natgillin/translations-raw huggingface dataset:
Če pristojni organi izvzamejo celotno skupino, vključno s podjetji, ki se ne nahajajo na ozemlju države članice od obveznosti nadzora na konsolidirani osnovi iz člena 22, sprejmejo druge ustrezne ukrepe za spremljanje tveganj oziroma velikih izpostavljenosti.
Where the competent authorities waive the obligation of supervision on a consolidated basis provided for in Article 22, they shall take other appropriate measures to monitor the risks, namely large exposures, of the whole group, including any undertakings not located in a Member State.
Če pristojni organi opustijo uporabo kapitalskih zahtev na konsolidirani osnovi iz člena 22, se zahteve iz člena 123 in poglavja 5 naslova V Direktive 2006/.../ES
Where the competent authorities waive the application of capital requirements on a consolidated basis provided for in Article 22, the requirements of Article 123 and Chapter 5 of Title V of Directive 2006/.../EC
uporabljajo na individualni osnovi in zahteve iz člena 124 navedene direktive se uporabljajo za nadzor posameznih investicijskih podjetij.
shall apply on an individual basis, and the requirements of Article 124 of that Directive shall apply to the supervision of investment firms on an individual basis.
Z odstopanjem od člena 2(2) lahko pristojni organi izvzamejo investicijska podjetja iz konsolidirane kapitalske zahteve vzpostavljene z navedenim členom, pod pogojem, da so vsa investicijska podjetja v skupini pokrita s členom 20(2), in skupina ne vključuje kreditnih institucij.
By way of derogation from Article 2(2), competent authorities may exempt investment firms from the consolidated capital requirement established in that Article, provided that all the investment firms in the group are covered by Article 20(2) and the group does not include credit institutions.
Če so izpolnjene zahteve iz odstavka 1, se od nadrejenega investicijskega podjetja v državi članici zahteva, da oblikuje lastna sredstva na konsolidirani osnovi v obsegu, ki je vedno višji od ali enak naslednjima dvema zneskoma, izračunanima na osnovi konsolidiranega finančnega položaja nadrejenega investicijskega podjetja in v skladu z oddelkom 3 tega poglavja:
Where the requirements of paragraph 1 are met, a parent investment firm in a Member State shall be required to provide own funds at a consolidated level which are always more than or equal to the higher of the following two amounts, calculated on the basis of the parent investment firm's consolidated financial position and in compliance with Section 3 of this Chapter:
vsote kapitalskih zahtev iz točk (a) do (c) člena 75 Direktive 2006/.../ES
the sum of the capital requirements contained in points (a) to (c) of Article 75 of Directive 2006/.../EC
zneska, predpisanega v členu 21 te direktive.
the amount prescribed in Article 21 of this Directive.
Če so izpolnjene zahteve iz odstavka 1, se od investicijskega podjetja, ki ga obvladuje finančni holding, zahteva, da oblikuje lastna sredstva na konsolidirani osnovi v obsegu, ki je vedno višji od ali enak večjemu od naslednjih dveh zneskov, izračunanima na osnovi konsolidiranega finančnega položaja finančnega holdinga in v skladu z oddelkom 3 tega poglavja:
Where the requirements of paragraph 1 are met, an investment firm controlled by a financial holding company shall be required to provide own funds at a consolidated level which are always more than or equal to the higher of the following two amounts, calculated on the basis of the financial holding company's consolidated financial position and in compliance with Section 3 of this Chapter:
znesek, predpisan v členu 21 te direktive.
the amount prescribed in Article 21 of this Directive.
Z odstopanjem od člena 2(2) lahko pristojni organi izvzamejo investicijska podjetja iz vzpostavljene konsolidirane kapitalske zahteve, pod pogojem, da vsa investicijska podjetja v skupini spadajo v investicijska podjetja, določena v členu 20(2) in (3), in skupina ne vključuje kreditnih institucij.
By way of derogation from Article 2(2), competent authorities may exempt investment firms from the consolidated capital requirement established in that Article, provided that all the investment firms in the group fall within the investment firms referred to in Article 20(2) and (3), and the group does not include credit institutions.
Če so izpolnjene zahteve iz prvega odstavka, se od nadrejenega investicijskega podjetja v državi članici zahteva, da oblikuje lastna sredstva na konsolidirani osnovi v obsegu, ki je višji od ali enak vsoti zahtev iz točk (a) do (c) člena 75 Direktive 2006/.../ES
Where the requirements of the first paragraph are met, a parent investment firm in a Member State shall be required to provide own funds at a consolidated level which are always more than or equal to the sum of the requirements contained in points (a) to (c) of Article 75 of Directive 2006/.../EC
in zneska, predpisanega v členu 21 te direktive, izračunanega na osnovi konsolidiranega finančnega položaja nadrejenega investicijskega podjetja ter v skladu z oddelkom 3 tega poglavja.
and the amount prescribed in Article 21 of this Directive, calculated on the basis of the parent investment firm's consolidated financial position and in compliance with Section 3 of this Chapter.
Izračun konsolidiranih zahtev
Calculation of consolidated requirements
Če se pravica opustitve obveznosti iz člena 22 ne uveljavlja, lahko pristojni organi za namen izračunavanja kapitalskih zahtev iz Prilog I in V in izpostavljenosti do strank iz členov 28 do 32 in Priloge VI, na konsolidirani osnovi dovolijo, da se pozicije trgovalne knjige ene institucije pobotajo s pozicijami trgovalne knjige druge institucije v skladu s pravili, ki so navedena v členih 28 do 32 Prilogah I, V in VI.
Where the waiver provided for in Article 22 is not exercised, the competent authorities may, for the purpose of calculating the capital requirements set out in Annexes I and V and the exposures to clients set out in Articles 28 to 32 and Annex VI on a consolidated basis, permit positions in the trading book of one institution to offset positions in the trading book of another institution according to the rules set out in Articles 28 to 32 Annexes I, V and VI.
Pristojni organi lahko dovolijo pobotanje pozicij trgovalne knjige in pozicij v tuji valuti ter pozicij v blagu podjetij, ki se nahajajo v tretjih državah, če so bili obenem izpolnjeni naslednji pogoji:
The competent authorities may permit offsetting of the trading book and of the foreign-exchange and commodities positions, respectively, of undertakings located in third countries, subject to the simultaneous fulfilment of the following conditions:
ta podjetja so bila pooblaščena v tretjih državah in bodisi ustrezajo opredelitvi kreditnih institucij iz člena 4(1) Direktive 2006/.../ES
such undertakings have been authorised in a third country and either satisfy the definition of credit institution set out in Article 4(1) of Directive 2006/.../EC
bodisi so priznane investicijskega podjetja tretje države;
or are recognised third-country investment firms;
takšna podjetja na posamezni osnovi ustrezajo predpisom kapitalske ustreznosti, enakim predpisom iz te direktive; in
such undertakings comply, on an individual basis, with capital adequacy rules equivalent to those laid down in this Directive; and
v zadevnih tretjih državah ne obstajajo predpisi, ki bi pomembno vplivali na prenos sredstev znotraj skupine.
no regulations exist in the third countries in question which might significantly affect the transfer of funds within the group.
Pristojni organi lahko dovolijo v odstavku 1 predvideno pobotanje med institucijami znotraj skupine, ki so bile pooblaščene v državi članici, pod pogojem, da:
The competent authorities may also allow the offsetting provided for in paragraph 1 between institutions within a group that have been authorised in the Member State in question, provided that:
znotraj skupine obstaja zadovoljiva dodelitev kapitala; in
there is a satisfactory allocation of capital within the group; and
uredbeni, pravni ali pogodbeni okvir, znotraj katerega delujejo, zagotavlja vzajemno finančno podporo znotraj skupine.
the regulatory, legal or contractual framework in which the institutions operate is such as to guarantee mutual financial support within the group.
Nadalje lahko pristojni organi dovolijo pobotanje iz odstavka 1, med institucijami znotraj skupine, ki izpolnjujejo pogoje iz odstavka 3, in katero koli institucijo, vključeno v isto skupino, ki je bila pooblaščena v drugi državi članici, pod pogojem, da mora ta institucija izpolniti kapitalske zahteve iz členov 18, 20 in 28 na posamezni osnovi.
Furthermore, the competent authorities may allow the offsetting provided for in paragraph 1 between institutions within a group that fulfil the conditions imposed in paragraph 3 and any institution included in the same group which has been authorised in another Member State provided that that institution is obliged to fulfil the capital requirements imposed in Articles 18, 20 and 28 on an individual basis.
Pri izračunu lastnih sredstev na konsolidirani osnovi se uporablja člen 65 Direktive 2006/.../ES
In the calculation of own funds on a consolidated basis Article 65 of Directive 2006/.../EC
Pristojni organi, odgovorni za izvajanje nadzora na konsolidirani osnovi, lahko priznajo veljavnost posebnih opredelitev lastnih sredstev, ki se uporabljajo za zadevne institucije v skladu s poglavjem IV pri izračunu njihovih konsolidiranih lastnih sredstev.
The competent authorities responsible for exercising supervision on a consolidated basis may recognise the validity of the specific own-funds definitions applicable to the institutions concerned under Chapter IV in the calculation of their consolidated own funds.
Spremljanje in nadzor velikih izpostavljenosti
Monitoring and control of large exposures
Institucije spremljajo in nadzorujejo velike izpostavljenosti v skladu s členi 106 do 118 Direktive 2006/.../ES
Institutions shall monitor and control their large exposures in accordance with Articles 106 to 118 of Directive 2006/.../EC
Komisija do 31. decembra 2007 predloži Evropskemu parlamentu in Svetu poročilo o delovanju tega oddelka skupaj z vsemi ustreznimi predlogi.
By 31 December 2007, the Commission shall submit to the European Parliament and to the Council a report on the functioning of this Section, together with any appropriate proposals.
Izpostavljenost do posameznih oseb iz trgovalne knjige se izračuna kot seštevek naslednjih postavk:
The exposures to individual clients which arise on the trading book shall be calculated by summing the following items:
presežek – kjer je pozitiven – dolgih pozicij institucije nad kratkimi pozicijami v vseh finančnih instrumentih, ki jih izda zadevna oseba, kjer se neto pozicija v vsakem od teh finančnih instrumentov izračuna v skladu z metodami, določenimi v Prilogi I;
the excess – where positive – of an institution's long positions over its short positions in all the financial instruments issued by the client in question, the net position in each of the different instruments being calculated according to the methods laid down in Annex I;
izpostavljenosti zaradi transakcij, sporazumov in pogodb iz Priloge II z navedeno osebo, pri čemer se takšne izpostavljenosti izračunajo z metodo, določeno v navedeni prilogi, za izračun vrednosti izpostavljenosti.
the exposures due to the transactions, agreements and contracts referred to in Annex II with the client in question, such exposures being calculated in the manner laid down in that Annex, for the calculation of exposure values.
o nadaljnje uskladitve pristojni organi zahtevajo, da institucije vzpostavijo sisteme za spremljanje in nadzor njihovih izpostavljenosti iz naslova prve prodaje dolžniških ali lastniških vrednostnih papirjev z obveznostjo odkupa v obdobju med prevzemom obveznosti in delovnim dnem 1 zaradi narave tveganj, ki izhajajo iz poslovanja na navedenih trgih.
For the purposes of point (b), pending further coordination, the competent authorities shall require institutions to set up systems to monitor and control their underwriting exposures between the time of the initial commitment and working day one in the light of the nature of the risks incurred in the markets in question.
Za namene točke (c) se členi 84 do 89 Direktive 2006/.../ES
For the purposes of point (c), Articles 84 to 89 of Directive 2006/.../EC
izključijo iz sklicevanja v odstavku 7 Priloge II te direktive.
shall be excluded from the reference in point 6 of Annex II to this Directive.
Pri izračunu izpostavljenosti iz postavk bančne knjige institucije predpostavijo, da je izpostavljenost, ki izhaja iz sredstev, ki so odštete od njihovih lastnih sredstev na podlagi točke (d) drugega pododstavka člena 13(2), enaka nič.
In order to calculate the exposure which arises on the non-trading book, institutions shall take the exposure arising from assets which are deducted from their own funds by virtue of point (d) of the second subparagraph of Article 13(2) to be zero.
O skupnih izpostavljenostih institucije do posameznih oseb in skupin povezanih oseb, izračunanih v skladu z odstavkom 4, se poroča v skladu s členom 110 Direktive 2006/.../ES
Institutions' overall exposures to individual clients and groups of connected clients calculated in accordance with paragraph 4 shall be reported in accordance with Article 110 of Directive 2006/.../EC
Razen v primeru poslov začasne prodaje/začasnega nakupa, poslov posoje/izposoje vrednostnih papirjev ali blaga, izračun velikih izpostavljenosti do posameznih oseb in skupin povezanih oseb za namene poročanja ne vključuje priznavanja zavarovanja za zmanjšanje kreditnega tveganja.
Other than in relation to repurchase transactions, securities or commodities lending or borrowing transactions, the calculation of large exposures to individual clients and groups of connected clients for reporting purposes shall not include the recognition of credit risk mitigation.
Pristojni organi lahko dovolijo, da se presežejo omejitve iz členov 111 do 117 Direktive 2006/.../ES
The competent authorities may authorise the limits laid down in Articles 111 to 117 of Directive 2006/.../EC
, če so izpolnjeni naslednji pogoji:
to be exceeded if the following conditions are met:
če preseganje traja 10 dni ali manj, izpostavljenost iz trgovalne knjige do navedene posamezne osebe ali skupine povezanih oseb ne sme preseči 500 % lastnih sredstev institucije;
where 10 days or less has elapsed since the excess occurred, the trading-book exposure to the client or group of connected clients in question shall not exceed 500% of the institution's own funds;
vsa preseganja, ki trajajo več kot 10 dni, v seštevku ne smejo preseči 600 % lastnih sredstev institucije, in;
any excesses that have persisted for more than 10 days must not, in aggregate, exceed 600% of the institution's own funds; and
institucije morajo pristojne organe vsake tri mesece obveščati o primerih preseganja omejitev iz člena 111(1) in (2) Direktive 2006/.../ES
institutions shall report to the competent authorities every three months all cases where the limits laid down in Article 111(1) and (2) of Directive 2006/.../EC
Pristojni organi obvestijo Svet in Komisijo o teh postopkih.
The competent authorities shall notify the Council and the Commission of those procedures.
Institucije vzdržujejo sisteme, ki zagotavljajo, da se vsak prenos z učinkom iz prvega pododstavka nemudoma sporoči pristojnim organom.
Institutions shall maintain systems which ensure that any transfer which has the effect referred to in the first subparagraph is immediately reported to the competent authorities.
Pristojni organi lahko institucijam, ki jim je dovoljena uporaba alternativne določitve lastnih sredstev iz člena 13(2), dovolijo uporabo te določitve za namene členov 30(2), 30(3) in 31, pod pogojem, da morajo institucije izpolnjevati vse obveznosti iz členov 110 do 117 Direktive 2006/.../ES
The competent authorities may permit institutions which are allowed to use the alternative determination of own funds under Article 13(2) to use that determination for the purposes of Articles 30(2), 30(3) and 31 provided that the institutions concerned are required to meet all of the obligations set out in Articles 110 to 117 of Directive 2006/.../EC
v zvezi z izpostavljenostmi, ki ne izvirajo iz trgovalne knjige, z uporabo lastnih sredstev, kakor je opredeljeno v navedeni direktivi.
, in respect of the exposures which arise outside their trading books by using own funds as defined in that Directive.
Vrednotenje pozicij za namene poročanja
Valuation of positions for reporting purposes
Nekdanja vrednost vsebuje ustrezno stopnjo gotovosti glede na dinamično naravo pozicij iz trgovalne knjige, glede na zahteve po bonitetni trdnosti in način delovanja ter glede na namen kapitalskih zahtev v zvezi s pozicijami iz trgovalne knjige.
The former value shall contain an appropriate degree of certainty having regard to the dynamic nature of trading book positions, the demands of prudential soundness and the mode of operation and purpose of capital requirements in respect of trading book positions.
Pozicije trgovalne knjige se vrednotijo vsaj dnevno.
Trading book positions shall be re-valued at least daily.
Upravljanje s tveganji in ocenjevanje kapitala
Risk management and capital assessment
Pristojni organi zahtevajo, da vsako investicijsko podjetje poleg zahtev iz člena 13 Direktive 2004/39/ES izpolni zahteve iz členov 22 in 123 Direktive 2006/.../ES
Competent authorities shall require that every investment firm, as well as meeting the requirements set out in Article 13 of Directive 2004/39/EC, shall meet the requirements set out in Articles 22 and 123 of Directive 2006/.../EC
, ob upoštevanju določb o stopnjah uporabe iz členov 68 do 73 zadnje navedene direktive.
, subject to the provisions on level of application set out in Articles 68 to 73 of that Directive.
Dolžnost poročanja
Reporting requirements
Države članice zahtevajo, da investicijska podjetja in kreditne institucije pristojnim organom svojih matičnih držav članic predložijo vse potrebne podatke za presojo njihove skladnosti s pravili, sprejetimi v skladu s to direktivo.
Member States shall require that investment firms and credit institutions provide the competent authorities of their home Member States with all the information necessary for the assessment of their compliance with the rules adopted in accordance with this Directive.
Države članice tudi zagotovijo, da mehanizmi notranjega nadzora in upravni ter računovodski postopki institucij kadar koli omogočajo preverjanje njihove skladnosti s pravili.
Member States shall also ensure that internal control mechanisms and administrative and accounting procedures of the institutions permit the verification of their compliance with such rules at all times.
Investicijska podjetja pristojnim organom poročajo na način, ki ga določijo pristojni organi, vsaj enkrat mesečno v primeru družb iz člena 9, vsaj enkrat vsake tri mesece v primeru družb iz člena 5(1) in vsaj enkrat vsakih šest mesecev v primeru družb iz člena 5(3).
Investment firms shall report to the competent authorities in the manner specified by the latter at least once every month in the case of firms covered by Article 9, at least once every three months in the case of firms covered by Article 5(1) and at least once every six months in the case of firms covered by Article 5(3).
Ne glede na odstavek 2 morajo investicijska podjetja iz člena 5(1) in 9 priskrbeti podatke na konsolidirani ali subkonsolidirani osnovi samo enkrat vsakih šest mesecev.
Notwithstanding paragraph 2, investment firms covered by Articles 5(1) and 9 shall be required to provide the information on a consolidated or sub-consolidated basis only once every six months.
Kreditne institucije morajo poročati na način, ki ga določijo pristojni organi tako pogosto, kakor to določa Direktiva 2006/.../ES
Credit institutions shall be obliged to report in the manner specified by the competent authorities as often as they are obliged to report under Directive 2006/.../EC
Pristojni organi zahtevajo, da jim institucije nemudoma sporočijo, če nasprotne stranke pri poslih začasne prodaje/začasnega nakupa ali poslih posoje/izposoje vrednostnih papirjev ali blaga ne izpolnjujejo svojih obveznosti.
The competent authorities shall oblige institutions to report to them immediately any case in which their counter parties in repurchase and reverse repurchase agreements or securities and commodities-lending and securities and commodities-borrowing transactions default on their obligations.
Države članice o tem obvestijo Komisijo in navedejo vse razporeditve dolžnosti.
They shall inform the Commission thereof, indicating any division of duties.
Poglavje 4 naslova V Direktive 2006/.../ES
Chapter 4 of Title V of Directive 2006/.../EC
se smiselno uporablja za nadzor investicijskih podjetij v skladu z naslednjim:
shall apply mutatis mutandis to the supervision of investment firms in accordance with the following:
Člen 129(2) Direktive 2006/.../ES
Article 129(2) of Directive 2006/.../EC
se uporablja tudi za priznanje notranjih modelov institucij v skladu s Prilogo V te direktive, če zahtevo predložijo nadrejena kreditna institucija EU in njene podrejene družbe ali nadrejeno investicijsko podjetje EU in njegove podrejene družbe ali podrejene družbe nadrejenega finančnega holdinga EU skupaj.
shall also apply to the recognition of internal models of institutions under Annex V to this Directive where the application is submitted by an EU parent credit institution and its subsidiaries or an EU parent investment firm and its subsidiaries, or jointly by the subsidiaries of an EU parent financial holding company.
Obdobje za priznanje iz prvega pododstavka je šest mesecev.
The period for the recognition referred to in the first sub-paragraph shall be six months.
Pristojni organi držav članic tesno sodelujejo pri opravljanju dolžnosti iz te direktive, zlasti če se investicijske storitve zagotavljajo na osnovi svobode zagotavljanja storitev ali z ustanovitvijo podružnic.
The competent authorities of the Member States shall cooperate closely in the performance of the duties provided for in this Directive, particularly where investment services are provided on the basis of the freedom to provide services or through the establishment of branches.
Pristojni organi si na zahtevo medsebojno posredujejo vse informacije, ki bi lahko olajšale nadzor kapitalske ustreznosti institucij, zlasti preverjanje upoštevanja predpisov, opredeljenih v tej direktivi.
The competent authorities shall on request supply one another with all information likely to facilitate the supervision of the capital adequacy of institutions, in particular the verification of their compliance with the rules laid down in this Directive.
Za vsako izmenjavo informacij med pristojnimi organi, predvideno v tej direktivi, veljajo naslednje obveznost i varovanja poslovnih skrivnosti:
Any exchange of information between competent authorities which is provided for in this Directive shall be subject to the following obligations of professional secrecy:
Za investicijska podjetja se uporabljajo zahteve iz poglavja 5 naslova V Direktive 2006/.../ES
The requirements set out in Title V, Chapter 5 of Directive 2006/.../EC
Izvršilna pristojnost
Powers of execution
Komisija odloča o vseh tehničnih prilagoditvah na naslednjih področjih v skladu s postopkom iz člena 42(2):
The Commission shall decide on any technical adaptations in the following areas in accordance with the procedure referred to in Article 42(2):
prilagoditev kategorij investicijskih podjetij v členu 20(2) in (3) za upoštevanje dogajanja na finančnih trgih;
adjustment of the categories of investment firms in Article 20(2) and (3) to take account of developments on financial markets;
pojasnitev opredelitev iz člena 21 za zagotovitev enotne uporabe te direktive;
clarification of the requirement laid down in Article 21 to ensure uniform application of this Directive;