natgillin/translations-raw huggingface dataset:
A CSD shall ensure that, upon its request, its participants, other holders of accounts in the CSD and the account operators provide the CSD with the information that the CSD deems necessary to ensure the integrity of the issue, in particular to solve any reconciliation problems.
CDD zagotovi, da ji njeni udeleženci, drugi imetniki računov pri CDD in upravitelji računov na zahtevo posredujejo informacije, ki so po njenem mnenju potrebne za zagotovitev celote izdaje, zlasti da lahko razreši morebitne težave pri usklajevanju.
For the purposes of this paragraph, ‘account operator’ shall mean an entity that is contracted by a CSD to record book entries into its securities accounts.
Za namene tega odstavka „upravitelj računa“ pomeni subjekt, ki ga CDD najame za evidentiranje na račune vrednostnih papirjev v nematerializirani obliki.
Article 65
Člen 65
Problems related to reconciliation
Težave v zvezi z usklajevanjem
A CSD shall analyse any mismatches and inconsistencies resulting from the reconciliation process and endeavour to solve them before the beginning of settlement on the following business day.
CDD analizira vse neusklajenosti in nedoslednosti, ki izhajajo iz postopka usklajevanja, in jih poskusijo razrešiti pred začetkom izvajanja poravnav naslednji delovni dan.
Where the reconciliation process reveals an undue creation or deletion of securities, and the CSD fails to solve this problem by the end of the following business day, the CSD shall suspend the securities issue for settlement until the undue creation or deletion of securities has been remedied.
Če se v postopku usklajevanja odkrije, da je prišlo do nedovoljenega ustvarjanja ali izbrisa vrednostnih papirjev, in CDD ne uspe razrešiti te težave do konca naslednjega delovnega dne, CDD začasno ustavi poravnave za izdajo vrednostnih papirjev, dokler se nista sanirala nedovoljeno ustvarjanje ali izbris vrednostnih papirjev.
In the event of suspension of the settlement, the CSD shall inform without undue delay its participants, competent authority, relevant authorities and all other entities involved in the reconciliation process referred to in Articles 61, 62 and 63.
V primeru začasne ustavitve poravnav CDD brez nepotrebnega odlašanja obvesti svoje udeležence, pristojni organ, zadevne organe in vse druge subjekte, vključene v postopek uskladitve, iz člena 61, 62 in 63.
The CSD shall take without undue delay all the necessary measures to remedy the undue creation or deletion of securities and shall inform its competent authority and relevant authorities with regard to the measures taken.
CDD brez nepotrebnega odlašanja sprejme vse potrebne ukrepe za sanacijo nedovoljenega ustvarjanja ali izbrisa vrednostnih papirjev in obvesti svoj pristojni organ in zadevne organe o sprejetih ukrepih.
The CSD shall inform without undue delay its participants, competent authority, relevant authorities and the other entities involved in the reconciliation process that are referred to in Articles 61, 62 and 63, when the undue creation or deletion of securities has been remedied.
CDD brez nepotrebnega odlašanja obvesti svoje udeležence, pristojni organ, zadevne organe in druge subjekte, vključene v postopek usklajevanja, ki so navedeni v členih 61, 62 in 63, ko sta se nedovoljeno ustvarjanje ali izbris vrednostnih papirjev sanirala.
Where a securities issue is suspended from settlement, the settlement discipline measures set out in Article 7 of Regulation (EU) No 909/2014 shall not apply in relation to that securities issue for the period of suspension.
Če se za izdajo vrednostnih papirjev poravnava začasno ustavi, se ukrepi za disciplino pri poravnavi iz člena 7 Uredbe (EU) št. 909/2014 ne uporabljajo za to izdajo vrednostnih papirjev, dokler traja začasna prekinitev.
The CSD shall resume settlement as soon as the undue creation or deletion of securities has been remedied.
