natgillin/translations-raw huggingface dataset:
The reporting lines for the risk-management function, compliance and internal control function and internal audit function shall be clear and separate from those for the operations of the CSD.
Hierarhija poročanja za funkcijo upravljanja tveganj, funkcijo varovanja zakonitosti poslovanja in notranjega nadzora ter funkcijo notranje revizije je jasna in ločena od tiste za poslovanje CDD.
A CSD shall have a chief risk officer who shall implement the risk-management framework including the policies and procedures established by the management body.
CDD ima vodjo za upravljanje tveganj, ki izvaja okvir za upravljanje tveganj, vključno s politikami in postopki, ki jih vzpostavi upravljalni organ.
A CSD shall have a chief technology officer who shall implement the technology framework including the policies and procedures established by the management body.
CDD ima vodjo za tehnologijo, ki izvaja okvir za tehnologijo, vključno s politikami in postopki, ki jih vzpostavi upravljalni organ.
A CSD shall have a chief compliance officer who shall implement the compliance and internal control framework including the policies and procedures established by the management body.
CDD ima vodjo za varovanje zakonitosti poslovanja, ki izvaja okvir za varovanje zakonitosti poslovanja in notranji nadzor, vključno s politikami in postopki, ki jih vzpostavi upravljalni organ.
A CSD shall ensure that the functions of the chief risk officer, chief compliance officer and chief technology officer are carried out by different individuals, who shall be employees of the CSD or of an entity from the same group as the CSD.
CDD zagotovi, da funkcije vodje za upravljanje tveganj, vodje za varovanje zakonitosti poslovanja in vodje za tehnologijo opravljajo različne osebe, ki so zaposlene pri CDD ali pri subjektu iz iste skupine kot CDD.
A single individual shall have the responsibility for each of these functions.
Za vsako od teh funkcij odgovarja ena sama oseba.
The CSD shall establish procedures ensuring that the chief risk officer, the chief technology officer and the chief compliance officer have direct access to the management body.
CDD vzpostavi postopke za zagotavljanje, da imajo vodja za upravljanje tveganj, vodja za tehnologijo in vodja za zagotavljanje skladnosti s predpisi neposreden dostop do upravljalnega organa.
Persons appointed as chief risk officer, chief compliance officer or chief technology officer may undertake other duties within the CSD provided that specific procedures are put in place in the governance arrangements to identify and manage any conflict of interest that may arise from those duties.
Osebe, imenovane za vodjo za upravljanje tveganj, vodjo za varovanje zakonitosti poslovanja ali vodjo za tehnologijo, lahko izvajajo druge dolžnosti v CDD, če so v ureditvah upravljanja določeni posebni postopki za ugotavljanje in obvladovanje navzkrižij interesov, ki lahko izhajajo iz opravljanja teh dolžnosti.
A CSD shall put in place a policy in relation to conflicts of interest arising or affecting the CSD or its activities, including with respect to outsourcing arrangements.
CDD vzpostavi politiko za navzkrižja interesov, ki izhajajo iz CDD ali njenih aktivnosti oziroma vplivajo nanje, vključno v zvezi z ureditvami zunanjega izvajanja.
Where a CSD is part of a group of undertakings, its organisational administrative arrangements shall take into account any circumstances, of which the CSD is or should be aware, which may give rise to a conflict of interest arising as a result of the structure and business activities of other undertakings of the same group.
Če je CDD del skupine podjetij, njene organizacijske in administrativne ureditve upoštevajo vse okoliščine, s katerimi je CDD seznanjena ali bi morala biti seznanjena, ki lahko privedejo do navzkrižja interesov zaradi strukture in poslovnih dejavnosti drugih podjetij v isti skupini.
Where a CSD shares the functions of chief risk officer, chief compliance officer, chief technology officer, or internal audit with other entities of the group, the governance arrangements shall ensure that related conflicts of interest at group level are appropriately managed.
Če CDD deli funkcijo vodje za upravljanje tveganj, vodje za varovanje zakonitosti poslovanja, vodje za tehnologijo ali funkcijo notranje revizije z drugimi subjekti v skupini, ureditve upravljanja zagotovijo, da se povezana navzkrižja interesov ustrezno obvladujejo na ravni skupine.
The organisational and administrative arrangements referred to in Article 26(3) of Regulation (EU) No 909/2014 shall include a description of the circumstances which may give rise to a conflict of interest entailing a material risk of damage to the interests of one or more users of the CSD, or their clients, as well as the procedures to be followed and the measures to be adopted in order to manage those conflicts of interest.
