natgillin/translations-raw huggingface dataset:
ESMA did not conduct public consultations on these draft regulatory technical standards as these relate to the exchange of information between competent authorities when cooperating in supervisory activities, on-the-spot verifications and investigations and this was considered disproportionate in relation to the scope and impact,
ESMA ni opravila javnega posvetovanja o osnutku tehničnih standardov, saj se ti standardi nanašajo na izmenjavo informacij med pristojnimi organi, ko sodelujejo pri nadzornih dejavnostih, preverjanjih na kraju samem in preiskavah, ter se je to zdelo nesorazmerno glede na področje uporabe in učinek –
The information to be exchanged between the competent authority to whom a request for cooperation is made (requested authority) and the competent authority who makes a request for cooperation (requesting authority) under Article 80 of Directive 2014/65/EU may concern the following entities:
Informacije, ki se izmenjujejo med pristojnim organom, kateremu je predložena zahteva za sodelovanje (zaprošeni organ), in pristojnim organom, ki je vložil zahtevo za sodelovanje (organ vlagatelj), v skladu s členom 80 Direktiva 2014/65/EU, se lahko nanašajo na naslednje subjekte:
an investment firm, a market operator or a data reporting service provider authorised in accordance with Directive 2014/65/EU;
investicijsko podjetje, upravljavca trga ali izvajalca storitev sporočanja podatkov, ki ima dovoljenje v skladu z Direktivo 2014/65/EU;
a credit institution authorised under Directive 2013/36/EU of the European Parliament and of the Council [3] providing investment services or performing investment activities;
kreditno institucijo z dovoljenjem v skladu z Direktivo 2013/36/EU Evropskega parlamenta in Sveta [3], ki zagotavlja investicijske storitve ali opravlja investicijske posle;
any other natural or legal person, or any unincorporated entity or association, not specified in points (a) and (b).
katero koli drugo fizično ali pravno osebo ali katero koli zasebno podjetje ali združenje, ki ni navedeno v točkah (a) in (b).
Information to be exchanged in relation to investment firms, market operators or data reporting service providers
Informacije, ki se izmenjajo v zvezi z investicijskimi podjetji, upravljavci trga ali izvajalci storitev sporočanja podatkov
Where a competent authority decides to request cooperation it may request the following information in relation to entities mentioned in point (a) of Article 1:
Kadar se pristojni organ odloči, da zahteva sodelovanje, lahko zahteva naslednje informacije v zvezi s subjekti iz točke (a) člena 1:
general information and documents relating to the constitution of the entities:
splošne informacije in dokumente, ki se nanašajo na ustanovitev subjektov:
information concerning the name of the entities, address of their head and/or registered office, contact details, the national identification number of the entity and excerpts from nationally held registers;
informacije o imenu subjektov, naslov njihovega sedeža in/ali registriranega sedeža, kontaktne podatke, nacionalno identifikacijsko številko subjekta in izvlečke iz nacionalnih registrov;
information concerning constitutional documents that the entities are required to have under their relevant national legislation;
informacije o ustavnih listinah, ki jih morajo imeti subjekti v skladu z ustrezno nacionalno zakonodajo;
information as specified in Article 7(4) of Directive 2014/65/EU relating to the authorisation process of an entity where such information is not present on the ESMA public register set-up pursuant to Article 8(1)(k) of Regulation (EU) No 1095/2010;
informacije iz člena 7(4) Direktive 2014/65/EU, ki se nanašajo na postopek izdaje dovoljenja subjektu, kadar takšne informacije niso prisotne v javnem registru ESMA, vzpostavljenem v skladu s členom 8(1)(k) Uredbe (EU) št. 1095/2010;
information relating to members of the management body, or persons effectively directing the business, of the entities, which have been provided as part of the authorisation process including:
informacije, ki se nanašajo na člane upravljalnega organa subjekta ali osebe, ki dejansko vodijo posle, in so bile predložene kot del postopka izdaje dovoljenja, vključno z:
their names, personal identification number (where available in that Member State), place of residence and contact details;
njihovimi imeni, osebno identifikacijsko številko (če je na voljo v zadevni državi članici), krajem prebivanja in kontaktnimi podatki;
information on the position to which such persons are appointed within the entity;
informacijami o položaju, na katerega se te osebe imenujejo znotraj subjekta;
an organisational chart of the management structure or identification of persons responsible for the activities carried out under Directive 2014/65/EU by the entity;
organigramom upravljavske strukture ali identifikacijo oseb, odgovornih za dejavnosti, ki jih subjekt izvaja v skladu z Direktivo 2014/65/EU;
information necessary to assess the suitability of members of the management body or persons effectively directing the business of the entities, including:
informacije, potrebne za oceno primernosti članov upravljalnega organa ali oseb, ki dejansko vodijo posle subjektov, vključno z:
information relating to the work experience;
informacijami, ki se nanašajo na delovne izkušnje;
information relating to the reputation of a member or person including:
informacijami, ki se nanašajo na ugled člana ali osebe, vključno z:
information on criminal records, or criminal investigations or proceedings, relevant civil and administrative cases, and disciplinary actions (including disqualification as a company director or bankruptcy, insolvency or similar procedures), through an official certificate if available, or through another equivalent document,
informacijami o kazenskih evidencah, kazenskih preiskavah ali postopkih, zadevnih civilnih in upravnih zadevah ter disciplinskih ukrepih (vključno s prepovedjo opravljanja funkcije direktorja podjetja ali stečajem, plačilno nesposobnostjo in podobnimi postopki) v obliki uradnega potrdila, če je na voljo, ali drugega enakovrednega dokumenta;
information on open investigations, enforcement proceedings, sanctions, or other enforcement decision against a person,
informacijami o odprtih preiskavah, postopkih izvršitve, sankcijah ali drugem sklepu o izvršitvi zoper osebo;
refusal of registration, authorisation, membership or licence to carry out a trade, business or profession; the withdrawal, revocation or termination of such a registration, authorisation, membership or licence, or exclusion by a regulatory or government body or by a professional body or association,
zavrnitvijo registracije, dovoljenja, članstva ali licence za opravljanje trgovske, poslovne ali poklicne dejavnosti; umikom, preklicem ali ukinitvijo takšne registracije, dovoljenja, članstva ali licence ali izključitvijo s strani regulativnega ali vladnega organa, poklicnega organa ali združenja;
dismissal from a position of employment or from a position of trust, fiduciary relationship or similar;
odpovedjo delovnega razmerja ali odstranitvijo z odgovornega položaja, prekinitvijo fiduciarnega razmerja ali podobno situacijo;
information on shareholders and members with qualifying holdings including:
informacije o delničarjih in članih s kvalificiranimi deleži, vključno s:
the list of persons with a qualifying holding;
seznamom oseb s kvalificiranim deležem;
for shareholders who are members of a corporate group, an organisational chart of the corporate group indicating the activities carried by each firm within the group and identifying any firms or individuals within the group operating under the provisions set out in Directive 2014/65/EU;
za delničarje, ki so člani skupine podjetij, organigramom skupine podjetij z navedbo dejavnosti, ki jih izvaja vsako podjetje v skupini, ter identifikacijo vsakega podjetja ali posameznika znotraj skupine, ki posluje v skladu z določbami iz Direktive 2014/65/EU;
information and documents necessary to assess their suitability;
informacijami in dokumenti, potrebnimi za oceno njihove primernosti;
information on the organisational structure, operating conditions and compliance with requirements set out in Directive 2014/65/EU including:
informacije o organizacijski strukturi, pogojih poslovanja in skladnosti z zahtevami, določenimi v Direktivi 2014/65/EU, vključno z:
information on compliance and risk management policies and procedures that are required under Directive 2014/65/EU in relation to entities and their tied agents;
informacijami o politikah in postopkih glede skladnosti in obvladovanja tveganja, ki se zahtevajo v skladu z Direktivo 2014/65/EU v zvezi s subjekti in njihovimi vezanimi zastopniki;
compliance records of the entities including information held by competent authorities;
evidencami subjektov o skladnosti, vključno z informacijami, s katerimi razpolagajo pristojni organi;
information on organisational and administrative arrangements designed to prevent conflicts of interest as defined in Article 23 of Directive 2014/65/EU;
informacijami o organizacijskih in upravnih ureditvah, oblikovanih za preprečevanje nasprotja interesov, kakor je opredeljeno v členu 23 Direktive 2014/65/EU;
in the case of investment firms which manufacture financial instruments for sale to clients, information on the process for the approval of each financial instrument including information on the target market and distribution strategy as well as information about its review policy arrangements;
v primeru investicijskih podjetij, ki pripravljajo finančne instrumente za prodajo strankam, informacijami o postopku za odobritev vsakega finančnega instrumenta, vključno z informacijami o ciljnem trgu in distribucijski strategiji ter informacijami o njegovih ureditvah glede politike pregleda;
with respect to investment firms, information relating to their obligations pursuant to Directive 97/9/EC of the European Parliament and of the Council [4];