CDD ponovno začne s poravnavo takoj, ko sta se nedovoljeno ustvarjanje ali izbris vrednostnih papirjev sanirala.
Where the number of instances of undue creation or deletion of securities referred to in paragraph 2 is higher than five per month, the CSD shall send within one month the competent authority and the relevant authorities a proposed plan of measures for mitigating the occurrence of similar instances.
Kadar je število primerov nedovoljenega ustvarjanja ali izbrisa vrednostnih papirjev iz odstavka 2 več kot pet na mesec, CDD v roku enega meseca pošlje pristojnemu organu in zadevnimi organom predlog načrta ukrepov za zmanjšanje pogostosti podobnih primerov.
The CSD shall update the plan and shall provide a report on its implementation to the competent authority and the relevant authorities on a monthly basis, until the number of instances referred to in paragraph 2 falls below five per month.
CDD posodobi načrt in vsak mesec predloži poročilo o njegovem izvajanju pristojnemu organu in zadevnim organom, dokler se število primerov iz odstavka 2 ne zmanjša pod pet.
OPERATIONAL RISKS
OPERATIVNA TVEGANJA
(Article 45(1) to (6) of Regulation (EU) No 909/2014)
(člen 45(1) do (6) Uredbe (EU) št. 909/2014)
Identifying operational risks
Odkrivanje operativnih tveganj
Article 66
Člen 66
General operational risks and their assessment
Splošna operativna tveganja in njihovo ocenjevanje
The operational risks referred to in Article 45(1) of Regulation (EU) No 909/2014 comprise the risks caused by deficiencies in information systems, internal processes, and personnel's performance or disruptions caused by external events that result in the reduction, deterioration or interruption of services provided by a CSD.
Operativna tveganja iz člena 45(1) Uredbe (EU) št. 909/2014 vključujejo tveganja, ki jih povzročijo pomanjkljivosti v informacijskih sistemih, notranjih procesih in rezultati zaposlenih, ali motnje, ki jih povzročijo zunanji dogodki, ki privedejo do zmanjšanja, poslabšanja ali prekinitve storitev, ki jih izvaja CDD.
A CSD shall identify all potential single points of failure in its operations and assess the evolving nature of the operational risk that it faces, including pandemics and cyber-attacks, on an ongoing basis.
CDD opredeli vse potencialne posamezne točke izpada poslovanja in nenehno ocenjuje, kako se spreminjajo operativna tveganja, ki jim je izpostavljena, vključno s pandemijami in kibernetskimi napadi.
Article 67
Člen 67
Operational risks that may be posed by key participants
Operativna tveganja, ki jih lahko predstavljajo ključni udeleženci
A CSD shall, on an ongoing basis, identify the key participants in the securities settlement system that it operates based on the following factors:
CDD nenehno določa, kateri so ključni udeleženci v sistemih poravnave vrednostnih papirjev, ki jih upravlja, na podlagi naslednjih dejavnikov:
their transaction volumes and values;
obsega in vrednosti njihovih poslov;
material dependencies between its participants and its participants' clients, where the clients are known to the CSD, that might affect the CSD;
pomembnih odvisnosti med njenimi udeleženci in njihovimi strankami, če so slednje znane CDD, ki lahko vplivajo na CDD;
their potential impact on other participants and the securities settlement system of the CSD as a whole in the event of an operational problem affecting the smooth provision of services by the CSD.
njihovega potencialnega vpliva na druge udeležence in sistem poravnave vrednostnih papirjev CDD kot celote v primeru operativnega problema, ki vpliva na nemoteno opravljanje storitev CDD.
For the purposes of point (b) in the first subparagraph, the CSD shall also identify the following:
Za namene točke (b) prvega pododstavka CDD določi tudi naslednje:
the participants' clients responsible for a significant proportion of transactions processed by the CSD;
stranke udeležencev, ki so odgovorne za pomemben delež poslov, ki jih obdela CDD;
the participants' clients whose transactions, based on their volumes and values, are significant relative to the respective participants' risk-management capacity.
stranke udeležencev, katerih posli so po obsegu in vrednosti pomembni glede na zmogljivost upravljanja tveganj zadevnega udeleženca.
A CSD shall review and keep the identification of the key participants up-to-date on an ongoing basis.
CDD nenehno pregleduje in posodablja podatke o ključnih udeležencih.
A CSD shall have clear and transparent criteria, methodologies and standards in order to ensure that key participants meet the operational requirements.
CDD ima jasna in pregledna merila, metodologije in standarde za zagotavljanje, da ključni udeleženci izpolnjujejo operativne zahteve.
A CSD shall, on an ongoing basis, identify, monitor, and manage the operational risks that it faces from key participants.
CDD nenehno določa, spremlja in upravlja operativna tveganja, ki jih zanjo predstavljajo ključni udeleženci.
For the purposes of the first subparagraph, the operational risk-management system referred to in Article 70 shall also provide for rules and procedures to gather all relevant information about their participants' clients.
Za namene prvega pododstavka sistem za upravljanje operativnega tveganja iz člena 70 določa tudi pravila in postopke za zbiranje vseh relevantnih informacij o strankah udeležencev CDD.
The CSD shall also include in the agreements with its participants all terms necessary to facilitate the gathering of that information.
CDD v sporazume s svojimi udeleženci vključi tudi vse pogoje, ki so potrebni za olajšanje zbiranja teh informacij.
Article 68
Člen 68
Operational risks that may be posed by critical utilities and critical service providers
Operativna tveganja, ki jih lahko predstavljajo izvajalci ključnih javnih in drugih storitev
A CSD shall identify critical utilities providers and critical service providers that may pose risks to CSD's operations due to its dependency on them.
CDD opredelijo izvajalce ključnih javnih in drugih storitev, ki lahko predstavljajo tveganja za poslovanje CDD zaradi njene odvisnosti od njih.
A CSD shall take appropriate actions to manage the dependencies referred to in paragraph 1 through adequate contractual and organisational arrangements, as well as through specific provisions in its business continuity policy and disaster recovery plan, before any relationship with those providers becomes operational.
CDD sprejme ustrezne ukrepe za obvladovanje odvisnosti iz odstavka 1 z ustreznimi pogodbenimi in organizacijskimi ureditvami, pa tudi s posebnimi določbami v svoji politiki neprekinjenega poslovanja in načrtu za sanacijo po nesreči, preden postane kakršno koli razmerje s temi izvajalci operativno.
A CSD shall ensure that its contractual arrangements with any providers identified in accordance with paragraph 1 require a prior approval of the CSD for the service provider to further subcontract any elements of the services provided to the CSD.
CDD zagotovi, da njene pogodbene ureditve z vsemi izvajalci, opredeljenimi v skladu z odstavkom 1, zahtevajo predhodno odobritev CDD, preden lahko izvajalec storitev odda naprej v zunanje izvajanje katere koli elemente storitev, ki jih opravlja za CDD.
Where the service provider outsources its services in accordance with the first subparagraph, the CSD shall ensure that the level of service and its resilience is not impacted and full access by the CSD to the information necessary for the provision of the outsourced services is preserved.
Če izvajalec storitev oddaja storitve v zunanje izvajanje v skladu s prvim pododstavkom, CDD zagotovi, da to ne vpliva na raven storitve in njeno zanesljivost ter da je ohranjen poln dostop CDD do informacij, potrebnih za zagotavljanje storitev, oddanih v zunanje izvajanje.
A CSD shall establish clear lines of communication with the providers referred to in paragraph 1 to facilitate the exchange of information in both ordinary and exceptional circumstances.
CDD vzpostavi jasne komunikacijske kanale z izvajalci iz odstavka 1 za lažjo izmenjavo informacij tako v običajnih kot v izrednih okoliščinah.
