97. The following information should at least be included in the documentation of the …

The following information should at least be included in the documentation of the self-assessment done regarding the identification of staff:

• a. the rationale underlying the self-assessment and the scope of its application;
• b. the approach used to assess the risks emerging from the investment firm’s business strategy and activities, including in different geographical locations;
• c. how persons working in investment firms and other entities within the scope of consolidation, subsidiaries and branches, including such located in third countries, are assessed;
• d. the role and responsibilities of the different corporate bodies and internal functions involved in the design, oversight, review and application of the self-assessment process; and
• e. the identification outcome.

1. Overview

1.1 References

1.2 Identified Requirements

1.3 Related Standards

2. Identified Requirements

3. Related Standards

• EBA -

  EN: Guidelines and other publications of the European Banking Authority (EBA), https://www.eba.europa.eu/. © European Banking Authority. Reproduction is authorised provided the source is acknowledged (EBA legal notice). Divided into sections and converted into the GRCA format, the wording unchanged. Only the versions published by the EBA are authoritative.

  DE: Leitlinien und weitere Veröffentlichungen der Europäischen Bankenaufsichtsbehörde (EBA), https://www.eba.europa.eu/. © European Banking Authority. Wiedergabe mit Quellenangabe gestattet (Rechtlicher Hinweis der EBA). In Abschnitte aufgeteilt und in das GRCA-Format umgewandelt, der Wortlaut unverändert. Maßgeblich sind allein die von der EBA veröffentlichten Fassungen.