natgillin/translations-raw huggingface dataset:
The senior management of the investment firm shall be responsible for the day-to-day implementation of the remuneration policy and the monitoring of compliance risks related to the policy.
Investicijska podjetja zagotovijo, da se njihove politike in prakse glede prejemkov uporabljajo za vse zadevne osebe, ki neposredno ali posredno vplivajo na investicijske in pomožne storitve, ki jih opravlja investicijsko podjetje, ali na njegovo ravnanje, ne glede na vrsto stranke, v kolikor lahko prejemki takih oseb in podobne spodbude ustvarijo nasprotja interesov, ki jih spodbujajo k ravnanju v nasprotju z interesi katere koli stranke podjetja.
Remuneration and similar incentives shall not be solely or predominantly based on quantitative commercial criteria, and shall take fully into account appropriate qualitative criteria reflecting compliance with the applicable regulations, the fair treatment of clients and the quality of services provided to clients.
Po posvetovanju s funkcijo zagotavljanja skladnosti s predpisi upravljalni organ naložbenega podjetja odobri politiko prejemkov podjetja.
A balance between fixed and variable components of remuneration shall be maintained at all times, so that the remuneration structure does not favour the interests of the investment firm or its relevant persons against the interests of any client.
Višje vodstvo investicijskega podjetja je odgovorno za dnevno izvajanje politike prejemkov in spremljanje tveganj glede skladnosti s predpisi, ki so povezana s politiko.
Article 28
Prejemki in podobne spodbude ne temeljijo izključno ali pretežno na kvantitativnih poslovnih merilih in v celoti upoštevajo ustrezna kvalitativna merila, ki odražajo spoštovanje veljavnih predpisov, pošteno obravnavo strank in kakovost storitev, opravljenih za stranke.
Scope of personal transactions
Ves čas se ohranja ravnotežje med fiksnim in variabilnim delom prejemkov, tako da struktura prejemkov ne daje prednosti interesom investicijskega podjetja ali njegovih zadevnih oseb pred interesi katere od strank.
For the purposes of Article 29 and Article 37, a personal transaction shall be a trade in a financial instrument effected by or on behalf of a relevant person, where at least one of the following criteria are met:
Člen 28
the relevant person is acting outside the scope of the activities he carries out in his professional capacity;
Področje uporabe pri osebnih poslih
the trade is carried out for the account of any of the following persons:
Za namene člena 29 in člena 37 osebni posel pomeni trgovanje s finančnim instrumentom, ki ga izvede zadevna oseba ali se izvede v njenem imenu, če je izpolnjeno vsaj eno od naslednjih meril:
the relevant person;
zadevna oseba deluje izven okvira dejavnosti, ki jih izvaja v svoji poklicni funkciji;
any person with whom he has a family relationship, or with whom he has close links;
trgovanje se opravlja za račun ene od naslednjih oseb:
a person in respect of whom the relevant person has a direct or indirect material interest in the outcome of the trade, other than obtaining a fee or commission for the execution of the trade.
zadevne osebe;
Article 29
katere koli osebe, s katero je v sorodstvenem razmerju ali s katero je tesno povezana;
Personal transactions
osebe, v zvezi s katero ima zadevna oseba neposreden ali posreden pomemben interes pri rezultatu trgovanja, kar ne vključuje opravnine ali provizije za izvedbo trgovanja.
Investment firms shall establish, implement and maintain adequate arrangements aimed at preventing the activities set out in paragraphs 2, 3 and 4 in the case of any relevant person who is involved in activities that may give rise to a conflict of interest, or who has access to inside information within the meaning of Article 7(1) of Regulation (EU) No 596/2014 or to other confidential information relating to clients or transactions with or for clients by virtue of an activity carried out by him on behalf of the firm.
