natgillin/translations-raw huggingface dataset:
the capacity in which the order is placed or the transaction is executed;
vloga, v kateri se izda naročilo ali izvede posel;
the types of clients concerned;
vrste zadevnih strank;
whether the orders were placed or transactions executed on or outside a trading venue.
to, ali so bila naročila oddana ali posli izvedeni na mestu trgovanja ali zunaj njega.
Market operators and investment firms operating a trading venue shall establish and maintain arrangements, systems and procedures that ensure:
Upravljavci trga in investicijska podjetja, ki upravljajo mesto trgovanja, vzpostavijo in vzdržujejo ureditve, sisteme in postopke, ki zagotavljajo:
effective and ongoing monitoring, for the purposes of preventing, detecting and identifying insider dealing, market manipulation and attempted insider dealing and market manipulation, of all orders received and all transactions executed;
učinkovito in redno spremljanje za namene preprečevanja, odkrivanja in prepoznavanja trgovanja z notranjimi informacijami, tržne manipulacije ter poskusa trgovanja z notranjimi informacijami in tržne manipulacije, med vsemi prejetimi naročili in vsemi izvedenimi posli;
The obligations referred to in paragraph 3 shall apply to orders and transactions relating to any financial instrument and shall apply irrespective of:
Obveznosti iz odstavka 3 se uporabljajo za naročila in posle v zvezi s katerim koli finančnim instrumentom in ne glede na:
the types of clients concerned.
vrste zadevnih strank.
Persons professionally arranging or executing transactions, market operators and investment firms operating a trading venue shall ensure that the arrangements, systems and procedures referred to in paragraphs 1 and 3:
Osebe, ki se v okviru svojega poklica dogovarjajo za posle ali jih izvajajo, upravljavci trga in investicijska podjetja, ki upravljajo mesto trgovanja, zagotavljajo, da so ureditve, sistemi in postopki iz odstavkov 1 in 3:
are appropriate and proportionate in relation to the scale, size and nature of their business activity;
ustrezni in sorazmerni glede na obseg, velikost in naravo njihove poslovne dejavnosti;
are regularly assessed, at least through an annually conducted audit and internal review, and updated when necessary;
se redno ocenjujejo, vsaj z izvedbo letne revizije in notranjega pregleda, in po potrebi posodobijo;
are clearly documented in writing, including any changes or updates to them, for the purposes of complying with this Regulation, and that the documented information is maintained for a period of five years.
so jasno dokumentirani v pisni obliki, vključno z vsemi spremembami ali posodobitvami, za namene skladnosti s to uredbo in da se dokumentirane informacije hranijo pet let.
The persons referred to in the first subparagraph shall, upon request, provide the competent authority with the information referred to in point (b) and (c) of that subparagraph.
Osebe iz prvega pododstavka na zahtevo pristojnemu organu predložijo informacije iz točk (b) in (c) navedenega pododstavka.
Prevention, monitoring and detection
Preprečevanje, spremljanje in odkrivanje
The arrangements, systems and procedures referred to in Article 2(1) and (3) shall:
Ureditve, sistemi in postopki iz člena 2(1) in (3):
allow for the analysis, individually and comparatively, of each and every transaction executed and order placed, modified, cancelled or rejected in the systems of the trading venue and, in the case of persons professionally arranging or executing transactions, also outside a trading venue;
omogočajo posamezno in primerjalno analizo za vsak izveden posel in oddano, spremenjeno, preklicano ali zavrnjeno naročilo v sistemih mesta trgovanja, v primeru oseb, ki se v okviru svojega poklica dogovarjajo za posle ali jih izvajajo, pa tudi zunaj mesta trgovanja;
produce alerts indicating activities requiring further analysis for the purposes of detecting potential insider dealing or market manipulation or attempted insider dealing or market manipulation;
ustvarjajo opozorila glede dejavnosti, ki zahtevajo nadaljnjo analizo za namene odkrivanja morebitnega trgovanja z notranjimi informacijami ali tržne manipulacije ali poskusa trgovanja z notranjimi informacijami ali tržne manipulacije;
cover the full range of trading activities undertaken by the persons concerned.
zajemajo vse trgovalne dejavnosti, ki jih izvajajo zadevne osebe.
Persons professionally executing or arranging transactions and market operators and investment firms operating trading venues shall, upon request, provide the competent authority with the information to demonstrate the appropriateness and proportionality of their systems in relation to the scale, size and nature of their business activity, including the information on the level of automation put in place in such systems.
Osebe, ki v okviru svojega poklica izvajajo posle ali se zanje dogovarjajo, in upravljavci trga in investicijska podjetja, ki upravljajo mesta trgovanja, na zahtevo pristojnemu organu predložijo informacije, ki dokazujejo primernost in sorazmernost njihovih sistemov glede na obseg, velikost in naravo njihove poslovne dejavnosti, vključno z informacijo o stopnji avtomatizacije takih sistemov.
Market operators and investment firms operating trading venues shall, to a degree which is appropriate and proportionate in relation to the scale, size and nature of their business activity, employ software systems and have in place procedures which assist the prevention and detection of insider dealing, market manipulation or attempted insider dealing or market manipulation.
Upravljavci trga in investicijska podjetja, ki upravljajo mesta trgovanja, v obsegu, ki je primeren in sorazmeren glede na obseg, velikost in naravo njihove poslovne dejavnosti, uporabljajo programsko opremo in imajo vzpostavljene postopke, ki podpirajo preprečevanje in odkrivanje trgovanja z notranjimi informacijami, tržne manipulacije ali poskusa trgovanja z notranjimi informacijami ali tržne manipulacije.
The systems and procedures referred to in the first subparagraph shall include software capable of deferred automated reading, replaying and analysis of order book data, and such software shall have sufficient capacity to operate in an algorithmic trading environment.
Sistemi in postopki iz prvega pododstavka vključujejo programsko opremo za odloženo avtomatsko odčitavanje, ponovno predvajanje in analizo podatkov iz knjige naročil, pri čemer ima takšna programska oprema zadostno zmogljivost za delovanje v okolju algoritemskega trgovanja.
Persons professionally arranging or executing transactions and market operators and investment firms operating a trading venue shall put in place and maintain arrangements and procedures that ensure an appropriate level of human analysis in the monitoring, detection and identification of transactions and orders that could constitute insider dealing, market manipulation or attempted insider dealing or market manipulation.
Osebe, ki se v okviru svojega poklica dogovarjajo za posle ali jih izvajajo, ter upravljavci trga in investicijska podjetja, ki upravljajo mesto trgovanja, vzpostavijo in vzdržujejo ureditve in postopke, ki zagotavljajo ustrezno raven analiz, ki jih opravi človek, pri spremljanju, odkrivanju in prepoznavanju poslov in naročil, ki bi lahko pomenili trgovanje z notranjimi informacijami, tržno manipulacijo ali poskus trgovanja z notranjimi informacijami ali tržne manipulacije.
Market operators and investment firms operating a trading venue shall put in place and maintain arrangements and procedures that ensure an appropriate level of human analysis also in the prevention of insider dealing, market manipulation or attempted insider dealing or market manipulation.
Upravljavci trga in investicijska podjetja, ki upravljajo mesto trgovanja, vzpostavijo in vzdržujejo ureditve in postopke, ki zagotavljajo ustrezno raven analiz, ki jih opravi človek, tudi pri preprečevanju trgovanja z notranjimi informacijami, tržne manipulacije ali poskusa trgovanja z notranjimi informacijami ali tržne manipulacije.
A person professionally arranging or executing transactions shall have the right, by a written agreement, to delegate to a legal person forming part of the same group the performance of the functions of monitoring, detection and identification of orders and transactions that could constitute insider dealing, market manipulation or attempted insider dealing or market manipulation.
Oseba, ki se v okviru svojega poklica dogovarja za posle ali jih izvaja, ima pravico, da s pisnim dogovorom na pravno osebo, ki je del iste skupine, prenese opravljanje nalog spremljanja, odkrivanja in prepoznavanja naročil in poslov, ki bi lahko pomenili trgovanje z notranjimi informacijami, tržno manipulacijo ali poskus trgovanja z notranjimi informacijami ali tržne manipulacije.
The person delegating those functions shall remain fully responsible for discharging all of its obligations under this Regulation and Article 16 of Regulation (EU) No 596/2014 and shall ensure the arrangement is clearly documented and the tasks and responsibilities are assigned and agreed, including the duration of the delegation.
Oseba, ki prenese navedene naloge, je še vedno v celoti odgovorna za izvajanje vseh svojih obveznosti v skladu s to uredbo in členom 16 Uredbe (EU) št. 596/2014 ter zagotovi, da je ureditev jasno dokumentirana ter da so naloge in odgovornosti določene in dogovorjene, vključno s trajanjem prenosa pooblastil.
A person professionally arranging or executing transactions may, by written agreement, delegate the performance of data analysis, including order and transaction data, and the generation of alerts necessary for such person to conduct monitoring, detection and identification of orders and transactions that could constitute insider dealing, market manipulation or attempted insider dealing or market manipulation to a third party (‘provider’).
Oseba, ki se v okviru svojega poklica dogovarja za posle ali jih izvaja, lahko s pisnim dogovorom prenese izvajanje analize podatkov, vključno s podatki o naročilih in poslih, ter ustvarjanje opozoril, ki jih taka oseba potrebuje za spremljanje, odkrivanje in prepoznavanje naročil in poslov, ki bi lahko pomenili trgovanje z notranjimi informacijami, tržno manipulacijo ali poskus trgovanja z notranjimi informacijami ali tržne manipulacije, na tretjo osebo (v nadaljnjem besedilu: izvajalec).
The person delegating those functions shall remain fully responsible for discharging all of its obligations under this Regulation and Article 16 of Regulation (EU) No 596/2014 and shall comply at all times with the following conditions:
Oseba, ki prenese navedene naloge, je še vedno v celoti odgovorna za izvajanje vseh svojih obveznosti v skladu s to uredbo in členom 16 Uredbe (EU) št. 596/2014 ter ves čas izpolnjuje naslednje pogoje:
it shall retain the expertise and resources necessary for evaluating the quality of the services provided and the organisational adequacy of the providers, for supervising the delegated services and for the management of the risks associated with the delegation of those functions on an ongoing basis;
ohrani strokovno znanje in sredstva, potrebna za ocenjevanje kakovosti opravljenih storitev ter organizacijske ustreznosti izvajalcev, za nadzorovanje prenesenih storitev in redno obvladovanje tveganj, povezanih s prenosom zadevnih nalog;
it shall have direct access to all the relevant information regarding the data analysis and the generation of alerts.
ima neposreden dostop do vseh relevantnih informacij v zvezi z analizo podatkov in ustvarjanjem opozoril.
The written agreement shall contain the description of the rights and obligations of the person delegating the functions referred to in the first subparagraph and those of the provider.
Pisni dogovor vsebuje opis pravic in obveznosti osebe, ki prenese naloge iz prvega pododstavka, in izvajalca.
It shall also set out the grounds that allow the person delegating the functions to terminate such agreement.
Poleg tega določa razloge, na podlagi katerih lahko oseba, ki prenese naloge, prekine tak dogovor.
As part of the arrangements and procedures referred to in Article 2(1) and (3), persons professionally arranging or executing transactions and market operators and investment firms operating a trading venue shall maintain for a period of five years the information documenting the analysis carried out with regard to orders and transactions that could constitute insider dealing, market manipulation or attempted insider dealing or market manipulation which have been examined and the reasons for submitting or not submitting a STOR.