A CSD shall inform its competent authority about any dependencies on utilities and service providers identified under paragraph 1 and take measures to ensure that authorities can obtain information about the performance of those providers, either directly from utilities or service providers or through the CSD.
CDD obvesti pristojni organ o vseh primerih odvisnosti od izvajalcev javnih in drugih storitev, opredeljenih v skladu z odstavkom 1, in sprejme ukrepe za zagotovitev, da lahko organi pridobijo informacije o učinkovitosti teh izvajalcev neposredno od samih izvajalcev javnih in drugih storitev ali od CDD.
Article 69
Člen 69
Operational risks that may be posed by other CSDs or market infrastructures
Operativna tveganja, ki jih lahko predstavljajo druge CDD ali tržne infrastrukture
A CSD shall ensure that its systems and communication arrangements with other CSDs or market infrastructures are reliable, secure and designed to minimise operational risks.
CDD zagotovi, da so njeni sistemi in ureditve za komunikacijo z drugimi CDD ali tržnimi infrastrukturami zanesljivi, varni in zasnovani za čim večje zmanjšanje operativnih tveganj.
Any arrangement that a CSD enters into with another CSD or another market infrastructures shall provide that:
Vsak dogovor, ki ga CDD sklene z drugo CDD ali drugo tržno infrastrukturo, določa, da:
the other CSD or other financial market infrastructure discloses to the CSD any critical service provider on which the other CSD or market infrastructure relies;
druga CDD ali druga infrastruktura finančnega trga razkrije CDD vse izvajalce kritičnih storitve, od katerih je odvisna druga CDD ali tržna infrastruktura;
the governance arrangements and management processes in the other CSD or other market infrastructure do not affect the smooth provision of services by the CSD, including the risk-management arrangements and the non-discriminatory access conditions.
ureditve in postopki upravljanja v drugi CDD ali drugi tržni infrastrukturi ne vplivajo na nemoteno opravljanje storitev CDD, kar vključuje ureditve za upravljanje tveganj in pogoje za nediskriminatoren dostop.
Methods to test, address and minimise operational risks
Metode za testiranje, obravnavanje in zmanjševanje operativnih tveganj
Article 70
Člen 70
Operational risk-management system and framework
Sistem in okvir za upravljanje operativnih tveganj
As part of the policies, procedures and systems referred to in Article 47, a CSD shall have in place a well-documented framework for the management of operational risk with clearly assigned roles and responsibilities.
CDD ima v okviru politik, postopkov in sistemov iz člena 47 vzpostavljen dobro dokumentiran okvir za upravljanje operativnih tveganj z jasno določenimi vlogami in odgovornostmi.
A CSD shall have appropriate IT systems, policies, procedures and controls to identify, measure, monitor, report on and mitigate its operational risk.
CDD ima ustrezne sisteme informacijske tehnologije, politike, postopke in kontrole za odkrivanje, merjenje, spremljanje, poročanje o in zmanjševanje svojega operativnega tveganja.
The management body and the senior management of a CSD shall determine, implement and monitor the risk-management framework for operational risks referred to in paragraph 1, identify all of the CSD's exposures to operational risk and track relevant operational risk data, including any cases where material data is lost.
Organ upravljanja in višje vodstvo CDD določita, izvajata in spremljata okvir za upravljanje operativnih tveganj iz odstavka 1, opredelita vse izpostavljenosti CDD operativnemu tveganju in spremljata relevantne podatke o operativnem tveganju, vključno z vsemi primeri, v katerih pride do izgube pomembnih podatkov.
A CSD shall define and document clear operational reliability objectives, including operational performance objectives and committed service-level targets for its services and securities settlement systems.
CDD opredeli in dokumentira jasne cilje glede operativne zanesljivosti, vključno s cilji glede operativne učinkovitosti in zavezujočimi cilji glede ravni storitev za svoje storitve in sisteme poravnave vrednostnih papirjev.
It shall have policies and procedures in place to achieve those objectives.
Vzpostavljene ima postopke in politike za dosego teh ciljev.
A CSD shall ensure that its operational performance objectives and service-level targets referred to in paragraph 3 include both qualitative and quantitative measures of operational performance.
CDD zagotovi, da njeni cilji glede operativne učinkovitosti in ravni storitev iz odstavka 3 vključujejo tako kvalitativna kot kvantitativna merila operativne učinkovitosti.
A CSD shall regularly monitor and assess whether its established objectives and service-level targets are met.
CDD redno spremlja in ocenjuje, ali se njeni opredeljeni cilji in ravni storitev dosegajo.
A CSD shall have rules and procedures in place that ensure that the performance of its securities system is reported regularly to senior management, members of the management body, relevant committees of the management body, user committees and the competent authority.
CDD ima vzpostavljena pravila in postopke za zagotavljanje, da se višjemu vodstvu, članom upravljalnega organa, ustreznim odborom upravljalnega organa, odborom uporabnikov in pristojnemu organu redno poroča o delovanju njenih varnostnih sistemov.
A CSD shall periodically review its operational objectives to incorporate new technological and business developments.
CDD redno pregleduje svoje operativne cilje, tako da ti upoštevajo nove tehnološke in poslovne trende.
A CSD's operational risk-management framework shall include change-management and project-management processes to mitigate operational risk arising from modifications to operations, policies, procedures and controls put in place by the CSD.
Okvir CDD za upravljanje operativnih tveganj vključuje postopke za upravljanje sprememb in vodenje projektov, s katerimi se zmanjšuje operativno tveganje, ki izhaja iz sprememb pri poslovanju, politikah, postopkih in kontrolah, ki jih ima vzpostavljene CDD.
A CSD's operational risk-management framework shall include a comprehensive framework for physical security and information security to manage the risks that the CSD faces from attacks, including cyber-attacks, intrusions and natural disasters.
Okvir CDD za upravljanje operativnih tveganj vključuje celovit okvir za fizično varovanje in varnost informacij za upravljanje tveganj za CDD v zvezi z napadi, vključno s kibernetskimi napadi, vdori in naravnimi nesrečami.
That comprehensive framework shall enable the CSD to protect the information at its disposal from unauthorised access or disclosure, ensure data accuracy and integrity and maintain availability of the services provided by the CSD.
Ta celoviti okvir CDD omogoča, da informacije, s katerimi razpolaga, varuje pred nepooblaščenim dostopom ali razkritjem, zagotavlja točnost in integriteto podatkov ter ohranja razpoložljivost storitev, ki jih opravlja CDD.
A CSD shall put in place appropriate procedures concerning human resources to employ, train and retain qualified personnel, as well as mitigate the effects of personnel turnover or overreliance on key personnel.
CDD vzpostavi ustrezne kadrovske postopke za zaposlovanje, usposabljanje in zadržanje kvalificiranih kadrov ter zmanjšanja učinkov fluktuacije zaposlenih in prekomernega zanašanja na ključne zaposlene.
Article 71
Člen 71
Integration of and compliance with the operational and enterprise risk-management system
Integriranost sistema za upravljanje operativnih tveganj in sistema celovitega upravljanja tveganj v podjetju in skladnost z njima
A CSD shall ensure that its operational risk-management system is part of its day-to-day risk-management processes and that their results are taken into account in the process of determining, monitoring and controlling the CSD's operational risk profile.
CDD zagotovi, da je njen sistem za upravljanje operativnih tveganj vključen v vsakodnevne postopke upravljanja tveganj in da se njihovi rezultati upoštevajo pri procesu določanja, spremljanja in obvladovanja profila operativnih tveganj CDD.
A CSD shall have in place mechanisms for regular reporting to the senior management of operational risk exposures and losses experienced from operational risks, and procedures for taking appropriate corrective action to mitigate those exposures and losses.
CDD ima vzpostavljene mehanizme za redno poročanje višjemu vodstvu o izpostavljenostih operativnemu tveganju in izgubah na podlagi operativnih tveganj, kot tudi postopke za izvajanje ustreznih popravnih ukrepov za zmanjševanje teh izpostavljenosti in izgub.
A CSD shall have in place procedures for ensuring compliance with the operational risk-management system, including internal rules on the treatment of failures in the application of that system.
CDD ima vzpostavljene postopke za zagotavljanje skladnosti s sistemom za upravljanje operativnih tveganj, vključno z notranjimi pravili o obravnavanju napak pri uporabi sistema.
A CSD shall have comprehensive and well-documented procedures to record, monitor and resolve all operational incidents, including:
CDD ima celovite in dobro dokumentirane postopke za evidentiranje, spremljanje in razreševanje vseh operativnih incidentov, ki vključujejo:
a system to classify the incidents taking into account their impact on the smooth provision of services by the CSD;
sistem za razvrščanje incidentov ob upoštevanju njihovega učinka na nemoteno opravljanje storitev CDD;
a system for reporting material operational incidents to the senior management, the management body and the competent authority;
sistem za sporočanje pomembnih operativnih incidentov višjemu vodstvu, upravljalnemu organu in pristojnemu organu;
a ‘post-incident’ review after any material disruption in the CSD's activities, to identify the causes and required improvements to the operations or business continuity policy and disaster recovery plan, including to the policies and plans of the users of the CSD.
„pregled po incidentu“ po vsaki pomembni motnji pri dejavnostih CDD za opredelitev vzrokov in zahtevanih izboljšav pri poslovanju ali politiki neprekinjenega poslovanja in načrtu za sanacijo po nesreči, vključno s politikami in načrti uporabnikov CDD.
The result of that review shall be communicated to the competent authority and relevant authorities without delay.
Rezultat tega pregleda se nemudoma sporoči pristojnemu organu in zadevnim organom.
Article 72
Člen 72
Operational risk-management function
Funkcija upravljanja operativnih tveganj
As part of the risk-management function, the operational risk-management function of a CSD shall manage the CSD's operational risk.
Funkcija upravljanja operativnih tveganj, ki je del funkcije upravljanja tveganj CDD, upravlja operativna tveganja CDD.
It shall in particular:
In sicer zlasti:
develop strategies, policies and procedures to identify, measure, monitor and report on operational risks;
pripravlja strategije, politike in postopke za odkrivanje, merjenje, spremljanje in poročanje o operativnih tveganjih;
develop procedures to control and manage operational risks, including by introducing any necessary adjustments in the operational risk-management system;
pripravlja postopke za nadzor nad operativnimi tveganji in njihovo obvladovanje, kar vključuje vse potrebne prilagoditve sistema za upravljanje operativnih tveganj;
ensure that the strategies, policies and procedures referred to in points (a) and (b) are properly implemented.
zagotavlja, da se strategije, politike in postopki iz točk (a) in (b) ustrezno izvajajo.
Article 73
Člen 73
Audit and testing
Revidiranje in testiranje
A CSD's operational risk-management framework and systems shall be subject to audits.
Okvir in sistemi CDD za upravljanje operativnega tveganja se revidirajo.
The frequency of those audits shall be based on a documented risk assessment and shall be conducted at least once every two years.
Pogostost teh revizij temelji na dokumentirani oceni tveganj, revizija pa se izvede vsaj enkrat na dve leti.
The audits referred to in the previous paragraph shall include both the activities of the internal business units of the CSD and those of the operational risk-management function.
Revizije iz prejšnjega odstavka zajemajo tako dejavnosti notranjih poslovnih enot CDD kot dejavnosti funkcije upravljanja operativnih tveganj.