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

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