Kot del ureditev in postopkov iz člena 2(1) in (3), osebe, ki se v okviru svojega poklica dogovarjajo za posle ali jih izvajajo, ter upravljavci trga in investicijska podjetja, ki upravljajo mesto trgovanja, pet let hranijo informacije o analizah, opravljenih v zvezi z naročili in posli, ki bi lahko pomenili trgovanje z notranjimi informacijami, tržno manipulacijo ali poskus trgovanja z notranjimi informacijami ali tržne manipulacije in ki so bili predmet preiskave, ter razloge za predložitev ali nepredložitev poročila o sumljivem poslu in naročilu.
That information shall be provided to the competent authority upon request.
Te informacije se predložijo pristojnemu organu na zahtevo.
The persons referred to in the first subparagraph shall ensure that the arrangements and procedures referred to in Article 2(1) and (3) guarantee and maintain the confidentiality of the information referred to in the first subparagraph.
Osebe iz prvega pododstavka zagotovijo, da ureditve in postopki iz člena 2(1) in (3) zagotavljajo in ohranjajo zaupnost informacij iz prvega pododstavka.
Persons professionally arranging or executing transactions and market operators and investment firms operating a trading venue shall organise and provide effective and comprehensive training to the staff involved in the monitoring, detection and identification of orders and transactions that could constitute insider dealing, market manipulation or attempted insider dealing or market manipulation, including the staff involved in the processing of orders and transactions.
Osebe, ki se v okviru svojega poklica dogovarjajo za posle ali jih izvajajo, in upravljavci trga in investicijska podjetja, ki upravljajo mesto trgovanja, organizirajo in zagotovijo učinkovito in celovito usposabljanje za zaposlene, ki se ukvarjajo s spremljanjem, odkrivanjem in prepoznavanjem naročil in poslov, ki bi lahko pomenili trgovanje z notranjimi informacijami, tržno manipulacijo ali poskus trgovanja z notranjimi informacijami ali tržne manipulacije, vključno z zaposlenimi, ki se ukvarjajo z obdelavo naročil in poslov.
Such training shall take place on a regular basis and shall be appropriate and proportionate in relation to the scale, size and nature of the business.
Tako usposabljanje se izvaja redno ter je primerno in sorazmerno glede na obseg, velikost in naravo poslovne dejavnosti.
Market operators and investment firms operating a trading venue shall in addition provide the training referred to in paragraph 1 to staff involved in the prevention of insider dealing, market manipulation or attempted insider dealing or market manipulation.
Upravljavci trga in investicijska podjetja, ki upravljajo mesto trgovanja, poleg tega zagotovijo usposabljanje iz odstavka 1 zaposlenim, ki se ukvarjajo s preprečevanjem trgovanja z notranjimi informacijami, tržne manipulacije ali poskusa trgovanja z notranjimi informacijami ali tržne manipulacije.
Reporting obligations
Obveznosti glede poročanja
Persons professionally arranging or executing transactions and market operators and investment firms operating a trading venue shall establish and maintain effective arrangements, systems and procedures that enable them to assess, for the purpose of submitting a STOR, whether an order or transaction could constitute insider dealing, market manipulation or attempted insider dealing or market manipulation.
Osebe, ki se v okviru svojega poklica dogovarjajo za posle ali jih izvajajo, in upravljavci trga in investicijska podjetja, ki upravljajo mesto trgovanja, vzpostavijo in vzdržujejo učinkovite ureditve, sisteme in postopke, ki jim omogočajo, da za namene predložitve poročila o sumljivem poslu in naročilu ocenijo, ali bi lahko posel ali naročilo pomenila trgovanje z notranjimi informacijami, tržno manipulacijo ali poskus trgovanja z notranjimi informacijami ali tržne manipulacije.
