natgillin/translations-raw huggingface dataset:
where financial instruments are held by investment firms in accordance with Article 3, details on the accounts opened with third parties and on the relevant agreements with those third parties, as well as details on the relevant agreements with those investment firms;
če so investicijska podjetja imetniki finančnih instrumentov v skladu s členom 3, podrobnosti o računih, odprtih pri tretjih osebah, in o ustreznih dogovorih s temi tretjimi osebami, kot tudi podrobnosti o ustreznih dogovorih z navedenimi investicijskimi podjetji;
details of third parties carrying out any related (outsourced) tasks and details of any outsourced tasks
podatke o tretjih osebah, ki opravljajo kakršne koli s tem povezane naloge (oddane v zunanje izvajanje), ter podatke o vseh nalogah, oddanih v zunanje izvajanje;
key individuals of the firm involved in related processes, including those responsible for oversight of the firm's requirements in relation to the safeguarding of client assets; and
ključne posameznike v podjetju, ki se ukvarjajo s povezanimi postopki, vključno z odgovornimi za nadzor nad zahtevami podjetja v zvezi z zaščito sredstev strank, in
agreements relevant to establish client ownership over assets.
dogovore, ki so pomembni za ugotavljanje lastništva sredstev.
Member States shall allow investment firms to deposit financial instruments held by them on behalf of their clients into an account or accounts opened with a third party provided that the firms exercise all due skill, care and diligence in the selection, appointment and periodic review of the third party and of the arrangements for the holding and safekeeping of those financial instruments.
Države članice investicijskim podjetjem dovolijo, da deponirajo finančne instrumente, katerih imetnik so v imenu svojih strank, na račun ali račune, odprte pri tretji osebi pod pogojem, da podjetja izkazujejo ustrezno sposobnost, skrbnost in gospodarnost pri izbiri, imenovanju in rednem pregledovanju tretje osebe ter ureditev imetništva in hrambe navedenih finančnih instrumentov.
In particular, Member States shall require investment firms to take into account the expertise and market reputation of the third party as well as any legal requirements related to the holding of those financial instruments that could adversely affect clients' rights.
Države članice zlasti zahtevajo, da investicijska podjetja upoštevajo strokovno znanje in tržni ugled tretje osebe ter kakršne koli pravne zahteve v zvezi z imetništvom navedenih finančnih instrumentov, ki bi lahko imeli negativne učinke na pravice strank.
Where an investment firm proposes to deposit client financial instruments with a third party, Member States shall ensure that this investment firm only deposits financial instruments with a third party in a jurisdiction where the safekeeping of financial instruments for the account of another person is subject to specific regulation and supervision and that third party is subject to this specific regulation and supervision.
Če investicijsko podjetje predlaga deponiranje finančnih instrumentov strank pri tretji osebi, države članice zagotovijo, da to investicijsko podjetje deponira finančne instrumente pri tretji osebi samo v jurisdikciji, kjer za hrambo finančnih instrumentov za račun druge osebe veljata posebna zakonodaja in nadzor in je ta tretja oseba predmet te posebne zakonodaje in nadzora.
Member States shall ensure that investment firms do not deposit financial instruments held on behalf of clients with a third party in a third country that does not regulate the holding and safekeeping of financial instruments for the account of another person unless one of the following conditions is met:
Države članice zagotovijo, da investicijska podjetja ne deponirajo finančnih instrumentov, katerih imetnik so v imenu strank, pri tretji osebi v tretji državi, ki ne ureja imetništva in hrambe finančnih instrumentov za račun druge osebe, razen če sta izpolnjena naslednja pogoja:
the nature of the financial instruments or of the investment services connected with those instruments requires them to be deposited with a third party in that third country;
narava finančnih instrumentov ali investicijskih storitev, povezanih z navedenimi instrumenti, zahteva, da so deponirani pri tretji osebi v navedeni tretji državi;
where the financial instruments are held on behalf of a professional client, that client requests the firm in writing to deposit them with a third party in that third country.
če je podjetje imetnik finančnih instrumentov v imenu profesionalne stranke, navedena stranka pisno zahteva od podjetja, da jih deponira pri tretji osebi v navedeni tretji državi.
Member States shall ensure the requirements under paragraph 2 and 3 shall also apply when the third-party has delegated any of its functions concerning the holding and safekeeping of financial instruments to another third-party.
Države članice zagotovijo, da se zahteve iz odstavkov 2 in 3 uporabljajo tudi, kadar je tretja oseba prenesla katero od svojih funkcij v zvezi z imetništvom in hrambo finančnih instrumentov na drugo tretjo osebo.
Member States shall require investment firms, on receiving any client funds, promptly to place those funds into one or more accounts opened with any of the following:
Država članica zahteva, da investicijska podjetja, ko prejmejo sredstva strank, navedena sredstva takoj položijo na enega ali več računov, odprtih pri enem od naslednjih:
a credit institution authorised in accordance with Directive 2013/36/EU of the European Parliament and of the Council [7];
kreditni instituciji, ki ima dovoljenje v skladu z Direktivo 2013/36/EU Evropskega parlamenta in Sveta [7];
a bank authorised in a third country;
banki s pridobljenim dovoljenjem v tretji državi;
The first subparagraph shall not apply to a credit institution authorised under Directive 2013/36/EU in relation to deposits within the meaning of that Directive held by that institution.
Prvi pododstavek se ne uporablja za kreditno institucijo z dovoljenjem na podlagi Direktive 2013/36/EU v zvezi z vlogami v smislu navedene direktive, ki jih ima navedena institucija.
Member States shall require that, where investment firms do not deposit client funds with a central bank, they exercise all due skill, care and diligence in the selection, appointment and periodic review of the credit institution, bank or money market fund where the funds are placed and the arrangements for the holding of those funds and they consider the need for diversification of these funds as part of their due diligence.
Države članice zahtevajo, da investicijsko podjetje v primeru, če ne deponira sredstev stranke pri centralni banki, izkaže ustrezno sposobnost, skrbnost in gospodarnost pri izbiri, imenovanju in rednem pregledovanju kreditne institucije, banke ali sklada denarnega trga, pri katerem so deponirana sredstva, in ureditev imetništva navedenih sredstev ter da šteje potrebo po razpršitvi teh sredstev kot del svoje potrebne skrbnosti.
Member States shall ensure, in particular, that investment firms take into account the expertise and market reputation of such institutions or money market funds with a view to ensuring the protection of clients' rights, as well as any legal or regulatory requirements or market practices related to the holding of client funds that could adversely affect clients' rights.
Države članice zlasti zagotovijo, da investicijska podjetja upoštevajo strokovno znanje in tržni ugled takih institucij ali skladov denarnega trga z namenom, da zagotovijo zaščito pravic strank, ter kakršne koli pravne ali regulativne zahteve ali tržna ravnanja, povezane z imetništvom sredstev strank, ki bi lahko imeli negativne učinke na pravice strank.
Member States shall require that investment firms ensure that clients give their explicit consent to the placement of their funds in a qualifying money market fund.
Države članice zahtevajo, da investicijska podjetja zagotovijo, da stranke izrecno privolijo v vlaganje svojih sredstev v kvalificirani sklad denarnega trga.
In order to ensure this right to consent is effective, investment firms shall inform clients that funds placed with a qualifying money market fund will not be held in accordance with the requirements for safeguarding client funds set out in this Directive.
Da se zagotovi učinkovitost te pravice do privolitve, investicijska podjetja obvestijo stranke, da sredstva, položena pri kvalificiranem skladu denarnega trga, ne bodo v imetništvu v skladu z zahtevami za zaščito sredstev strank iz te direktive.
Member States shall require that, where investment firms deposit client funds with a credit institution, bank or money market fund of the same group as the investment firm, they limit the funds that they deposit with any such group entity or combination of any such group entities so that funds do not exceed 20 % of all such funds.
Države članice zahtevajo, da v primeru, če investicijska podjetja deponirajo sredstva strank pri kreditni instituciji, banki ali skladu denarnega trga, ki je v isti skupini kot investicijsko podjetje, omejijo sredstva, ki jih deponirajo pri katerem koli takem subjektu v skupini ali kombinaciji takih subjektov v skupini, tako da sredstva ne presegajo 20 % vseh takih sredstev.
An investment firm may not comply with this limit where it is able to demonstrate that, in view of the nature, scale and complexity of its business, and also the safety offered by the third parties considered in the previous subparagraph, and including in any case the small balance of client funds the investment firm holds the requirement under the previous paragraph is not proportionate.
Investicijsko podjetje sme ravnati neskladno s to omejitvijo, če lahko dokaže, da zahteva iz prejšnjega odstavka ni sorazmerna glede na naravo, obseg in zapletenost njegovega poslovanja ter tudi varnost, ki jo ponujajo tretje strani iz prejšnjega pododstavka, in vključno v vsakem primeru majhen saldo sredstev strank, katerih imetnik je podjetje.
Investment firms shall periodically review the assessment made in accordance with this subparagraph and shall notify their initial and reviewed assessments to NCAs.
Investicijska podjetja periodično preverjajo ocene, sprejete v skladu s tem pododstavkom, in uradno obveščajo nacionalne pristojne organe o svojih prvotnih in pregledanih ocenah.
Member States shall not allow investment firms to enter into arrangements for securities financing transactions in respect of financial instruments held by them on behalf of a client, or otherwise use such financial instruments for their own account or the account of any other person or client of the firm, unless both of the following conditions are met:
Države članice investicijskim podjetjem ne dovolijo, da sklepajo dogovore o poslih financiranja z vrednostnimi papirji v zvezi s finančnimi instrumenti, katerih imetnik so v imenu stranke, ali drugače uporabijo take finančne instrumente za lasten račun ali za račun katere koli druge osebe ali stranke podjetja, razen če sta izpolnjena naslednja pogoja:
the client has given his prior express consent to the use of the instruments on specified terms, as clearly evidenced in writing and affirmatively executed by signature or equivalent, and
stranka je izrecno predhodno privolila v uporabo instrumentov pod natančno določenimi pogoji, kar je jasno dokazano v pisni obliki in potrdilno izvršeno s podpisom ali na enakovreden način, in
the use of that client's financial instruments is restricted to the specified terms to which the client consents.
uporaba finančnih instrumentov stranke mora biti omejena na natančno določene pogoje, v katere je privolila stranka.
Member States shall not allow investment firms to enter into arrangements for securities financing transactions in respect of financial instruments which are held on behalf of a client in an omnibus account maintained by a third party, or otherwise use financial instruments held in such an account for their own account or for the account of any other person unless, in addition to the conditions set out in paragraph 1, at least one of the following conditions is met:
Države članice investicijskim podjetjem ne dovolijo, da sklepajo dogovore o poslih financiranja z vrednostnimi papirji v zvezi s finančnimi instrumenti, katerih imetnik so v imenu stranke na računu tipa „omnibus“, ki ga vodi tretja oseba, ali drugače uporabijo finančne instrumente na takem računu za lasten račun ali za račun katere koli druge osebe, razen če je poleg pogojev iz odstavka 1 izpolnjen vsaj eden od naslednjih pogojev:
each client whose financial instruments are held together in an omnibus account must have given prior express consent in accordance with point (a) of paragraph 1;
vsaka stranka, katere finančni instrumenti se nahajajo v imetništvu skupaj na računu tipa „omnibus“, mora najprej predhodno izrecno privoliti v to v skladu s točko (a) odstavka 1;
the investment firm must have in place systems and controls which ensure that only financial instruments belonging to clients who have given prior express consent in accordance with point (a) of paragraph 1 are so used.
investicijsko podjetje mora imeti vzpostavljene sisteme in kontrole, ki zagotavljajo, da se uporabljajo samo finančni instrumenti, ki pripadajo strankam, ki so predhodno izrecno privolile v to v skladu s točko (a) odstavka 1.
The records of the investment firm shall include details of the client on whose instructions the use of the financial instruments has been effected, as well as the number of financial instruments used belonging to each client who has given his consent, so as to enable the correct allocation of any loss.
Evidence investicijskega podjetja vsebujejo podrobnosti o stranki, ki je naročila uporabo finančnih instrumentov, in o številu uporabljenih finančnih instrumentov, ki pripadajo vsaki stranki, ki je dala svojo privolitev, da se omogoči pravilna porazdelitev morebitne izgube.
Member States shall ensure that investment firms take appropriate measures to prevent the unauthorised use of client financial instruments for their own account or the account of any other person such as:
Države članice zagotovijo, da investicijska podjetja sprejmejo ustrezne ukrepe za preprečevanje nedovoljene uporabe finančnih instrumentov strank za lasten račun ali za račun katere koli druge osebe, kot so:
the conclusion of agreements with clients on measures to be taken by the investment firms in case the client does not have enough provision on its account on the settlement date, such as borrowing of the corresponding securities on behalf of the client or unwinding the position;
sklepanje dogovorov s strankami o ukrepih, ki jih bodo sprejela investicijska podjetja, če stranka na svojem računu nima dovolj sredstev na datum poravnave, kot sta izposojanje ustreznih vrednostnih papirjev v imenu stranke ali zaprtje pozicije;
the close monitoring by the investment firm of its projected ability to deliver on the settlement date and the putting in place of remedial measures if this cannot be done; and
skrbno spremljanje napovedane zmožnosti za izročitev na datum poravnave s strani investicijskega podjetja ter sprejetje popravnih ukrepov, če to ni mogoče, in
the close monitoring and prompt requesting of undelivered securities outstanding on the settlement day and beyond.
skrbno spremljanje in hitro zahtevanje neizročenih vrednostnih papirjev, ki na dan poravnave in pozneje niso poravnani.
