the attendees;
Zabeležene informacije vsebujejo najmanj naslednje:
initiator of the meetings; and
datum in čas sestankov;
relevant information about the client order including the price, volume, type of order and when it shall be transmitted or executed.
lokacijo sestankov;
Records shall be stored in a durable medium, which allows them to be replayed or copied and must be retained in a format that does not allow the original record to be altered or deleted.
identiteto udeležencev;
Records shall be stored in a medium so that they are readily accessible and available to clients on request.
pobudnika sestankov in
Firms shall ensure the quality, accuracy and completeness of the records of all telephone recordings and electronic communications.
relevantne informacije o naročilu stranke, kar vključuje ceno, obseg in vrsto naročila ter kdaj se bo naročilo posredovalo ali izvršilo.
The period of time for the retention of a record shall begin on the date when the record is created.
Posnetki se shranijo na trajnem nosilcu podatkov, kar omogoča, da se lahko ponovno predvajajo ali kopirajo, hraniti pa se morajo v obliki, ki ne dopušča spreminjanja ali izbrisa originalnega posnetka.
SECTION 9
Posnetki se shranijo na nosilcu podatkov, tako da so na zahtevo strank hitro dostopni in na voljo.
SME growth markets
Podjetja zagotovijo kakovost, natančnost in popolnost posnetkov vseh telefonskih pogovorov in elektronskih komunikacij.
Article 77
Obdobje hranjenja posnetka se začne na datum, ko je ta ustvarjen.
Qualification as an SME
ODDELEK 9
(Article 4(1)(13) of Directive 2014/65/EU)
Zagonski trgi MSP
An issuer whose shares have been admitted to trading for less than three years shall be deemed an SME for the purpose of point (a) of Article 33(3) of Directive 2014/65/EU where its market capitalisation is below EUR 200 million based on any of the following:
Člen 77
the closing share price of the first day of trading, if its shares have been admitted to trading for less than one year;
Pogoji za obravnavo kot MSP
the last closing share price of the first year of trading, if its shares have been admitted to trading for more than one year but less than two years;
(člen 4(1)(13) Direktive 2014/65/EU)
the average of the last closing share prices of each of the first two years of trading, if its shares have been admitted to trading for more than two years but less than three years.
Izdajatelj, katerega delnice so uvrščene v trgovanje manj kot tri leta, se obravnava kot MSP za namene točke (a) člena 33(3) Direktive 2014/65/EU, če je njegova tržna kapitalizacija nižja od 200 milijonov EUR na podlagi katerega koli od naslednjih parametrov:
An issuer which has no equity instrument traded on any trading venue shall be deemed an SME for the purpose of Article 4(1)(13) of Directive 2014/65/EU if, according to its last annual or consolidated accounts, it meets at least two of the following three criteria: an average number of employees during the financial year of less than 250, a total balance sheet not exceeding EUR 43000000 and an annual net turnover not exceeding EUR 50000000.
končne cene delnice na prvi trgovalni dan, če so njegove delnice uvrščene v trgovanje manj kot eno leto;
Article 78
zadnje končne cene delnice prvega leta trgovanja, če so njegove delnice uvrščene v trgovanje več kot eno leto, vendar manj kot dve leti;;
Registration as an SME growth market
povprečja zadnjih končnih cen delnic vsakega od prvih dveh let trgovanja, če so njegove delnice uvrščene v trgovanje več kot dve leti, vendar manj kot tri leta.
(Article 33(3) of Directive 2014/65/EU)
Izdajatelj, ki nima nobenega lastniškega instrumenta, s katerim se trguje na mestih trgovanja, se šteje za MSP za namene člena 4(1)(13) Direktive 2014/65/EU, če glede na zadnje letne ali konsolidirane računovodske izkaze izpolnjuje vsaj dve od naslednjih treh meril: ima v poslovnem letu povprečno manj kot 250 zaposlenih, njegova bilančna vsota ne presega 43000000 EUR, njegov letnih promet pa je nižji od 50000000 EUR.
When determining whether at least 50 % of the issuers admitted to trading on an MTF are SMEs for the purposes of registration as an SME growth market in accordance with point (a) of Article 33(3) of Directive 2014/65/EU, the competent authority of the home Member State of the operator of an MTF shall calculate the average ratio of SMEs over the total number of issuers whose financial instruments are admitted to trading on that market.
Člen 78
The average ratio shall be calculated on 31 December of the previous calendar year as the average of the twelve end-of-month ratios of that calendar year.
Registracija kot zagonski trg MSP
Without prejudice to the other conditions for registration specified in points (b) to (g) of Article 33(3) of Directive 2014/65/EU, the competent authority shall register as an SME growth market an applicant with no previous operating history and, after three calendar years have elapsed, shall verify that it complies with the minimum proportion of SMEs, as determined in accordance with the first subparagraph.
(člen 33(3) Direktive 2014/65/EU)
With regard to the criteria laid out in points (b), (c), (d) and (f) of Article 33(3) of Directive 2014/65/EU, the competent authority of the home Member State of the operator of an MTF shall not register the MTF as an SME growth market unless it is satisfied that the MTF:
Pri določanju, ali je vsaj 50 % izdajateljev, uvrščenih v trgovanje v okviru MTF, MSP za namene registracije MTF kot zagonskega trga MSP v skladu s točko (a) člena 33(3) Direktive 2014/65/EU, pristojni organ matične države članice upravljavca MTF izračuna povprečni delež MSP v skupnem številu izdajateljev, katerih finančni instrumenti so uvrščeni v trgovanje na navedenem trgu.
has established and applies rules providing for objective and transparent criteria for the initial and ongoing admission to trading of issuers on its venue;
Povprečni delež se izračuna na dan 31. decembra predhodnega koledarskega leta kot povprečje dvanajstih končnih mesečnih deležev navedenega koledarskega leta.
has an operating model which is appropriate for the performance of its functions and ensures the maintenance of fair and orderly trading in the financial instruments admitted to trading on its venue;
Brez poseganja v druge pogoje za registracijo, določene v točkah (b) do (g) člena 33(3) Direktive 2014/65/EU, pristojni organ registrira kot zagonski trg MSP vsakega prosilca, ki v preteklosti še ni opravljal dejavnosti, in po treh koledarskih letih preveri, ali ta izpolnjuje zahtevo glede najmanjšega deleža MSP, določenega v skladu s prvim pododstavkom.
has established and applies rules that require an issuer seeking admission of its financial instruments to trading on the MTF, to publish, in cases where Directive 2003/71/EC does not apply, an appropriate admission document, drawn up under the responsibility of the issuer and clearly stating whether or not it has been approved or reviewed and by whom;
Kar zadeva merila iz točk (b), (c), (d) in (f) člena 33(3) Direktive 2014/65/EU, pristojni organ matične države članice upravljavca MTF tega MTF ne registrira kot zagonski trg MSP, razen če se je prepričal, da MTF izpolnjuje naslednje pogoje:
has established and applies rules that define the minimum content of the admission document referred to under point (c), in such a way that sufficient information is provided to investors to enable them to make an informed assessment of the financial position and prospects of the issuer, and the rights attaching to its securities;
vzpostavil je in izvaja pravila, ki zagotavljajo nepristranska in pregledna merila za začetno in nadaljnjo uvrstitev v trgovanje izdajateljev na njegovem mestu trgovanja;
requires the issuer to state, in the admission document referred to under point (c), whether or not, in its opinion, its working capital is sufficient for its present requirements or, if not, how it proposes to provide the additional working capital needed;
ima model poslovanja, ki je primeren za izvajanje njegovih funkcij in nenehno zagotavlja pošteno in urejeno trgovanje s finančnimi instrumenti, uvrščenimi v trgovanje na njegovem mestu trgovanja;