natgillin/translations-raw huggingface dataset:
receive or may receive from any person other than a client, in relation to the service provided to a client, an incentive in the form of money, goods or services, other than commission or fees received for the service.
izvajalec storitev sporočanja podatkov prejme ali lahko prejme spodbudo v obliki denarja, blaga ali storitev, ki ni opravnina ali nadomestilo, prejeto za storitev, od katere koli osebe, ki ni stranka, za storitev, zagotovljeno stranki.
Organisational requirements regarding outsourcing
Organizacijske zahteve za zunanje izvajanje
Where a data reporting services provider arranges for activities to be performed on its behalf by third parties, including undertakings with which it has close links, it shall ensure that the third party service provider has the ability and the capacity, to perform the activities reliably and professionally.
Če se izvajalec storitev sporočanja podatkov dogovori, da bodo dejavnosti v njegovem imenu izvajale tretje osebe, vključno s podjetji, s katerimi je tesno povezan, zagotovi, da ima tretja oseba, ki izvaja storitve, zmožnosti in zmogljivosti za zanesljivo in strokovno opravljanje storitev.
A data reporting services provider shall specify which of the activities are to be outsourced, including a specification of the level of human and technical resources needed to carry out each of those activities.
Izvajalec storitev sporočanja podatkov določi, katere dejavnosti se oddajo v zunanje izvajanje, pri čemer določi tudi raven človeških in tehničnih virov, ki so potrebni za opravljanje navedenih dejavnosti.
A data reporting services provider that outsources activities shall ensure that the outsourcing does not reduce its ability or power to perform senior management or management body functions.
Izvajalec storitev sporočanja podatkov, ki odda dejavnosti v zunanje izvajanje, zagotovi, da zunanje izvajanje ne zmanjša njegove zmožnosti ali sposobnosti opravljanja funkcij višjega vodstva ali upravljalnega organa.
A data reporting services provider shall remain responsible for any outsourced activity and shall adopt organisational measures to ensure:
Izvajalec storitev sporočanja podatkov ostane odgovoren za vse dejavnosti, oddane v zunanje izvajanje, in sprejme organizacijske ukrepe za zagotavljanje:
that it assesses whether the third party service provider is carrying out outsourced activities effectively and in compliance with applicable laws and regulatory requirements and adequately addresses identified failures;
ocenjevanja, ali tretja oseba, ki izvaja storitve, učinkovito in v skladu z veljavnimi zakoni in regulativnimi zahtevami opravlja dejavnosti, oddane v zunanje izvajanje, ter ustrezno obravnava odkrite nepravilnosti;
the identification of the risks in relation to outsourced activities and adequate periodic monitoring;
odkrivanja tveganj v zvezi z dejavnostmi, oddanimi v zunanje izvajanje, in ustreznega rednega spremljanja;
adequate control procedures with respect to outsourced activities, including effectively supervising the activities and their risks within the data reporting services provider;
ustreznih kontrolnih postopkov, povezanih z dejavnostmi, oddanimi v zunanje izvajanje, vključno z učinkovitim nadzorom dejavnosti in z njimi povezanih tveganj pri izvajalcu storitev sporočanja podatkov;
adequate business continuity of outsourced activities;
ustreznega neprekinjenega poslovanja dejavnosti, oddanih v zunanje izvajanje.
For the purposes of point (d), the data reporting services provider shall obtain information on the business continuity arrangements of the third party service provider, assess its quality and, where needed, request improvements.
Za namene točke (d) izvajalec storitev sporočanja podatkov pridobi informacije o ureditvah neprekinjenega poslovanja, ki jih uporablja tretja oseba, ki izvaja storitve, oceni njegovo kakovost in po potrebi zahteva izboljšave.
A data reporting services provider shall ensure that the third party service provider cooperates with the competent authority of the data reporting services provider in connection with outsourced activities.
Izvajalec storitev sporočanja podatkov zagotovi, da tretja oseba, ki izvaja storitve, sodeluje s pristojnim organom izvajalca storitev sporočanja podatkov na področju dejavnosti, oddanih v zunanje izvajanje.
Where a data reporting services provider outsources any critical function, it shall provide the competent authority of its home Member State with:
Če izvajalec storitev sporočanja podatkov v zunanje izvajanje odda katero koli ključno funkcijo, pristojnemu organu matične države članice zagotovi:
the identification of the third party service provider;
identifikacijo tretje osebe, ki izvaja storitve;
the organisational measures and policies with respect to outsourcing and the risks posed by it as specified in paragraph 4;
organizacijske ukrepe in politike za zunanje izvajanje in z njim povezana tveganja, kot je določeno v odstavku 4;
internal or external reports on the outsourced activities.
notranja ali zunanja poročila o dejavnostih, oddanih v zunanje izvajanje.