Organizacijske in administrativne ureditve iz člena 26(3) Uredbe (EU) št. 909/2014 vključujejo opis okoliščin, ki lahko privedejo do navzkrižja interesov, ki vključuje pomembno tveganje škodovanja interesom enega ali več uporabnikov CDD ali njegovih strank, ter postopke in ukrepe za obvladovanje teh navzkrižij interesov.
The description of circumstances referred to in paragraph 4 shall take into account whether a member of the management body, senior management or staff of the CSD, or any person directly or indirectly linked to those individuals or to the CSD:
Pri opisu okoliščin iz odstavka 4 se upošteva, ali za člana upravljalnega organa, člana višjega vodstva, katerega koli zaposlenega CDD ali katero koli osebo, ki je neposredno ali posredno povezana s temi posamezniki ali s CDD, velja naslednje:
has a personal interest in the use of the services, materials and equipment of the CSD for the purposes of another commercial activity;
ima osebni interes pri uporabi storitev, gradiv in opreme CDD za namene druge komercialne dejavnosti;
holds a personal or financial interest in another entity that enters into contracts with the CSD;
ima osebni ali finančni interes v drugem subjektu, ki sklepa pogodbe s CDD;
holds a participation or a personal interest in another entity that provides services used by the CSD, including any entity to which the CSD outsources services or activities;
ima udeležbo ali osebni interes v drugem subjektu, ki zagotavlja storitve, ki jih uporablja CDD, vključno z vsemi subjekti, ki jim CDD oddaja storitve ali dejavnosti v zunanje izvajanje;
has a personal interest in an entity that uses the service of the CSD;
ima osebni interes v subjektu, ki uporablja storitve CDD;
is related to any legal or natural person that has influence on the operations of any entity that provides the services used by the CSD or uses the services provided by the CSD;
je povezan s katero koli pravno ali fizično osebo, ki vpliva na poslovanje katerega koli subjekta, ki zagotavlja storitve, ki jih uporablja CDD, ali uporablja storitve, ki jih zagotavlja CDD;
is member of the management body or any other bodies or committees of any entity that provides the services which are used by the CSD or uses the services provided for the CSD.
je član upravljalnega organa ali drugih organov ali odborov katerega koli subjekta, ki zagotavlja storitve, ki jih uporablja CDD, ali uporablja storitve, ki jih zagotavlja CDD.
For the purposes of this paragraph, a direct or indirect link to a natural person shall comprise the spouse or legal partner, family members in direct ascending or descending line up to the second degree and their spouses or legal partners, the siblings and their spouse or legal partners, and any person having the same domicile or habitual residence as the employees, managers or members of the management body.
Za namene tega odstavka neposredna ali posredna povezava s fizično osebo zajema zakonca ali zakonskega partnerja, družinske člane, ki so predniki ali potomci do drugega kolena v ravni črti, in njihove zakonce ali zakonske partnerje, brate ali sestre in njihove zakonce ali zakonske partnerje ter katero koli osebo, ki ima isto stalno ali običajno prebivališče kot zaposleni, poslovodje ali člani upravljalnega organa.
A CSD shall take all reasonable steps to prevent any misuse of the information held in its systems and shall prevent the use of that information for other business activities.
CDD sprejme vse potrebne ukrepe za preprečitev vseh zlorab informacij iz svojih sistemov in prepreči uporabo teh informacij za potrebe drugih poslovnih dejavnosti.
A natural person who has access to information recorded in a CSD or a legal person that belongs to the same group as the CSD shall not use information recorded in that CSD for any commercial purposes without prior written consent of the person to whom the information refers.
Fizična oseba, ki ima dostop do informacij, evidentiranih pri CDD ali pravni osebi, ki spada v isto skupino kot CDD, informacij, evidentiranih pri navedeni CDD, ne uporablja za nobene komercialne namene brez predhodnega pisnega dovoljenja osebe, na katero se nanašajo informacije.
Article 51
Člen 51
The internal audit function of a CSD shall ensure the following:
Funkcija notranje revizije CDD zagotavlja naslednje:
establish, implement and maintain an all-encompassing audit plan to examine and evaluate the adequacy and effectiveness of the CSD's systems, risk-management processes, internal control mechanisms, remuneration policies, governance arrangements, activities and operations, including outsourced activities;
določi, izvaja in vzdržuje vseobsegajoč revizijski načrt za preverjanje in ocenjevanje ustreznosti in učinkovitosti sistemov, postopkov za upravljanje tveganj, mehanizmov notranjega nadzora, politik prejemkov, ureditev upravljanja, dejavnosti in poslovanja CDD, vključno z dejavnostmi, oddanimi v zunanje izvajanje;
review and report the audit plan to the competent authority at least annually;
vsaj enkrat letno pregleda revizijski načrt in o njem poroča pristojnemu organu;
establish a comprehensive risk-based audit;
vzpostavi celovit postopek revizije, ki temelji na tveganjih;
issue recommendations based on the result of work carried out in accordance with point (a) and verify compliance with those recommendations;
izdaja priporočila na podlagi rezultatov dela, opravljenega v skladu s točko (a), in preverja izvajanje teh priporočil;
report internal audit matters to the management body;
poroča upravljalnemu organu o zadevah v zvezi z notranjo revizijo;
be independent from the senior management and report directly to the management body;
je neodvisna od višjega vodstva in poroča neposredno upravljalnemu organu;
ensure that special audits may be performed at short notice on an event-driven basis.
zagotavlja, da se lahko na podlagi dogodkov v kratkem času izvedejo posebne revizije.
Where the CSD belongs to a group, the internal audit function may be carried out at group level provided that the following requirements are complied with:
Če CDD pripada skupini, se lahko funkcija notranje revizije izvaja na ravni skupine, če so izpolnjene naslednje zahteve:
it is separate and independent from other functions and activities of the group;
je ločena in neodvisna od drugih funkcij in dejavnosti skupine;
it has a direct reporting line to the management body of the CSD;
ima neposredno linijo poročanja do upravljalnega organa CDD;
the arrangement concerning the operation of the internal audit function does not prevent the exercise of supervisory and oversight functions, including on-site access to acquire any relevant information needed to fulfil those functions.
ureditev, ki zadeva delovanje funkcije notranje revizije, ne preprečuje izvajanja nadzornih funkcij in funkcij pregledovanja, vključno z dostopom na kraju samem za pridobitev vseh zadevnih informacij, potrebnih za izpolnjevanje teh funkcij.
The CSD shall assess the internal audit function.
CDD ocenjuje funkcijo notranje revizije.
Internal audit assessments shall include an on-going monitoring of the performance of the internal audit activity and periodic reviews performed through self-assessment carried out by the audit committee or by other persons within the CSD or the group with sufficient knowledge of internal audit practices.
Ocenjevanje notranje revizije vključuje nenehno spremljanje uspešnosti dejavnosti notranje revizije in redne preglede na podlagi samoocen, ki jih izvajajo revizijska komisija ali druge osebe v CDD ali skupini z zadostnim poznavanjem praks notranjega revidiranja.
An external assessment of the internal audit function shall be conducted by a qualified and independent assessor from outside the CSD and its group structure at least once every five years.
Zunanjo oceno funkcije notranje revizije vsaj enkrat na pet let opravi usposobljen in neodvisen ocenjevalec, ki ni povezan s CDD in njeno skupino.
A CSD's operations, risk-management processes, internal control mechanisms and records shall be subject to regular internal or external audits.
Za poslovanje, postopke upravljanja tveganj, mehanizme notranjega nadzora in računovodske evidence CDD se izvajajo redne notranje in zunanje revizije.
The frequency of the audits shall be determined on the basis of a documented risk assessment.
Pogostost revizij se določi na podlagi dokumentirane ocene tveganj.
Audits referred to in the first subparagraph shall be carried out at least every two years.
Revizije iz prvega pododstavka se izvajajo vsaj vsaki dve leti.
A CSD's financial statement shall be prepared on an annual basis and be audited by statutory auditors or audit firms approved in accordance with Directive 2006/43/EC.
Računovodski izkazi CDD se pripravijo na letni osnovi, revidirajo pa jih zakoniti revizorji ali revizijska podjetja, odobrena v skladu z Direktivo 2006/43/ES.
Article 52
Člen 52
Sharing audit findings with the user committee
Obveščanje odbora uporabnikov o ugotovitvah revizije
A CSD shall share audit findings with the user committee in any of the following cases:
CDD o ugotovitvah revizije obvesti odbor uporabnikov v katerem koli naslednjem primeru:
where the findings relate to the criteria for accepting issuers or users to their respective securities settlement systems operated by the CSDs;
kadar se ugotovitve nanašajo na merila za sprejem izdajateljev ali uporabnikov v zadevne sisteme poravnave vrednostnih papirjev, ki jih upravlja CDD;
where the findings relate to any other aspect of the user committee's mandate;
kadar se ugotovitve nanašajo na kateri koli drugi vidik mandata odbora uporabnikov;
where the findings may impact the level of provision of services by a CSD, including ensuring business continuity.
kadar lahko ugotovitve vplivajo na raven opravljanja storitev CDD, vključno z zagotavljanjem neprekinjenosti poslovanja.
Members of the user committee shall not be provided with information that may place those members at a competitive advantage.
Člani odbora uporabnikov ne smejo prejemati informacij, zaradi katerih bi lahko imeli konkurenčno prednost.
(Article 29(3) of Regulation (EU) No 909/2014)
(člen 29(3) Uredbe (EU) št. 909/2014)
Article 53
Člen 53
A CSD shall maintain full and accurate records of all its activities as specified in this Regulation at all times, including during disruption events when the business continuity policy and disaster recovery plans are activated.
CDD ves čas vodi popolne in natančne evidence vseh svojih dejavnosti, kot so določene v tej uredbi, tudi v primeru motenj, ko se aktivirajo politika neprekinjenega poslovanja in načrti za sanacijo po nesreči.
Those records shall be readily accessible.
Te evidence so lahko dostopne.
The records kept by a CSD shall cover separately each individual service provided by the CSD in accordance with Regulation (EU) No 909/2014.
Evidence, ki jih vodi CDD, ločeno pokrivajo vsako posamezno storitev, ki jo opravlja CDD v skladu z Uredbo (EU) št. 909/2014.
A CSD shall keep records in a durable medium that allows information to be provided to the authorities referred to in Article 29(2) of Regulation (EU) No 909/2014.
CDD hrani evidence na trajnem nosilcu podatkov, ki omogoča predložitev informacij organom iz člena 29(2) Uredbe (EU) št. 909/2014.
The record-keeping system shall ensure that all of the following conditions are met:
Sistem vodenja evidenc zagotavlja, da so izpolnjeni vsi naslednji pogoji:
each key stage of the processing of records by the CSD may be reconstituted;
vsako ključno fazo obdelave evidenc CDD je mogoče rekonstruirati;
the original content of a record before any corrections or other amendments may be recorded, traced and retrieved;
mogoče je evidentirati, izslediti in ponovno pridobiti prvotno vsebino evidenc pred kakršnimi koli popravki ali drugimi spremembami;
measures are put in place to prevent unauthorised alteration of records;
vzpostavljeni so ukrepi za preprečevanje nepooblaščenega spreminjanja evidenc;
measures are put in place to ensure the security and confidentiality of the data recorded;
vzpostavljeni so ukrepi za zagotavljanje varnosti in zaupnosti evidentiranih podatkov;
a mechanism for identifying and correcting errors is incorporated in the record-keeping system;
mehanizem za ugotavljanje in popravljanje napak je vključen v sistem evidentiranja;
the timely recovery of the records in the case of a system failure is ensured within the record-keeping system.
v sistemu vodenja evidenc je zagotovljena pravočasna obnovitev evidenc v primeru odpovedi sistema.
Article 54
Člen 54
Transaction/settlement instruction (Flow) records
Evidence o poslih/navodilih za poravnavo (evidence o tokovih)
A CSD shall maintain records of all transactions, settlement instructions and orders concerning settlement restrictions that it processes and it shall ensure that its records include all necessary information to accurately identify them.
CDD vodi evidence vseh poslov, navodil za poravnavo in naročil v zvezi z omejitvami poravnave, ki jih obdela, in zagotavlja, da njene evidence vključujejo vse potrebne informacije za njihovo natančno določanje.
In relation to every settlement instruction and order concerning settlement restrictions received, a CSD shall, immediately upon receiving the relevant information, make and keep updated a record of the following details, depending on whether the settlement instruction or settlement restrictions covers securities or cash only, or both securities and cash:
CDD v zvezi z vsakim prejetim navodilom za poravnavo in naročilom v zvezi z omejitvami poravnave takoj po prejemu relevantnih informacij ustvari in nato posodablja evidenco naslednjih podrobnosti, odvisno od tega, ali navodilo za poravnavo ali omejitve poravnave zajema samo vrednostne papirje ali denarna sredstva ali zajema oboje:
type of settlement instruction as referred to in point (h)(v) of Article 42(1);
vrsta navodila za poravnavo, kot so določene v točki (h)(v) člena 42(1);
type of transaction, as follows:
vrsta posla, kot sledi:
collateral management operations;
posli upravljanja zavarovanja;
securities lending/borrowing operations;
posli posojanja/izposojanja vrednostnih papirjev;
repurchase transactions;
posli začasne prodaje/začasnega nakupa;
unique instruction reference of the participant;
edinstveni sklic navodila udeleženca;
trade date;
datum sklenitve posla;
intended settlement date;
načrtovani datum poravnave;
settlement timestamp;
časovni žig poravnave;
timestamp of the moment of entry of the settlement instruction into the securities settlement system;
časovni žig trenutka vnosa navodil za poravnavo v sistem poravnave vrednostnih papirjev;
timestamp of the moment of irrevocability of the settlement instruction;
časovni žig trenutka nepreklicnosti navodila za poravnavo;
matching timestamp in case of matched settlement instructions;
časovni žig uskladitve v primeru usklajenih navodil za poravnavo;
securities account identifier;
identifikator računa vrednostnih papirjev;
cash account identifier;
identifikator gotovinskega računa;
settlement bank identifier;
identifikator poravnalne banke;
identifier of the instructing participant;
identifikator udeleženca, ki izda navodilo;
identifier of the instructing participant's counterpart;
identifikator nasprotne stranke udeleženca, ki izda navodilo;
identifier of the instructing participant's client, where known to the CSD;
identifikator stranke udeleženca, ki izda navodilo, če je znana CDD;
identifier of the client of the instructing participant's counterpart, where known to the CSD;
identifikator stranke nasprotne stranke udeleženca, ki izda navodilo, če je znana CDD;
securities identifier;
identifikator vrednostnih papirjev;
settlement currency;
valuta poravnave;
settlement cash amount;
denarni znesek poravnave;
quantity or nominal amount of securities;
količina ali nominalni znesek vrednostnih papirjev;
status of the settlement instruction covering:
status navodil za poravnavo, ki zajema:
pending instructions which can still settle on the intended settlement date;
navodila, ki čakajo na izvršitev in se še vedno lahko izvršijo na predvideni datum poravnave;
failed settlement instructions which cannot settle anymore on the intended settlement date;
neizvršena navodila za poravnavo, pri katerih poravnava na predvideni datum poravnave ni več mogoča;
fully settled settlement instructions;
polno poravnana navodila za poravnavo;
partially settled settlement instructions, including the settled part and the missing part of either financial instruments or cash;
delno poravnana navodila za poravnavo, vključno s poravnanim delom in manjkajočim delom finančnih instrumentov ali denarnih sredstev;
cancelled settlement instructions, including information whether it is cancelled by the system or by the participant.
preklicana navodila za poravnavo, kar vključuje informacijo o tem, ali jo je preklical sistem ali udeleženec.
For each of the categories of settlement instructions referred to in the first subparagraph, the following information shall be recorded:
Za vsako od kategorij navodil za poravnavo iz prvega pododstavka se evidentirajo naslednje informacije:
whether an instruction is matched or not matched;
ali je navodilo usklajeno ali ne;
whether an instruction can settle partially;
ali se lahko navodilo poravna delno;
whether an instruction is on hold;
ali je navodilo zadržano;
where relevant, what the reasons are for instruction being pending or failing
če je relevantno, razlogi za to, da navodilo čaka na izvršitev ali ni izvršeno;
place of trading;
kraj trgovanja;
if applicable, place of clearing;
če je ustrezno, mesto kliringa;
where a buy-in process is initiated in accordance with Article 7(3) of Regulation (EU) No 909/2014, details regarding:
če se postopek kritnega nakupa sproži v skladu s členom 7(3) Uredbe (EU) št. 909/2014, podrobnosti o:
the final results of the buy-in process on the last business day of the deferral period at the latest, including the number and value of the financial instruments where the buy-in is partially or fully successful;
končnih rezultatih postopka kritnega nakupa najpozneje na zadnji delovni dan obdobja odloga, vključno s številom in vrednostjo finančnih instrumentov, če je kritni nakup delno ali v celoti uspešen;
the payment of cash compensation, including the amount of the cash compensation, where the buy-in is not possible, fails or is partially successful;
plačilu denarnega nadomestila, vključno z zneskom denarnega nadomestila, kadar kritni nakup ni mogoč, je neuspešen ali delno uspešen;
the cancellation of the initial settlement instruction;
preklicu prvotnega navodila za poravnavo;
for each settlement fail, the amount of the penalties referred to in Article 7(2) of Regulation (EU) No 909/2014.
znesku kazni iz člena 7(2) Uredbe (EU) št. 909/2014 za vsako neuspešno poravnavo.
Article 55
Člen 55
Position (Stock) records
Evidence o pozicijah (evidence o vrednostnih papirjih)
A CSD shall keep records of positions corresponding to all securities accounts that it maintains.
CDD vodi evidence o pozicijah, ki ustrezajo vsem računom vrednostnih papirjev, ki jih vodi.
Separate records shall be held for each account kept in accordance with Article 38 of Regulation (EU) No 909/2014.
Za vsak račun, ki se vodi, se vodijo ločene evidence v skladu s členom 38 Uredbe (EU) št. 909/2014.
A CSD shall keep records of the following information:
CDD vodi evidence za naslednje informacije: