+Člen 61 Spremembe Uredbe (EU) št. 909/2014
---+Article 61 (1)
---+Article 61 (2)
---+Article 61 (3)
---+Article 61 (4)
---+Article 61 (5)

Člen 61 Spremembe Uredbe (EU) št. 909/2014

Člen 61

Spremembe Uredbe (EU) št. 909/2014

Člen 45 Uredbe (EU) št. 909/2014 se spremeni:

(1) 

odstavek 1 se nadomesti z naslednjim:

„1.  
CDD identificira notranje in zunanje vire operativnega tveganja in zmanjša njihov vpliv tudi z uporabo ustreznih orodij, postopkov in politik IKT, vzpostavljenih in upravljanih v skladu z Uredbo (EU) 2022/2554 Evropskega parlamenta in Sveta ( *3 ), ter z drugimi pomembnimi ustreznimi orodji, kontrolami in postopki za druge vrste operativnega tveganja, med drugim za vse sisteme poravnave vrednostnih papirjev, ki jih upravlja.
(2) 

odstavek 2 se črta;

(3) 

odstavka 3 in 4 se nadomestita z naslednjim:

„3.  
CDD za storitve, ki jih opravlja, in vse sisteme poravnave vrednostnih papirjev, ki jih upravlja, vzpostavi, izvaja in vzdržuje ustrezno politiko neprekinjenega poslovanja in načrt za sanacijo po nesreči, vključno s politiko neprekinjenega poslovanja ter načrti odzivanja in okrevanja IKT, vzpostavljenimi v skladu z Uredbo (EU) 2022/2554, da v primeru dogodkov, za katere obstaja znatna nevarnost, da bodo povzročili motnje pri poslovanju, zagotovi ohranitev svojih storitev, pravočasno ponovno vzpostavitev poslovanja in izpolnjevanje svojih obveznosti.
4.  
Načrt iz odstavka 3 ob motnji poskrbi za obnovitev vseh poslov in pozicij udeležencev, da lahko udeleženci CDD še naprej poslujejo zanesljivo in poravnavo zaključijo na načrtovani datum, in sicer to omogoči tudi z zagotavljanjem, da lahko začnejo kritični sistemi informacijske tehnologije po motnji znova delovati, kot je določeno v členu 12(5) in (7) Uredbe (EU) 2022/2554.“;
(4) 

odstavek 6 se nadomesti z naslednjim:

„6.  
CDD identificira, spremlja in obvladuje tveganja, ki jih za njeno poslovanje morda pomenijo ključni udeleženci v sistemih poravnave vrednostnih papirjev, ki jih upravlja, ter izvajalci javnih in drugih storitev in druge CDD ali druge tržne infrastrukture. Pristojnim in zadevnim organom na zahtevo zagotovi informacije o vsakem takem identificiranem tveganju. Hkrati pristojni organ in zadevne organe brez odlašanja obvesti o vseh operativnih incidentih, ki so posledica takih tveganj, razen o incidentih, povezanih s tveganjem na področju IKT.“;
(5) 

v odstavku 7 se prvi pododstavek nadomesti z naslednjim:

„7.  
ESMA v tesnem sodelovanju s članicami ESCB pripravi osnutke regulativnih tehničnih standardov, da se določijo operativna tveganja iz odstavkov 1 in 6, razen tveganja na področju IKT, ter metode za testiranje, obravnavo ali zmanjšanje teh tveganj, vključno s politikami neprekinjenega poslovanja in načrti ponovne vzpostavitve delovanja iz odstavkov 3 in 4 ter metodami za njihovo oceno.“.

1. Pregled

,
Article 61 (1)

paragraph 1 is replaced by the following:

‘1.   A CSD shall identify sources of operational risk, both internal and external, and minimise their impact also through the deployment of appropriate ICT tools, processes and policies set up and managed in accordance with Regulation (EU) 2022/2554 of the European Parliament and of the Council (*3), as well as through any other relevant appropriate tools, controls and procedures for other types of operational risk, including for all the securities settlement systems it operates.

(*3)  Regulation (EU) 2022/2554 of the European Parliament and of the Council of 14 December 2022 on digital operational resilience for the financial sector and amending Regulations (EC) No 1060/2009, (EU) No 648/2012, (EU) No 600/2014, (EU) No 909/2014 and (EU) 2016/1011 (OJ L 333, 27.12.2022, p. 1).’;"

Article 61 (2)

paragraph 2 is deleted;
Article 61 (3)

paragraphs 3 and 4 are replaced by the following:

‘3.   For services that it provides as well as for each securities settlement system that it operates, a CSD shall establish, implement and maintain an adequate business continuity policy and disaster recovery plan, including ICT business continuity policy and ICT response and recovery plans established in accordance with Regulation (EU) 2022/2554, to ensure the preservation of its services, the timely recovery of operations and the fulfilment of the CSD’s obligations in the case of events that pose a significant risk to disrupting operations.

4.   The plan referred to in paragraph 3 shall provide for the recovery of all transactions and participants’ positions at the time of disruption to allow the participants of a CSD to continue to operate with certainty and to complete settlement on the scheduled date, including by ensuring that critical IT systems can resume operations from the time of disruption as provided for in Article 12(5) and (7) of Regulation (EU) 2022/2554.’;
Article 61 (4)

paragraph 6 is replaced by the following:

‘6.   A CSD shall identify, monitor and manage the risks that key participants in the securities settlement systems it operates, as well as service and utility providers, and other CSDs or other market infrastructures might pose to its operations. It shall, upon request, provide competent and relevant authorities with information on any such risk identified. It shall also inform the competent authority and relevant authorities without delay of any operational incidents, other than in relation to ICT risk, resulting from such risks.’;
Article 61 (5)

in paragraph 7, the first subparagraph is replaced by the following:

‘7.   ESMA shall, in close cooperation with the members of the ESCB, develop draft regulatory technical standards to specify the operational risks referred to in paragraphs 1 and 6, other than ICT risk, and the methods to test, to address or to minimise those risks, including the business continuity policies and disaster recovery plans referred to in paragraphs 3 and 4 and the methods of assessment thereof.’.

1.1 Sklici

1.2 Ugotovljene zahteve

1.3 Povezani standardi

2. Ugotovljene zahteve

Zahteve

3. Povezani standardi

Standardi