Člen 29
Investment firms shall ensure that relevant persons do not enter into a personal transaction which meets at least one of the following criteria:
Osebni posli
that person is prohibited from entering into it under Regulation (EU) No 596/2014;
Investicijska podjetja vzpostavijo, izvajajo in vzdržujejo ustrezne ureditve za preprečevanje dejavnosti iz odstavkov 2, 3 in 4 s strani vseh zadevnih oseb, ki se ukvarjajo z dejavnostmi, ki bi lahko privedle do nasprotja interesov, ali imajo dostop do notranjih informacij v smislu člena 7(1) Uredbe (EU) št. 596/2014 ali drugih zaupnih informacij v zvezi s strankami ali posli s strankami ali za stranke zaradi dejavnosti, ki jih izvajajo v imenu podjetja.
it involves the misuse or improper disclosure of that confidential information;
Investicijska podjetja zagotovijo, da zadevne osebe ne sklepajo osebnih poslov, ki izpolnjujejo vsaj eno od naslednjih meril:
it conflicts or is likely to conflict with an obligation of the investment firm under Directive 2014/65/EU.
navedeni osebi je prepovedano sklepanje tovrstnih poslov na podlagi Uredbe (EU) št. 596/2014;
Investment firms shall ensure that relevant persons do not advise or recommend, other than in the proper course of employment or contract for services, any other person to enter into a transaction in financial instruments which, if it were a personal transaction of the relevant person, would be covered by paragraph 2 or Article 37(2)(a) or (b) or Article 67(3).
vključujejo zlorabo ali nepravilno razkritje navedenih zaupnih informacij;
Without prejudice to Article 10(1) of Regulation (EU) No 596/2014, investment firms shall ensure that relevant persons do not disclose, other than in the normal course of his employment or contract for services, any information or opinion to any other person where the relevant person knows, or reasonably ought to know, that as a result of that disclosure that other person will or would be likely to take either of the following steps:
so v nasprotju ali bodo verjetno v nasprotju z obveznostjo investicijskega podjetja na podlagi Direktive 2014/65/EU.
to enter into a transaction in financial instruments which, if it were a personal transaction of the relevant person, would be covered by paragraphs 2 or 3 or Article 37(2)(a) or (b) or Article 67(3);
Investicijska podjetja zagotovijo, da zadevne osebe nobeni drugi osebi ne svetujejo ali priporočijo, razen v okviru opravljanja svojega dela ali pogodbe o storitvah, naj sklene posel s finančnimi instrumenti, ki bi ga, če bi šlo za osebni posel zadevne osebe, zajemal odstavek 2, člen 37(2)(a) oziroma (b) ali člen 67(3).
to advise or procure another person to enter into such a transaction.
Brez poseganja v člen 10(1) Uredbe (EU) št. 596/2014 investicijska podjetja zagotovijo, da zadevne osebe ne razkrijejo, razen v okviru opravljanja svojega dela ali pogodbe o storitvah, kakršnih koli informacij ali mnenj kateri koli drugi osebi, če zadevna oseba ve ali bi razumno morala vedeti, da bo druga oseba zaradi takega razkritja storila oziroma je verjetno, da bi storila, naslednje:
The arrangements required under paragraph 1 shall be designed to ensure that:
sklenila posel s finančnimi instrumenti, ki bi ga, če bi šlo za osebni posel zadevne osebe, zajemala odstavka 2 ali 3, člen 37(2)(a) oziroma (b) ali člen 67(3);
each relevant person covered by paragraphs 1, 2, 3 and 4 is aware of the restrictions on personal transactions, and of the measures established by the investment firm in connection with personal transactions and disclosure, in accordance with paragraphs 1, 2,3 and 4.
svetovala ali naročila drugi osebi, naj sklene tak posel.
the firm is informed promptly of any personal transaction entered into by a relevant person, either by notification of that transaction or by other procedures enabling the firm to identify such transactions;
Ureditve, zahtevane v odstavku 1, morajo zagotoviti, da:
a record is kept of the personal transaction notified to the firm or identified by it, including any authorisation or prohibition in connection with such a transaction.
vsaka zadevna oseba, ki jo zajemajo odstavki 1, 2, 3 in 4, pozna omejitve v zvezi z osebnimi posli in ukrepe, ki jih je investicijsko podjetje določilo v zvezi z osebnimi posli in razkritji, v skladu z odstavki 1, 2, 3 in 4;
In the case of outsourcing arrangements, the investment firm shall ensure that the firm to which the activity is outsourced maintains a record of personal transactions entered into by any relevant person and provides that information to the investment firm promptly on request.
se podjetje takoj obvesti o vsakem osebnem poslu, ki ga sklene zadevna oseba, z uradnim obvestilom o takem poslu ali z drugimi postopki, ki podjetju omogočajo identifikacijo takih poslov;
Paragraphs 1 to 5 shall not apply to the following personal transactions:
se vodi evidenca za osebni posel, o katerem je podjetje obveščeno ali ga identificira, vključno z dovoljenji ali prepovedmi v zvezi s takim poslom.
personal transactions effected under a discretionary portfolio management service where there is no prior communication in connection with the transaction between the portfolio manager and the relevant person or other person for whose account the transaction is executed;
V primeru dogovorov o zunanjem izvajanju investicijsko podjetje zagotovi, da podjetje, ki mu je dejavnost oddana v zunanje izvajanje, vodi evidenco osebnih poslov, ki jih je sklenila katera koli zadevna oseba, in navedene podatke na zahtevo takoj pošlje investicijskemu podjetju.
personal transactions in undertakings for collective investments in transferable securities (UCITS) or AIFs that are subject to supervision under the law of a Member State which requires an equivalent level of risk spreading in their assets, where the relevant person and any other person for whose account the transactions are effected are not involved in the management of that undertaking.
Odstavki od 1 do 5 se ne uporabljajo za naslednje osebne posle:
SECTION 2
osebne posle, opravljene v okviru storitve diskrecijskega upravljanja portfeljev brez predhodne komunikacije v zvezi s poslom med upravljavcem portfeljev in zadevno osebo ali drugo osebo, za račun katere je izveden posel;
Outsourcing
osebne posle v kolektivnih naložbenih podjemih za vlaganje v prenosljive vrednostne papirje (KNPVP) ali alternativnih investicijskih skladih, ki se nadzorujejo v skladu z zakonodajo države članice, ki za njihovo premoženje zahteva enakovredno stopnjo razpršitve tveganja, kadar zadevna oseba in katera koli druga oseba, za katere račun se izvedejo posli, ne sodelujeta v upravljanju tega podjema.
Article 30
ODDELEK 2
Scope of critical and important operational functions
Zunanje izvajanje
(Article 16(2) and first subparagraph of Article 16(5) of Directive 2014/65/EU)
Člen 30
For the purposes of the first subparagraph of Article 16(5) of Directive 2014/65/EU, an operational function shall be regarded as critical or important where a defect or failure in its performance would materially impair the continuing compliance of an investment firm with the conditions and obligations of its authorisation or its other obligations under Directive 2014/65/EU, or its financial performance, or the soundness or the continuity of its investment services and activities.
Operativne funkcije odločilnega pomena in pomembne operativne funkcije
Without prejudice to the status of any other function, the following functions shall not be considered as critical or important for the purposes of paragraph 1:
(člen 16(2) in prvi pododstavek člena 16(5) Direktive 2014/65/EU)
the provision to the firm of advisory services, and other services which do not form part of the investment business of the firm, including the provision of legal advice to the firm, the training of personnel of the firm, billing services and the security of the firm's premises and personnel;
Za namene prvega pododstavka člena 16(5) Direktive 2014/65/EU je operativna funkcija odločilnega pomena ali pomembna, če bi napaka v njenem izvajanju ali njeno neizvajanje pomembno ogrozila neprekinjeno izpolnjevanje pogojev in obveznosti investicijskega podjetja, ki izhajajo iz njegovega dovoljenja, ali drugih obveznosti na podlagi Direktive 2014/65/EU, oziroma njegovo finančno uspešnost, trdnost ali neprekinjeno izvajanje njegovih investicijskih storitev in dejavnosti.
the purchase of standardised services, including market information services and the provision of price feeds.
Brez poseganja v status katere koli druge funkcije se za naslednje funkcije ne šteje, da so odločilnega pomena ali pomembne za namene odstavka 1:
Article 31
zagotavljanje svetovalnih storitev podjetju in drugih storitev, ki niso del investicijskih dejavnosti podjetja, vključno z zagotavljanjem pravnega svetovanja podjetju, usposabljanjem zaposlenih podjetja, storitvami izdajanja računov ter varovanjem prostorov in zaposlenih podjetja;
Outsourcing critical or important operational functions
nakup standardiziranih storitev, vključno s storitvami zagotavljanja tržnih informacij in aktualnih cen.
(Article 16(2) and of Article 16(5) first subparagraph of Directive 2014/65/EU)
Člen 31
Investment firms outsourcing critical or important operational functions shall remain fully responsible for discharging all of their obligations under Directive 2014/65/EU and shall comply with the following conditions:
Zunanje izvajanje operativnih funkcij odločilnega pomena in pomembnih operativnih funkcij
the outsourcing does not result in the delegation by senior management of its responsibility;
(člen 16(2) in prvi pododstavek člena 16(5) Direktive 2014/65/EU)
the relationship and obligations of the investment firm towards its clients under the terms of Directive 2014/65/EU is not altered;
Investicijska podjetja, ki v zunanje izvajanje oddajo operativne funkcije odločilnega pomena ali pomembne operativne funkcije, ostanejo v celoti odgovorne za izpolnjevanje vseh obveznosti v skladu z Direktivo 2014/65/EU in izpolnjujejo naslednje pogoje:
the conditions with which the investment firm must comply in order to be authorised in accordance with Article 5 of Directive 2014/65/EU, and to remain so, are not undermined;
oddajanje teh funkcij v zunanje izvajanje ne povzroči prenosa odgovornosti višjega vodstva na zunanjega izvajalca;
none of the other conditions subject to which the firm's authorisation was granted is removed or modified.
razmerje in obveznosti investicijskega podjetja do njegovih strank v skladu s pogoji Direktive 2014/65/EU se ne spremenijo;
Investment firms shall exercise due skill, care and diligence when entering into, managing or terminating any arrangement for the outsourcing to a service provider of critical or important operational functions and shall take the necessary steps to ensure that the following conditions are satisfied:
izpolnjevanje pogojev, ki jih mora izpolnjevati investicijsko podjetje, da pridobi dovoljenje v skladu s členom 5 Direktive 2014/65/EU in da ga ohrani, ni ogroženo;
the service provider has the ability, capacity, sufficient resources, appropriate organisational structure supporting the performance of the outsourced functions, and any authorisation required by law to perform the outsourced functions, reliably and professionally;
nobeden od drugih pogojev, ki jih je moralo podjetje izpolniti, da je pridobilo dovoljenje, ni odpravljen ali spremenjen.
the service provider carries out the outsourced services effectively and in compliance with applicable law and regulatory requirements, and to this end the firm has established methods and procedures for assessing the standard of performance of the service provider and for reviewing on an ongoing basis the services provided by the service provider;
Investicijska podjetja izkazujejo primerno strokovnost, previdnost in skrbnost pri sklepanju, upravljanju ali prekinitvi vseh dogovorov za uporabo zunanjega izvajalca storitev za izvajanje operativnih funkcij, ki so odločilnega pomena ali pomembne, ter sprejme potrebne ukrepe za zagotovitev, da so izpolnjeni naslednji pogoji:
the service provider properly supervises the carrying out of the outsourced functions, and adequately manage the risks associated with the outsourcing;
izvajalec storitev ima sposobnost, zmogljivost, zadostne vire in ustrezno organizacijsko strukturo za podporo izvajanju funkcij, oddanih zunanjemu izvajalcu, ter vsa dovoljenja, ki so v skladu z zakonodajo potrebna za zanesljivo in strokovno izvajanje funkcij, oddanih zunanjemu izvajalcu;
appropriate action is taken where it appears that the service provider may not be carrying out the functions effectively or in compliance with applicable laws and regulatory requirements;
izvajalec storitev oddane storitve izvaja učinkovito in v skladu z veljavno zakonodajo ter regulativnimi zahtevami, podjetje pa je v ta namen vzpostavilo metode in postopke za ocenjevanje kakovosti dela izvajalca storitev in za stalno preverjanje storitev, ki jih zagotavlja;
the investment firm effectively supervises the outsourced functions or services and manage the risks associated with the outsourcing and to this end the firm retains the necessary expertise and resources to supervise the outsourced functions effectively and manage those risks;
izvajalec storitev ustrezno nadzoruje izvajanje funkcij, oddanih v zunanje izvajanje, in v zadostnem obsegu upravlja tveganja, povezana z zunanjim izvajanjem;
the service provider has disclosed to the investment firm any development that may have a material impact on its ability to carry out the outsourced functions effectively and in compliance with applicable laws and regulatory requirements;
sprejmejo se ustrezni ukrepi, če je videti, da izvajalec storitev funkcij ne izvaja učinkovito in v skladu z veljavnimi zakoni in regulativnimi zahtevami;
the investment firm is able to terminate the arrangement for outsourcing where necessary, with immediate effect when this is in the interests of its clients, without detriment to the continuity and quality of its provision of services to clients;
investicijsko podjetje učinkovito nadzoruje funkcije ali storitve, oddane v zunanje izvajanje, upravlja tveganja, povezana z zunanjim izvajanjem, ter v ta namen ohranja potrebno strokovno znanje in vire za učinkovito nadzorovanje oddanih funkcij in upravljanje navedenih tveganj;
the service provider cooperates with the competent authorities of the investment firm in connection with the outsourced functions;
izvajalec storitev je investicijskemu podjetju razkril vse dogodke, ki bi lahko pomembno vplivali na njegovo zmožnost izvajanja funkcij, oddanih v zunanje izvajanje, na učinkovit način in v skladu z veljavnimi zakoni in regulativnimi zahtevami;
the investment firm, its auditors and the relevant competent authorities have effective access to data related to the outsourced functions, as well as to the relevant business premises of the service provider, where necessary for the purpose of effective oversight in accordance with this article, and the competent authorities are able to exercise those rights of access;
investicijsko podjetje je po potrebi zmožno prekiniti dogovor o zunanjem izvajanju s takojšnjim učinkom, če je to v interesu njegovih strank, brez posledic za neprekinjeno izvajanje in kakovost njegovih storitev za stranke;
the service provider protects any confidential information relating to the investment firm and its clients;
izvajalec storitev sodeluje s pristojnimi organi investicijskega podjetja v zvezi s funkcijami, oddanimi v zunanje izvajanje;
the investment firm and the service provider have established, implemented and maintained a contingency plan for disaster recovery and periodic testing of backup facilities, where that is necessary having regard to the function, service or activity that has been outsourced;
investicijsko podjetje, njegovi revizorji in zadevni pristojni organi morajo imeti učinkovit dostop do podatkov, ki se nanašajo na funkcije, oddane v zunanje izvajanje, in do ustreznih poslovnih prostorov izvajalca storitev, če je to potrebno za učinkovit nadzor v skladu s tem členom, pristojni organi pa lahko uveljavijo navedeno pravico do dostopa;
the investment firm has ensured that the continuity and quality of the outsourced functions or services are maintained also in the event of termination of the outsourcing either by transferring the outsourced functions or services to another third party or by performing them itself.
izvajalec storitev varuje vse zaupne informacije, ki zadevajo investicijsko podjetje in njegove stranke;
The respective rights and obligations of the investment firms and of the service provider shall be clearly allocated and set out in a written agreement.
investicijsko podjetje in izvajalec storitev imata vzpostavljene, izvajata in ohranjata krizni načrt za vnovično vzpostavitev delovanja po katastrofi ter redno testirata rezervno infrastrukturo, če je to potrebno ob upoštevanju funkcije, storitve ali dejavnosti, ki je oddana v zunanje izvajanje;
In particular, the investment firm shall keep its instruction and termination rights, its rights of information, and its right to inspections and access to books and premises.
investicijsko podjetje zagotovi, da se neprekinjeno izvajanje in kakovost funkcij ali storitev, oddanih v zunanje izvajanje, ohrani tudi v primeru prenehanja oddajanja v zunanje izvajanje, in sicer tako, da oddane funkcije ali storitve prenese na tretjo osebo ali jih izvede samo.
The agreement shall ensure that outsourcing by the service provider only takes place with the consent, in writing, of the investment firm.
Zadevne pravice in obveznosti investicijskega podjetja in izvajalca storitev se jasno razdelijo in opredelijo v pisnem sporazumu.
Where the investment firm and the service provider are members of the same group, the investment firm may, for the purposes of complying with this Article and Article 32, take into account the extent to which the firm controls the service provider or has the ability to influence its actions.
Investicijsko podjetje zlasti obdrži pravico do dajanja navodil, pravico do prekinitve dogovora, pravico do obveščenosti in pravico do pregledov ter dostopa do poslovnih knjig in poslovnih prostorov.
Investment firms shall make available on request to the competent authority all information necessary to enable the authority to supervise the compliance of the performance of the outsourced functions with the requirements of Directive 2014/65/EU and its implementing measures.
Dogovor zagotavlja, da izvajalec storitev opravlja zunanje izvajanje samo ob privolitvi investicijskega podjetja v pisni obliki.
Article 32
Investicijsko podjetje lahko v primeru, ko sta investicijsko podjetje in izvajalec storitev člana iste skupine, za namene izpolnjevanja tega člena in člena 32 upošteva obseg, v katerem podjetje nadzoruje izvajalca storitev ali ima možnost vplivati na njegova dejanja.
Service providers located in third countries
Investicijska podjetja dajo na zahtevo pristojnim organom na razpolago vse informacije, ki jih ti potrebujejo za nadzor skladnosti izvajanja funkcij s strani zunanjih izvajalcev z zahtevami Direktive 2014/65/EU in njenih izvedbenih ukrepov.
In addition to the requirements set out in Article 31, where an investment firm outsources functions related to the investment service of portfolio management provided to clients to a service provider located in a third country, that investment firm ensures that the following conditions are satisfied:
Člen 32
the service provider is authorised or registered in its home country to provide that service and is effectively supervised by a competent authority in that third country;
Izvajalci storitev, ki se nahajajo v tretjih državah
there is an appropriate cooperation agreement between the competent authority of the investment firm and the supervisory authority of the service provider.
Poleg zahtev iz člena 31 v primeru, ko investicijsko podjetje odda funkcije, povezane z investicijsko storitvijo upravljanja portfeljev, v zunanje izvajanje izvajalcu storitev, ki se nahaja v tretji državi, navedeno investicijsko podjetje zagotovi, da so izpolnjeni naslednji pogoji:
The cooperation agreement referred to in point (b) of paragraph 1 shall ensure that the competent authorities of the investment firm are able, at least, to:
izvajalec storitev ima dovoljenje ali je registriran v matični državi za izvajanje navedene storitve, nadzoruje pa ga pristojni organ v navedeni tretji državi;