v zvezi z investicijskimi podjetji, informacijami, ki se nanašajo na njihove obveznosti v skladu z Direktivo 97/9/ES Evropskega parlamenta in Sveta [4];
information that can be requested from investment firms in accordance with the activities and requirements specified in Article 16 of Directive 2014/65/EU;
informacijami, ki se lahko zahtevajo od investicijskih podjetij v skladu z dejavnostmi in zahtevami, določenimi v členu 16 Direktive 2014/65/EU;
information on the authorisation of investment firms granted in accordance with Articles 5 to 10 of Directive 2014/65/EU;
informacije o dovoljenju investicijskim podjetjem, izdanem v skladu s členi 5 do 10 Direktive 2014/65/EU;
information on the authorisation of regulated markets and data reporting service providers granted respectively in accordance with Articles 44, 45 and 46 as well as Articles 59 to 63 of Directive 2014/65/EU;
informacije o dovoljenju reguliranim trgom in izvajalcem storitev sporočanja podatkov, izdanem v skladu s členi 44, 45 in 46 ter členi 59 do 63 Direktive 2014/65/EU;
information on waivers granted or refused in relation to clients who may be treated as professionals on request as set out in Annex II of Directive 2014/65/EU;
informacije o opustitvah, odobrenih ali zavrnjenih v zvezi s strankami, ki se na zahtevo lahko obravnavajo kot profesionalne stranke, kot je določeno v Prilogi II k Direktivi 2014/65/EU;
information on sanctions and enforcement action imposed against the entities including:
informacije o sankcijah in izvršilnem ukrepu, uvedenih proti subjektom, vključno z:
information on sanctions levied against an entity, or against the member of the management body or persons effectively directing the business of the entity;
informacijami o sankcijah, naloženih subjektu, članu upravljalnega organa ali osebam, ki dejansko vodijo posle subjekta;
information relating to breaches by entities, or by the persons fulfilling management positions;
informacijami v zvezi s kršitvami subjektov ali oseb na vodstvenih položajih;
information on criminal records, criminal or administrative investigations or proceedings, relevant civil and administrative cases and disciplinary actions, through an official certificate if available, or another equivalent document;
informacijami o kazenskih evidencah, kazenskih ali upravnih preiskavah ali postopkih, zadevnih civilnih in upravnih zadevah ter disciplinskih ukrepih v obliki uradnega potrdila, če je na voljo, ali drugega enakovrednega dokumenta;
information related to the operational activities and relevant conduct and compliance history related to the subject of the request including:
informacije, ki se nanašajo na operativne dejavnosti ter ustrezno ravnanje in skladnost s predpisi v preteklosti glede predmeta zahtevka, vključno z:
information related to the business activities of an entity, in accordance with Directive 2014/65/EU;
informacijami v zvezi s poslovnimi dejavnostmi subjekta v skladu z Direktivo 2014/65/EU;
internal minutes or records kept by firms and branches for inspection by the relevant competent authority;
notranjimi zapisniki ali evidencami, ki jih vodijo podjetja in podružnice za preiskavo s strani zadevnega pristojnega organa;
any other information necessary for cooperating in supervisory activities, on-the-spot verifications or investigations referred to in Article 80(1) of Directive 2014/65/EU.
vse druge informacije, ki so potrebne za sodelovanje pri nadzornih dejavnostih, preverjanjih na kraju samem ali preiskavah iz člena 80(1) Direktiva 2014/65/EU.
Where a Member State requires that a third-country firm establishes a branch pursuant to Article 39(1) and (2) of Directive 2014/65/EU, the competent authority of another Member State may request from the authority competent for the supervision of that branch, information obtained from the home state authority in relation to the authorisation of the opening of the branch, including:
Kadar država članica zahteva, da podjetje iz tretje države ustanovi podružnico v skladu s členom 39(1) in (2) Direktive 2014/65/EU, lahko pristojni organ iz druge države članice zahteva od organa, pristojnega za nadzor nad zadevno podružnico, informacije, pridobljene od organa iz matične države v zvezi z dovoljenjem za odprtje podružnice, vključno z:
information relevant for monitoring compliance with Regulation (EU) No 600/2014 of the European Parliament and of the Council [5] or provisions and measures adopted for the transposition of Directive 2014/65/EU;
informacijami, pomembnimi za spremljanje skladnosti z Uredbo (EU) št. 600/2014 Evropskega parlamenta in Sveta [5], ali določbami in ukrepi, ki so bili sprejeti za prenos Direktive 2014/65/EU;
response of the third country investment firm's management body, or persons effectively directing the business of the entity, to questions from the competent authority.
odgovorom upravljalnega organa investicijskega podjetja iz tretje države ali subjektov, ki dejansko vodijo posle subjekta, na vprašanja pristojnega organa.
Information to be exchanged in relation to credit institutions
Informacije, ki se izmenjajo v zvezi s kreditnimi institucijami
Where a competent authority decides to request cooperation it may request the following information in relation to entities mentioned in point (b) of Article 1:
Kadar se pristojni organ odloči, da zahteva sodelovanje, lahko zahteva naslednje informacije v zvezi s subjekti iz točke (b) člena 1:
information referred to in points (a), (f), (i) and (j) of Article 2(1);
informacije iz točk (a), (f), (i) in (j) člena 2(1);
any further information relevant for monitoring credit institutions' compliance with Regulation (EU) No 600/2014 or provisions and measures adopted for the transposition of Directive 2014/65/EU;
vse dodatne informacije, ki so pomembne za spremljanje, kako kreditne institucije upoštevajo Uredbo (EU) št. 600/2014 ali določbe in ukrepe, sprejete za prenos Direktive 2014/65/EU;
Information to be exchanged in relation to persons referred to in point (c) of Article 1
Informacije, ki jih je treba izmenjati v zvezi z osebami iz točke (c) člena 1
Where a competent authority decides to request cooperation in relation to natural persons referred to in point (c) of Article 1 it may request at least the person's name, date and place of birth, personal national identification number, address, and contact details.
Kadar se pristojni organ odloči, da zahteva sodelovanje v zvezi s fizičnimi osebami iz točke (c) člena 1, lahko zahteva vsaj ime, datum in kraj rojstva, osebno nacionalno identifikacijsko številko, naslov in kontaktne podatke osebe.
In relation to legal persons, or any unincorporated entity or association, referred to in point (c) of Article 1, a competent authority may also request at least documents certifying the business name and registered address of its head office, and postal address if different, contact details and its national identification number; registration of legal form in accordance with relevant national legislation; a complete list of persons who effectively direct the business, their name, date and place of birth, address, contact details, their national identification number.
V zvezi s pravnimi osebami ali katerim koli zasebnim podjetjem ali združenjem iz točke (c) člena 1 lahko pristojni organ tudi zahteva vsaj dokumente, ki potrjujejo ime podjetja ter registriran naslov njegovega sedeža in poštni naslov, če je drugačen, kontaktne podatke in njegovo nacionalno identifikacijsko številko; registracijo pravne oblike v skladu z ustrezno nacionalno zakonodajo; popoln seznam oseb, ki dejansko vodijo posle, njihovo ime, datum in kraj rojstva, naslov, kontaktne podatke, njihovo nacionalno identifikacijsko številko.
In addition, competent authorities may request the following information to be exchanged in relation to persons providing investment services or activities without the required authorisation or registration in accordance with Directive 2014/65/EU:
Poleg tega lahko pristojni organi zahtevajo, da se izmenjajo naslednje informacije v zvezi z osebami, ki opravljajo investicijske storitve ali posle brez potrebnega dovoljenja ali registracije v skladu z Direktivo 2014/65/EU:
details of the investment services and activities that are being provided;
podrobnosti o investicijskih storitvah in poslih, ki se opravljajo;
details of any persons known to have been contacted by the individual or legal person in relation to the provision of investment services or the performance of investment activities without the required authorisation or registration.
podrobnosti o vseh osebah, za katere je znano, da se je na njih obrnila fizična ali pravna oseba v zvezi z zagotavljanjem investicijskih storitev ali opravljanjem investicijskih poslov brez potrebnega dovoljenja ali registracije.
In any case, competent authorities may request information in relation to persons referred to in point (c) of Article 1 obtained in accordance with, and relevant for monitoring compliance with Regulation (EU) No 600/2014 or provisions adopted in implementation of Directive 2014/65/EU or may request any other information necessary for cooperating in supervisory activities, on-the-spot verifications or investigations, referred to in Article 80(1) of Directive 2014/65/EU.
V vsakem primeru lahko pristojni organi zaprosijo za informacije v zvezi z osebami iz točke (c) člena 1, ki so bile pridobljene v skladu z Uredbo (EU) št. 600/2014 in so pomembne za spremljanje skladnosti s to uredbo ali določbami, sprejetimi pri izvajanju Direktive 2014/65/EU, ali lahko zahtevajo katere koli druge informacije, potrebne za sodelovanje pri nadzornih dejavnostih, preverjanjih na kraju samem ali preiskavah iz člena 80(1) Direktive 2014/65/EU.
Done at Brussels, 14 July 2016.
V Bruslju, 14. julija 2016
84).
Direktiva 2013/36/EU Evropskega parlamenta in Sveta z dne 26. junija 2013 o dostopu do dejavnosti kreditnih institucij in bonitetnem nadzoru kreditnih institucij in investicijskih podjetij, spremembi Direktive 2002/87/ES in razveljavitvi direktiv 2006/48/ES in 2006/49/ES (UL L 176, 27.6.2013, str.
supplementing Regulation (EU) No 600/2014 of the European Parliament and of the Council on markets in financial instruments with regard to regulatory technical standards on transparency requirements for trading venues and investment firms in respect of shares, depositary receipts, exchange-traded funds, certificates and other similar financial instruments and on transaction execution obligations in respect of certain shares on a trading venue or by a systematic internaliser
o dopolnitvi Uredbe (EU) št. 600/2014 Evropskega parlamenta in Sveta o trgih finančnih instrumentov v zvezi z regulativnimi tehničnimi standardi o zahtevah po preglednosti za mesta trgovanja in investicijska podjetja v zvezi z delnicami, potrdili o lastništvu, investicijskimi skladi, s katerimi se trguje na borzi, certifikati in drugimi podobnimi instrumenti ter o obveznostih glede izvrševanja poslov z določenimi delnicami na mestu trgovanja ali s strani sistematičnega internalizatorja
Having regard to 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 [1], and in particular Article 4(6), Article 7(2), Article 14(7), Article 20(3), Article 22(4) and Article 23(3) thereof,
ob upoštevanju Uredbe (EU) št. 600/2014 Evropskega parlamenta in Sveta z dne 15. maja 2014 o trgih finančnih instrumentov in spremembi Uredbe (EU) št. 648/2012 [1] in zlasti členov 4(6), 7(2), 14(7), 20(3), 22(4) in 23(3) Uredbe,
A high degree of transparency is essential to ensure that investors are adequately informed as to the true level of actual and potential transactions in shares, depositary receipts, exchange-traded funds (ETFs), certificates and other similar financial instruments irrespective of whether those transactions take place on regulated markets, multilateral trading facilities (MTFs), and by systematic internalisers, or outside those facilities.
Visoka stopnja preglednosti je ključna za zagotavljanje, da so vlagatelji ustrezno obveščeni o resnični ravni dejanskih in potencialnih poslov z delnicami, potrdili o lastništvu, investicijskimi skladi, s katerimi se trguje na borzi, certifikati in drugimi podobnimi finančnimi instrumenti ne glede na to, ali se navedeni posli izvajajo na reguliranih trgih in v večstranskih sistemih trgovanja ali jih izvajajo sistematični internalizatorji in ali se izvajajo zunaj navedenih sistemov.
This high degree of transparency should also ensure that the price discovery process in respect of particular financial instruments traded on different trading venues is not impaired by the fragmentation of liquidity, and investors are not thereby penalised.
Visoka stopnja preglednosti bi morala zagotavljati tudi, da postopka oblikovanja cen za posamezne finančne instrumente, s katerimi se trguje na različnih mestih trgovanja, ne ovira drobitev likvidnosti in da vlagatelji zato niso oškodovani.
At the same time, it is essential to recognise that there may be circumstances where exemptions from pre-trade transparency or deferrals from post-trade transparency obligations should be provided to avoid the impairment of liquidity as an unintended consequence of obligations to disclose orders and transactions and thereby to make public risk positions.
Obenem je nujno treba priznati, da bi bilo treba v nekaterih okoliščinah zagotoviti izvzetje iz obveznosti glede preglednosti pred trgovanjem ali odlog obveznosti glede preglednosti po trgovanju za preprečitev, da bi obveznosti glede razkritja naročil in poslov nenamerno škodovale likvidnosti ter da bi se s tem objavila tveganost pozicij.
Therefore, it is appropriate to specify the precise circumstances under which waivers from pre-trade transparency and deferrals from post-trade transparency may be granted.
Zato je ustrezno, da se opredelijo točne okoliščine, v katerih se lahko odobrijo opustitve obveznosti glede preglednosti pred trgovanjem in odlogi obveznosti glede preglednosti po trgovanju.