Member States shall ensure that investment firms adopt specific arrangements for all clients to ensure that the borrower of client financial instruments provides the appropriate collateral and that the firm monitors the continued appropriateness of such collateral and takes the necessary steps to maintain the balance with the value of client instruments.
Države članice zagotovijo, da investicijska podjetja za vse stranke sprejmejo posebne dogovore za zagotovitev, da posojilojemalec finančnih instrumentov stranke zagotovi ustrezno zavarovanje s premoženjem in da podjetje spremlja kontinuirano ustreznost takega zavarovanja ter sprejme potrebne ukrepe za ohranitev ravnovesja z vrednostjo instrumentov strank.
Member States shall ensure that investment firms do not enter into arrangements which are prohibited under Article 16(10) of Directive 2014/65/EU.
Države članice zagotovijo, da investicijska podjetja ne sklepajo dogovorov, ki so prepovedani v skladu s členom 16(10) Direktive 2014/65/EU.
Inappropriate use of title transfer collateral arrangements
Neustrezna uporaba dogovorov o prenosu lastniške pravice na zavarovanju
Member States shall require that investment firms properly consider, and are able to demonstrate that they have done so, the use of title transfer collateral arrangements in the context of the relationship between the client's obligation to the firm and the client assets subjected to title transfer collateral arrangements by the firm.
Države članice zahtevajo, da investicijska podjetja ustrezno razmislijo, in lahko tudi dokažejo, da so to storila, o uporabi dogovorov o prenosu lastniške pravice na zavarovanju v okviru razmerja med obveznostjo stranke do podjetja in sredstvi stranke, ki so predmet dogovorov o prenosu lastniške pravice na zavarovanju, ki jih je sklenilo podjetje.
When considering, and documenting, the appropriateness of the use of title transfer collateral arrangements, investment firms shall take into account all of the following factors:
Investicijska podjetja pri razmisleku o ustreznosti uporabe dogovorov o prenosu lastniške pravice na zavarovanju in dokumentiranju upoštevajo vse naslednje dejavnike:
whether there is only a very weak connection between the client's obligation to the firm and the use of title transfer collateral arrangements, including whether the likelihood of a clients' liability to the firm is low or negligible;
ali obstaja le zelo šibka povezava med obveznostjo stranke do podjetja in uporabo dogovorov o prenosu lastniške pravice na zavarovanju, vključno s tem, ali je verjetnost obveznosti strank do podjetja nizka ali zanemarljiva;
whether the amount of client funds or financial instruments subject to title transfer collateral arrangements far exceeds the client's obligation, or is even unlimited if the client has any obligation at all to the firm; and
ali znesek sredstev ali finančnih instrumentov, ki so predmet dogovorov o prenosu lastniške pravice na zavarovanju, daleč presega obveznost stranke, ali je celo neomejen, če ta stranka sploh ima kakšno obveznost do podjetja, in
whether all clients' financial instruments or funds are made subject to title transfer collateral arrangements, without consideration of what obligation each client has to the firm.
ali so vsi finančni instrumenti ali sredstva stranke predmet dogovorov o prenosu lastniške pravice na zavarovanju, brez razmisleka o tem, kakšno obveznost ima vsaka stranka do podjetja.
Where using title transfer collateral arrangements, investment firms shall highlight to professional clients and eligible counterparties the risks involved and the effect of any title transfer collateral arrangement on the client's financial instruments and funds.
Investicijska podjetja pri uporabi dogovorov o prenosu lastniške pravice na zavarovanju profesionalnim strankam in primernim nasprotnim strankam poudarijo povezana tveganja in učinek vsakega dogovora o prenosu lastniške pravice na zavarovanju na finančne instrumente in sredstva stranke.
Governance arrangements concerning the safeguarding of client assets
Ureditve upravljanja v zvezi z zaščito sredstev strank
Member States shall ensure that investment firms appoint a single officer of sufficient skill and authority with specific responsibility for matters relating to the compliance by firms with their obligations regarding the safeguarding of client financial instruments and funds.
Države članice zagotovijo, da investicijska podjetja določijo odgovorno osebo z dovolj strokovnega znanja in avtoritete izrecno za zadeve, povezane s tem, kako podjetje izpolnjuje svoje obveznosti v zvezi z zaščito finančnih instrumentov in sredstev strank.
Member States shall allow investment firms to decide, ensuring full compliance with this Directive, whether the appointed officer is to be dedicated solely to this task or whether the officer can discharge responsibilities effectively whilst having additional responsibilities.
Države članice investicijskim podjetjem dovolijo, da se ob zagotavljanju popolne skladnosti s to direktivo odločijo, ali bo imenovana odgovorna oseba opravljala samo to nalogo ali pa lahko to nalogo učinkovito opravlja skupaj z drugimi nalogami.
Member States shall require investment firms to ensure that their external auditors report at least annually to the competent authority of the home Member State of the firm on the adequacy of the firm's arrangements under Article 16(8), (9) and (10) of Directive 2014/65/EU and this Chapter.
Države članice zahtevajo, da investicijska podjetja zagotovijo, da njihovi zunanji revizorji vsaj enkrat letno poročajo pristojnemu organu matične države članice podjetja o primernosti ureditev podjetja na podlagi člena 16(8), (9) in (10) Direktive 2014/65/EU in tega poglavja.
PRODUCT GOVERNANCE REQUIREMENTS
ZAHTEVE GLEDE UPRAVLJANJA PRODUKTOV
Product governance obligations for investment firms manufacturing financial instruments
Obveznosti glede upravljanja produktov za investicijska podjetja, ki pripravljajo finančne instrumente
Member States shall require investment firms to comply with this Article when manufacturing financial instruments, which encompasses the creation, development, issuance and/or design of financial instruments.
Države članice zahtevajo, da investicijska podjetja pri pripravi finančnih instrumentov, ki zajema oblikovanje, razvoj, izdajo in/ali oblikovanje finančnih instrumentov, spoštujejo določbe tega člena.
Member States shall require investment firms manufacturing financial instruments to comply, in a way that is appropriate and proportionate, with the relevant requirements in paragraphs 2 to 15, taking into account the nature of the financial instrument, the investment service and the target market for the product.
Države članice zahtevajo, da investicijska podjetja, ki pripravljajo finančne instrumente, primerno in sorazmerno izpolnjujejo ustrezne zahteve iz odstavkov 2 do 15, pri čemer upoštevajo naravo finančnega instrumenta, investicijsko storitev in ciljni trg za produkt.
Member States shall require investment firms to establish, implement and maintain procedures and measures to ensure the manufacturing of financial instruments complies with the requirements on proper management of conflicts of interest, including remuneration.
Države članice zahtevajo, da investicijska podjetja vzpostavijo, izvajajo in vzdržujejo postopke in ukrepe, s katerimi zagotavljajo, da je priprava finančnih instrumentov skladna z zahtevami glede ustreznega obvladovanja nasprotij interesov, vključno s prejemki.
In particular, investment firms manufacturing financial instruments shall ensure that the design of the financial instrument, including its features, does not adversely affect end clients or does not lead to problems with market integrity by enabling the firm to mitigate and/or dispose of its own risks or exposure to the underlying assets of the product, where the investment firm already holds the underlying assets on own account.
Investicijska podjetja, ki pripravljajo finančne instrumente zlasti zagotovijo, da oblikovanje finančnega instrumenta, vključno z njegovimi značilnostmi, ne škoduje končnim strankam ali ne povzroči težav z integriteto trga, tako da bi instrument podjetju omogočil, da ublaži in/ali odsvoji svoja tveganja ali izpostavljenost osnovnim sredstvom, na katerih temelji produkt, če investicijsko je podjetje že imetnik teh osnovnih sredstev za lasten račun.
Member States shall require investment firms to analyse potential conflicts of interests each time a financial instrument is manufactured.
Države članice zahtevajo, da investicijska podjetja pri pripravi vsakega finančnega instrumenta analizirajo morebitna nasprotja interesov.
In particular, firms shall assess whether the financial instrument creates a situation where end clients may be adversely affected if they take:
Podjetja zlasti ocenijo, ali finančni instrument ustvarja položaj, ki lahko končnim strankam škoduje, če prevzamejo: