In addition to staff members identified under the criteria set out in Article 92(3), points (a), (b) and (c) of Directive 2013/36/EU, staff members shall be deemed to have a material impact on an institution’s risk profile where one or more of the following qualitative criteria are met:
the staff member has managerial responsibility for:
legal affairs;
the soundness of accounting policies and procedures;
finance, including taxation and budgeting;
performing economic analysis;
the prevention of money laundering and terrorist financing;
human resources;
the development or implementation of the remuneration policy;
information technology;
information security;
managing outsourcing arrangements of critical or important functions as referred to in Article 30(1) of Commission Delegated Regulation (EU) 2017/565 7;
the staff member has managerial responsibilities for any of the risk categories set out in Articles 79 to 87 of Directive 2013/36/EU, or is a voting member of a committee responsible for the management of any of the risk categories set out in those Articles;
with regard to credit risk exposures of a nominal amount per transaction, representing 0,5 % of the institution’s Common Equity Tier 1 capital and which is at least EUR 5 million, the staff member meets one of the following criteria:
the staff member has the authority to take, approve or veto decisions on such credit risk exposures;
the staff member is a voting member of a committee which has the authority to take the decisions as referred to in point (i) of this point (c);
in relation to an institution for which the derogation for small trading book businesses set out in Article 94 of Regulation (EU) No 575/2013 does not apply, the staff member meets one of the following criteria:
the staff member has the authority to take, approve or veto decisions on transactions on the trading book that in aggregate represent one of the following thresholds:
where the standardised approach is used, an own funds requirement for market risks that represents 0,5 % or more of the institution’s Common Equity Tier 1 capital;
where an internal model-based approach is approved for regulatory purposes, 5 % or more of the institution’s internal value-at-risk limit for trading book exposures at a 99th percentile (one-tailed confidence interval level);
the staff member is a voting member of a committee that has the authority to take the decisions mentioned in point (i) of this point;
the staff member heads a group of staff members who have individual authorities to commit the institution to transactions and either of the following conditions is met:
the sum of those authorities equals or exceeds the threshold referred to in point (c)(i) or in point (d)(i), the first indent;
where an internal model-based approach is approved for regulatory purposes, those authorities amount to 5 % or more of the institution’s internal value-at-risk limit for trading book exposures at a 99th percentile (one-tailed confidence interval level); where the institution does not calculate a value-at-risk at the level of that staff member, the value-at-risk limits of staff under the management of this staff member shall be added up;
the staff member meets either of the following criteria with regard to decision on approving or vetoing the introduction of new products:
the staff member has authority to take such decisions;
the staff member is a voting member of a committee that has authority to take such decisions.