For the purpose of the first sub paragraph 6, a function shall be regarded as critical if a defect or failure in its performance would materially impair the continuing compliance of the data reporting services provider with the conditions and obligations of its authorisation or its other obligations under Directive 2014/65/EU.
Za namene prvega pododstavka odstavka 6 se funkcija šteje za ključno, če bi okvara ali nepravilnost v njenem delovanju izvajalcu storitev sporočanja podatkov bistveno ovirala nadaljnje izpolnjevanje pogojev in obveznosti iz dovoljenja ali druge obveznosti iz Direktive 2014/65/EU.
Business continuity and back-up facilities
Neprekinjenost poslovanja in varnostne zmogljivosti
A data reporting services provider shall use systems and facilities that are appropriate and robust enough to ensure continuity and regularity in the performance of the services provided referred to in Directive 2014/65/EU.
Izvajalec storitev sporočanja podatkov uporablja sisteme in zmogljivosti, ki so ustrezni in dovolj zanesljivi za zagotavljanje neprekinjenega in pravilnega delovanja zagotovljenih storitev iz Direktive 2014/65/EU.
A data reporting services provider shall conduct periodic reviews, at least annually, evaluating its technical infrastructures and associated policies and procedures, including business continuity arrangements.
Izvajalec storitev sporočanja podatkov izvaja redne, in sicer vsaj letne, preglede, pri katerih oceni svoje tehnične infrastrukture ter povezane politike in postopke, vključno z ureditvami neprekinjenega poslovanja.
A data reporting services provider shall remedy any deficiencies identified during the review.
Izvajalec storitev sporočanja podatkov odpravi vse pomanjkljivosti, ki jih odkrije med pregledom.
A data reporting services provider shall have effective business continuity arrangements in place to address disruptive incidents, including:
Izvajalec storitev sporočanja podatkov ima vzpostavljene učinkovite ureditve neprekinjenega poslovanja za obravnavo motečih incidentov, vključno s:
the processes which are critical to ensuring the services of the data reporting services provider, including escalation procedures, relevant outsourced activities or dependencies on external providers;
procesi, ki s ključni za zagotavljanje storitev izvajalca storitev sporočanja podatkov, vključno s postopki stopnjevanja, ustreznimi dejavnostmi, oddanimi v zunanje izvajanje, ali odvisnostjo od zunanjih izvajalcev storitev;
specific continuity arrangements, covering an adequate range of possible scenarios, in the short and medium term, including system failures, natural disasters, communication disruptions, loss of key staff and inability to use the premises regularly used;
posebnimi ureditvami neprekinjenosti poslovanja, ki zajemajo ustrezno število možnih kratkoročnih in srednjeročnih scenarijev, vključno z okvarami sistema, naravnimi nesrečami, motnjami v komunikaciji, izgubo ključnega osebja in nezmožnostjo uporabe prostorov, ki se stalno uporabljajo;
duplication of hardware components, allowing for failover to a back-up infrastructure, including network connectivity and communication channels;
podvajanjem komponent strojne opreme, ki omogočajo prehod na varnostno infrastrukturo, vključno z omrežno povezljivostjo in komunikacijskimi kanali;
back-up of business-critical data and up-to-date information of the necessary contacts, ensuring communication within the data reporting services provider and with clients;
varnostnim kopiranjem ključnih poslovnih podatkov in posodobljenih informacij o potrebnih kontaktnih podatkih, ki zagotavljajo komunikacijo pri izvajalcu storitev sporočanja podatkov in s strankami;
the procedures for moving to and operating data reporting services from a back-up site;
postopki za selitev in vodenje storitev sporočanja podatkov z rezervne lokacije;
the target maximum recovery time for critical functions, which shall be as short as possible and in any case no longer than six hours in the case of approved publication arrangements (APAs) and consolidated tape providers (CTPs) and until the close of business of the next working day in the case of approved reporting mechanisms (ARMs);
ciljnim najdaljšim časom obnove ključnih funkcij, ki je čim krajši in v nobenem primeru ni daljši od šestih ur za sisteme odobrenih objav (APA) in ponudnike stalnih informacij (CTP) in od obdobja do zaključka poslovanja naslednjega delovnega dne za odobrene mehanizme poročanja (ARM);
staff training on the operation of the business continuity arrangements, individuals' roles including specific security operations personnel ready to react immediately to a disruption of services;
usposabljanjem osebja o delovanju ureditev neprekinjenega poslovanja, vlogah posameznikov, tudi posebnega osebja za varnostne operacije, ki se lahko takoj odzove na motnje pri zagotavljanju storitev.
A data reporting services provider shall set up a programme for periodically testing, reviewing and, where needed, modifying the business continuity arrangements.
Izvajalec storitev sporočanja podatkov vzpostavi program za redno preizkušanje, pregledovanje in po potrebi spreminjanje ureditev neprekinjenega poslovanja.
A data reporting services provider shall publish on its website and promptly inform the competent authority of its home Member State and its clients of any service interruptions or connection disruptions as well as the time estimated to resume a regular service.
Izvajalec storitev sporočanja podatkov na svojem spletnem mestu objavi morebitne prekinitve zagotavljanja storitev ali motnje v povezavi ter predvideni čas do vzpostavitve redne storitve in o njih takoj obvesti pristojni organ matične države članice in stranke.
In the case of ARMs, the notifications referred to in paragraph 5 shall also be made to any competent authority to whom the ARM submits transaction reports.
V primeru ARM je treba o zadevah iz odstavka 5 obvestiti le ustrezni pristojni organ, kateremu ARM predloži poročila o poslu.
Testing and capacity
Preizkušanje in zmogljivost
A data reporting services provider shall implement clearly delineated development and testing methodologies, ensuring that:
Izvajalec storitev sporočanja podatkov izvaja jasno opredeljene metodologije za razvoj in preizkušanje, ki zagotavljajo, da:
the operation of the IT systems satisfies the data reporting services provider's regulatory obligations;
je delovanje sistemov IT skladno z regulativnimi obveznostmi izvajalca storitev sporočanja podatkov;
compliance and risk management controls embedded in IT systems work as intended;
kontrole za zagotavljanje skladnosti in obvladovanje tveganja, vključene v sisteme IT, pravilno delujejo;
the IT systems can continue to work effectively at all times.
lahko sistemi IT vedno učinkovito delujejo.
A data reporting services provider shall also use the methodologies referred to in paragraph 1 prior to and following the deployment of any updates of the IT systems.
Izvajalec storitev sporočanja podatkov uporablja metodologije iz odstavka 1 tudi pred namestitvijo morebitnih posodobitev sistema IT in po njej.
A data reporting services provider shall promptly notify the competent authority of its home Member State of any planned significant changes to the IT system prior to their implementation.
Izvajalec storitev sporočanja podatkov takoj obvesti pristojni organ matične države članice o vsaki načrtovani bistveni spremembi sistema IT pred njeno uvedbo.
In the case of ARMs, the notifications referred to in paragraph 3 shall also be made to any competent authority to whom the ARM submits transaction reports.
V primeru ARM je treba o zadevah iz odstavka 3 obvestiti le ustrezni pristojni organ, kateremu ARM predloži poročila o poslu.
A data reporting services provider shall set up an on-going programme for periodically reviewing and, where needed, modifying the development and testing methodologies.
Izvajalec storitev sporočanja podatkov vzpostavi stalni program za redno preizkušanje in po potrebi spreminjanje metodologij za razvoj in preizkušanje.
A data reporting services provider shall run stress tests periodically at least on an annual basis.
Izvajalec storitev sporočanja podatkov redno izvaja stresne teste, in sicer vsaj enkrat letno.
A data reporting services provider shall include in the adverse scenarios of the stress test unexpected behaviour of critical constituent elements of its systems and communication lines.
Izvajalec storitev sporočanja podatkov v neugodne scenarije stresnega testa vključi nepričakovano vedenje ključnih sestavnih delov svojih sistemov in komunikacijskih linij.
The stress testing shall identify how hardware, software and communications respond to potential threats, specifying systems unable to cope with the adverse scenarios.
Pri stresnem testiranju se ugotavlja, kako se strojna oprema, programska oprema in komunikacije odzivajo na morebitne grožnje, pri čemer se opredelijo sistemi, ki niso kos neugodnim scenarijem.
A data reporting services provider shall take measures to address identified shortcomings in those systems.
Izvajalec storitev sporočanja podatkov sprejme ukrepe za obravnavo odkritih pomanjkljivosti v navedenih sistemih.
A data reporting services provider shall:
Izvajalec storitev sporočanja podatkov:
have sufficient capacity to perform its functions without outages or failures, including missing or incorrect data;
ima zadostno zmogljivost za opravljanje svojih funkcij brez izpadov ali nepravilnosti, kar vključuje manjkajoče ali nepravilne podatke;
have sufficient scalability to accommodate without undue delay any increase in the amount of information to be processed and in the number of access requests from its clients.
ima zadostne zmogljivosti za nadgraditev, da lahko takoj obravnava vsako povečanje količine informacij za obdelavo in števila zahtevkov svojih strank za dostop.
A data reporting services provider shall set up and maintain procedures and arrangements for physical and electronic security designed to:
Izvajalec storitev sporočanja podatkov vzpostavi in vzdržuje postopke in ureditve za zagotavljanje fizične in elektronske varnosti za:
protect its IT systems from misuse or unauthorised access;
zaščito svojih sistemov IT pred zlorabo ali nepooblaščenim dostopom;
minimise the risks of attacks against the information systems as defined in Article 2(a) of Directive 2013/40/EU of the European Parliament and of the Council [6];
zmanjšanje tveganj napadov na informacijske sisteme, kot so opredeljeni v členu 2(a) Direktive 2013/40/EU Evropskega parlamenta in Sveta [6];
prevent unauthorised disclosure of confidential information;
preprečevanje nepooblaščenega razkritja zaupnih informacij;
ensure the security and integrity of the data.
zagotavljanje varnosti in celovitosti podatkov.
Where an investment firm (‘reporting firm’) uses a third party (‘submitting firm’) to submit information to an ARM on its behalf, an ARM shall have procedures and arrangements in place to ensure that the submitting firm does not have access to any other information about or submitted by the reporting firm to the ARM which may have been sent by the reporting firm directly to the ARM or via another submitting firm.
Če investicijsko podjetje (v nadaljnjem besedilu: podjetje, ki sporoči informacije) uporablja tretjo osebo (v nadaljnjem besedilu: podjetje, ki predloži informacije), ki v njegovem imenu predloži informacije ARM, ima ARM vzpostavljene postopke in ureditve za zagotavljanje, da podjetje, ki predloži informacije, nima dostopa do drugih informacij o podjetju, ki sporoči informacije, ali do informacij, ki jih podjetje, ki sporoči informacije, predloži ARM, katere lahko podjetje, ki sporoči informacije, pošlje neposredno ARM ali prek drugega podjetja, ki predloži informacije.
A data reporting services provider shall set up and maintain measures and arrangements to promptly identify and manage the risks identified in paragraph 1.
Izvajalec storitev sporočanja podatkov vzpostavi in vzdržuje ukrepe in ureditve za takojšno odkrivanje in obvladovanje tveganj, opredeljenih v odstavku 1.
In respect of breaches in the physical and electronic security measures referred to in paragraphs 1, 2 and 3, a data reporting services provider shall promptly notify:
Izvajalec storitev sporočanja podatkov o kršitvah ukrepov za zagotavljanje fizične in elektronske varnosti iz odstavkov 1, 2 in 3 takoj obvesti:
the competent authority of its home Member State and provide an incident report, indicating the nature of the incident, the measures adopted to cope with the incident and the initiatives taken to prevent similar incidents;
pristojni organ matične države članice in predloži poročilo o incidentu, v katerem so navedeni narava incidenta, ukrepi, sprejeti za soočanje z incidentom, in pobude, sprejete za preprečevanje podobnih incidentov;
its clients that have been affected by the security breach.
svoje stranke, na katere je vplivala kršitev varnosti.
In the case of ARMs, the notification referred to in paragraph 4(a) shall also be made to any other competent authorities to whom the ARM submits transaction reports.
V primeru ARM je treba o zadevah iz odstavka 4(a) obvestiti tudi vse druge pristojne organe, katerim ARM predloži poročila o poslu.
Management of incomplete or potentially erroneous information by APAs and CTPs
Upravljanje nepopolnih ali potencialno napačnih informacij s strani APA in CTP
APAs and CTPs shall set up and maintain appropriate arrangements to ensure that they accurately publish the trade reports received from investment firms and, in the case of CTPs, from trading venues and APAs, without themselves introducing any errors or omitting information and shall correct information where they have themselves caused the error or omission.
APA in CTP vzpostavijo in vzdržujejo ustrezne ureditve za zagotavljanje, da pravilno objavijo poročila o trgovanju, ki jih prejmejo od investicijskih podjetij in v primeru CTP od mest trgovanja in APA, ne da bi sami naredili napake ali izpustili informacije, poleg tega pa popravijo informacije, če so storili napako ali povzročili izpust.
APAs and CTPs shall continuously monitor in real-time the performance of their IT systems ensuring that the trade reports they have received have been successfully published.
APA in CTP v realnem času stalno spremljajo delovanje svojih sistemov IT in zagotavljajo, da so prejeta poročila o trgovanju uspešno objavili.
APAs and CTPs shall perform periodic reconciliations between the trade reports they receive and the trade reports that they publish, verifying the correct publication of the information.
APA in CTP redno usklajujejo poročila o trgovanju, ki jih prejmejo, in poročila o trgovanju, ki jih objavijo, in preverijo, ali so bile informacije pravilno objavljene.
An APA shall confirm the receipt of a trade report to the reporting investment firm, including the transaction identification code assigned by the APA.
APA potrdi prejem poročila o trgovanju investicijskemu podjetju, ki sporoči informacije, vanj pa vključi identifikacijsko kodo posla, ki jo dodeli.
An APA shall refer to the transaction identification code in any subsequent communication with the reporting firm in relation to a specific trade report.
APA se na identifikacijsko kodo posla določenega poročila o trgovanju sklicuje pri vsej nadaljnji komunikaciji s podjetjem, ki sporoči informacije.
An APA shall set up and maintain appropriate arrangements to identify on receipt trade reports that are incomplete or contain information that is likely to be erroneous.
APA vzpostavi in vzdržuje ustrezne ureditve, ki mu omogočajo, da ob prejemu poročil o trgovanju ugotovi, ali so nepopolna oziroma ali vsebujejo informacije, ki so verjetno napačne.
These arrangements shall include automated price and volume alerts, taking into account:
Te ureditve vključujejo samodejna opozorila o ceni in količini, pri čemer upoštevajo:
the sector and the segment in which the financial instrument is traded;
sektor in segment, v katerih se trguje s finančnim instrumentom;
liquidity levels, including historical trading levels;
stopnje likvidnosti, vključno s preteklimi ravnmi trgovanja;
appropriate price and volume benchmarks;
ustrezna referenčna merila za ceno in količino;
if needed, other parameters according to the characteristics of the financial instrument.
po potrebi druge parametre glede na lastnosti finančnega instrumenta.
Where an APA determines that a trade report it receives is incomplete or contains information that is likely to be erroneous, it shall not publish that trade report and shall promptly alert the investment firm submitting the trade report.
Če APA ugotovi, da je prejeto poročilo o trgovanju nepopolno ali da vsebuje informacije, ki so verjetno napačne, navedenega poročila o trgovanju ne objavi in o tem takoj obvesti investicijsko podjetje, ki je predložilo poročilo o trgovanju.
In exceptional circumstances APAs and CTPs shall delete and amend information in a trade report upon request from the entity providing the information when that entity cannot delete or amend its own information for technical reasons.
V izjemnih okoliščinah APA in CTP na zahtevo subjekta, ki sporoči informacije, izbrišejo in spremenijo informacije v poročilu o trgovanju, če subjekt iz tehničnih razlogov ne more izbrisati ali spremeniti svojih informacij.
APAs shall publish non-discretionary policies on information cancellation and amendments in trade reports which set out the penalties that APAs may impose on investment firms providing trade reports where the incomplete or erroneous information has led to the cancellation or amendment of trade reports.
APA objavijo nediskrecijske politike o preklicu in spreminjanju informacij v poročilih o trgovanju, ki določajo kazni, ki jih APA lahko naložijo investicijskim podjetjem, ki predložijo poročila o trgovanju, če je bilo treba zaradi nepopolnih ali napačnih informacij preklicati ali spremeniti poročila o trgovanju.
Management of incomplete or potentially erroneous information by ARMs
Upravljanje nepopolnih ali potencialno napačnih informacij s strani ARM
An ARM shall set up and maintain appropriate arrangements to identify transaction reports that are incomplete or contain obvious errors caused by clients.
ARM vzpostavi in vzdržuje ustrezne ureditve, ki mu omogočajo, da ob prejemu poročil o poslu ugotovi, ali so nepopolna oziroma ali vsebujejo očitne napake strank.
An ARM shall perform validation of the transaction reports against the requirements established under Article 26 of Regulation (EU) No 600/2014 for field, format and content of fields in accordance with Table 1 of Annex I to Commission Delegated Regulation (EU) 2017/590 [7].
ARM potrdi poročila o poslu glede na zahteve iz člena 26 Uredbe (EU) št. 600/2014 za polje, obliko in vsebino polj v skladu s tabelo 1 Priloge I k Delegirani uredbi Komisije (EU) 2017/590 [7].
An ARM shall set up and maintain appropriate arrangements to identify transaction reports which contain errors or omissions caused by that ARM itself and to correct, including deleting or amending, such errors or omissions.
ARM vzpostavi in vzdržuje ustrezne ureditve, ki mu omogočajo, da odkrije poročila o poslu, ki vsebujejo napake ali izpuste, ki jih je povzročil ARM sam, in da popravi take napake ali izpuste, tudi z njihovim izbrisom ali spremembo.