Those arrangements, systems and procedures shall take due account of the elements constituting the actual or attempted insider dealing or market manipulation under Articles 8 and 12 of Regulation (EU) No 596/2014 and of the non-exhaustive indicators of market manipulation referred to in Annex I to that Regulation, as further specified in the Commission Delegated Regulation (EU) 2016/522 [6].
Te ureditve, sistemi in postopki ustrezno upoštevajo elemente, ki tvorijo dejansko trgovanje z notranjimi informacijami ali tržno manipulacijo ali poskus navedenega v skladu s členoma 8 in 12 Uredbe (EU) št. 596/2014, ter neizčrpne kazalnike tržne manipulacije iz Priloge I k navedeni uredbi, kakor so podrobneje določeni v Delegirani uredbi Komisije (EU) 2016/522 [6].
All persons referred to in paragraph 1 and involved in the processing of the same order or transaction shall be responsible for assessing whether to submit a STOR.
Vse osebe iz odstavka 1, ki sodelujejo pri obdelavi istega naročila ali posla, so odgovorne za oceno, ali naj se predloži poročilo o sumljivem poslu in naročilu.
Persons referred to in paragraph 1 shall ensure that information submitted as part of a STOR is based on facts and analysis, taking into account all information available to them.
Osebe iz odstavka 1 zagotovijo, da informacije, predložene v okviru poročila o sumljivem poslu in naročilu, temeljijo na dejstvih in analizi ter da se upoštevajo vse informacije, ki so jim na voljo.
Persons referred to in paragraph 1 shall have in place procedures to ensure that the person in respect of which the STOR was submitted and anyone who is not required to know about the submission of a STOR by virtue of their function or position within the reporting person, is not informed of the fact that a STOR has been or will or is intended to be submitted to the competent authority.
Osebe iz odstavka 1 imajo vzpostavljene postopke za zagotovitev, da oseba, v zvezi s katero je bilo predloženo poročilo o sumljivem poslu in naročilu, ter osebe, katerih zaradi njihove funkcije ali položaja pri osebi, ki poroča, ni treba seznaniti s predložitvijo poročila o sumljivem poslu in naročilu, niso obveščene o dejstvu, da je bilo poročilo o sumljivem poslu in naročilu predloženo ali bo predloženo ali naj bi bilo predloženo pristojnemu organu.
The persons referred to in paragraph 1 shall complete the STOR without informing the person in respect of which the STOR was submitted, or anyone who is not required to know, that a STOR will be submitted, including through requests of information relating to the person in respect of which the STOR was submitted in order to complete certain fields.
Osebe iz odstavka 1 izpolnijo poročilo o sumljivem poslu in naročilu, ne da bi o tem obvestile osebo, v zvezi s katero je bilo predloženo poročilo o sumljivem poslu in naročilu, ali osebe, ki jih ni treba seznaniti s tem, da bo predloženo poročilo o sumljivem poslu in naročilu, vključno z zahtevki za informacije v zvezi z osebo, v zvezi s katero je bilo predloženo poročilo o sumljivem poslu in naročilu, da se lahko izpolnijo določena polja.
Timing of STORs
Čas predložitve poročil o sumljivem poslu in naročilu
Persons professionally arranging or executing transactions and market operators and investment firms operating a trading venue shall ensure that they have in place effective arrangements, systems and procedures for the submission of a STOR without delay, in accordance with Article 16(1) and (2) of Regulation (EU) No 596/2014, once reasonable suspicion of actual or attempted insider dealing or market manipulation is formed.
Osebe, ki se v okviru svojega poklica dogovarjajo za posle ali jih izvajajo, in upravljavci trga in investicijska podjetja, ki upravljajo mesto trgovanja, zagotovijo, da imajo vzpostavljene učinkovite ureditve, sisteme in postopke za predložitev poročila o sumljivem poslu in naročilu brez odlašanja v skladu s členom 16(1) in (2) Uredbe (EU) št. 596/2014 po tem, ko se pojavi utemeljen sum dejanskega trgovanja z notranjimi informacijami ali tržne manipulacije ali poskusa navedenega.
The arrangements, systems and procedures referred to in paragraph 1 shall entail the possibility to report STORs in relation to transactions and orders which occurred in the past, where suspicion has arisen in the light of subsequent events or information.
Ureditve, sistemi in postopki iz odstavka 1 vključujejo možnost predložitve poročil o sumljivem poslu in naročilu v zvezi s posli in naročili, ki so bila izvedena v preteklosti, kadar se sum pojavi zaradi poznejših dogodkov ali informacij.
In such cases, the person professionally arranging or executing transactions and the market operator and investment firm operating a trading venue shall explain in the STOR to the competent authority the delay between the suspected breach and the submission of the STOR according to the specific circumstances of the case.
V teh primerih oseba, ki se v okviru svojega poklica dogovarja za posle ali jih izvaja, in upravljavec trga in investicijsko podjetje, ki upravlja mesto trgovanja, pristojnemu organu v poročilu o sumljivem poslu in naročilu pojasnijo časovno razliko med domnevno kršitvijo in predložitvijo poročila o sumljivem poslu in naročilu glede na specifične okoliščine zadevnega primera.
Persons professionally arranging or executing transactions and market operators and investment firms operating a trading venue shall submit to the competent authority any relevant additional information which they become aware of after the STOR has been originally submitted, and shall provide any information or document requested by the competent authority.
Osebe, ki se v okviru svojega poklica dogovarjajo za posle ali jih izvajajo, in upravljavci trga in investicijska podjetja, ki upravljajo mesto trgovanja, pristojnemu organu predložijo vse ustrezne dodatne informacije, ki jih izvejo po prvotni predložitvi poročila o sumljivem poslu in naročilu, ter zagotovijo vse informacije ali dokumente, ki jih zahteva pristojni organ.
Content of STORs
Vsebina poročil o sumljivem poslu in naročilu
Persons professionally arranging or executing transactions and market operators and investment firms operating a trading venue shall submit a STOR using the template set out in the Annex.
Osebe, ki se v okviru svojega poklica dogovarjajo za posle ali jih izvajajo, in upravljavci trga in investicijska podjetja, ki upravljajo mesto trgovanja, za predložitev poročila o sumljivem poslu in naročilu uporabijo predlogo iz Priloge.
The persons referred to in paragraph 1 submitting the STOR shall complete the information fields relevant to the reported orders or transactions in a clear and accurate manner.
Osebe iz odstavka 1, ki predložijo poročilo o sumljivem poslu in naročilu, jasno in natančno izpolnijo polja z informacijami, ki zadevajo naročila ali posle, o katerih se poroča.
The STOR shall contain at the least the following information:
Poročilo o sumljivem poslu in naročilu vsebuje vsaj naslednje informacije:
identification of the person submitting the STOR and, in the case of persons professionally arranging or executing transactions, also the capacity in which the person submitting the STOR operates, in particular when dealing on own account or executing orders on behalf of third parties;
identifikacijo osebe, ki predloži poročilo o sumljivem poslu in naročilu, v primeru oseb, ki se v okviru svojega poklica dogovarjajo za posle ali jih izvajajo, pa tudi v kateri vlogi deluje oseba, ki predloži poročilo o sumljivem poslu in naročilu, zlasti če posluje za svoj račun ali izvaja naročila v imenu tretjih oseb;
description of the order or transaction, including:
opis naročila ali posla, ki vključuje:
the type of order and the type of trading, in particular block trades, and where the activity occurred,
vrsto naročila in vrsto trgovanja, zlasti posle s svežnji, in kje je bila dejavnost opravljena;
price and volume;
ceno in obseg;