LEI-CDF Version 3.1

Documentation last updated: 2021-03-04

Introduction

As the Global LEI System (GLEIS) High Level Principles stipulate, the GLEIS should uniquely and unambiguously identify participants to financial transactions. The ISO 17442 Legal Entity Identifier (LEI) standard defines the following set of attributes as the most essential elements of identification:
  • The name of the legal entity as recorded in an official register, or otherwise in the entity’s constituting documents.
  • Where applicable, the name of the official register in which the legal entity is registered and its identifier in that registry.
  • The legal form of the entity as represented in ISO 20275.
  • The address of legal formation, and the country in which it is located as represented in the ISO 3166 series.
  • The entity creation date, being the date on which the entity was first established, as represented in ISO 8601.
  • The address of the headquarters of the legal entity or the international branch.
  • The status of the legal entity regarding whether or not the entity is legally registered or otherwise constituted, and operating.
  • The status of the validation, publication and updating of the LEI and its supporting data record.
  • The date of the first LEI assignment, being the date of publication of the identifier and its supporting data record as represented in ISO 8601.
  • The date of last update of the LEI data record as represented in ISO 8601, and the reason for the update.
  • The effective date of a legal entity event, being the date on which the event was effective in the legal jurisdiction in which the entity is formed, as represented in ISO 8601.
The LEI Common Data File format (LEI-CDF) was proposed by the Legal Entity Identifier Regulatory Oversight Committee (ROC) as the additional standard necessary to support the GLEIS in maintaining exclusive assignment of LEIs (one LEI per entity) and identifying, remediating data quality issues, and supporting use of the data. It is maintained and developed as a technical standard by the Global LEI Foundation (GLEIF) with the collaboration and oversight of the ROC. The LEI-CDF specifies in more detail:
  • The semantic content (definitions) of the ISO 17442 attributes.
  • Some additional elements, such an indication of the status of the information, necessary for effective use of the data.
  • The form the information takes at any given LOU, such that it can be made to conform to a common standard.
All LOUs use this file format to publish LEIs and their reference data.

Audience for this document

The target audience for this standard includes:
  • All Local Operating Units (as well as candidate LOUs) of the GLEIS.
  • All users or potential users of LEI data.
  • All financial regulators who consume LEI data.

Status of this document

This section describes the status of this document at the time of its publication. Later versions may supersede this document. The most up to date version will always be available from www.gleif.org.

The file format references and honors previous completed work published by the ROC in a document entitled "LEI Data File Format 1.0" (19 June 2014; available from www.leiroc.org).

Terminology and Typographical Conventions

Within this document, the terms, as will be SHALL and MAY, are to be interpreted as specified in Annex G of the ISO/IEC Directives, Part 2, 2001, 4th edition:
  • SHALL (NOT): Requirement
  • MAY: Permission / Possibility
When used in this way, these terms will always be shown in ALL CAPS; when these words appear in ordinary typeface, they are intended to have their ordinary English meaning.

The following typographical conventions are used throughout the document:
  • ALL CAPS type is used for the special terms enumerated above.
  • Monospace type is used to denote programming language, UML, and XML identifiers, as well as for the text of XML documents.

Cardinalities

  • The cardinality of each element (the number of times it SHALL or MAY appear in an XML data file conforming to this schema) is expressed as a number range in the format {minimum occurrences, maximum occurrences} in the XML examples shown below the notes of its containing element. This notation is equivalent to the following explanations in words:
    • Mandatory, unique: {1,1} - the element SHALL appear, exactly once.
    • Mandatory, repeatable: {1,unbounded} - the element SHALL appear at least once. It may be repeated any number of times.
    • Optional, unique: {0,1} - the element MAY be omitted; it MAY appear once at most.
    • Optional, repeatable: {0,unbounded} - the element MAY be omitted. It MAY be repeated any number of times.
Please note:
  • The default cardinality is {1,1} (mandatory, unique). This document highlights when an element differs from this either by its minOccurs (minimum occurrences) or maxOccurs (maximum occurrences) value, or both.
  • XML cardinalities apply in the context of any containing elements. This means that a contained element may have a cardinality of one or more even if its containing element may be omitted, because the contained element is mandatory given the presence of the container.
  • XML cardinalities enforce a minimum data quality and standards conformance. Other business rules (as explained below) and data quality checks applied by GLEIF may encourage stricter cardinalities in live implementations.

Business Rules

The accompanying documentation in addition to this Technical Specification specifies business rules where applicable for each element. These are rules that are not enforced by validating against the XML schema, but are still mandatory for all Common Data File (CDF) format files.

XML Syntax

This section specifies the XML schema for an LEI data file conforming to this standard.

XML Design Rules

  • The XSD schema conforms to W3C's XML Schema specification, version 1.0.
  • The XML namespace is "http://www.gleif.org/data/schema/leidata/2016".
  • All interior XML elements are namespace-qualified (element form = qualified).
  • All XML attributes are in the null namespace (attribute form = unqualified), with the exception of xml:lang.
  • Element names are upper camel case.
  • Attribute name are lower camel case.
  • XSD type names are upper camel case.
  • Enumeration code list values are all caps with underscores.
  • Elements are used in preference to attributes except for language and type qualifiers.
  • For a data element specified as having unbounded cardinality, the XML includes a single container element whose subelements are one or more instances of the data element whose cardinality is unbounded. The name of the container element is formed as the plural of the name of the contained elements.

XML Schema

An XML file conforming to this standard SHALL be valid according to the following XSD 1.0 schema.

Release Notes

Version 3.1

  • New or changed elements:
    • Added EntitySubCategory.
  • New or changed enumerated values:
    • EntityCategoryTypeEnum
      • Added RESIDENT_GOVERNMENT_ENTITY.
      • Added INTERNATIONAL_ORGANIZATION.
    • EntitySubCategoryTypeEnum
      • Added CENTRAL_GOVERNMENT.
      • Added STATE_GOVERNMENT.
      • Added LOCAL_GOVERNMENT.
      • Added SOCIAL_SECURITY.

Version 3.0

  • New or changed elements:
    • Added EntityCreationDate.
    • Added LegalEntityEvents.
    • Added LegalEntityEvent.
      • Added LegalEntityEventType.
      • Added LegalEntityEventEffectiveDate.
      • Added LegalEntityEventRecordedDate.
      • Added ValidationDocuments.
      • Added ValidationReference.
      • Added AffectedFields.
        • Added AffectedField.
  • Deprecated elements:
    • Deprecated AssociatedEntity.
    • Deprecated EntityExpirationDate.
    • Deprecated EntityExpirationReason.
  • New or changed attributes:
    • LegalEntityEvent
      • Added group_type.
      • Added event_status.
      • Added group_id.
      • Added group_sequence_no.
    • AffectedField
      • Added field_xpath.
  • New or changed enumerated values:
    • EntityCategoryTypeEnum
      • Added GENERAL.
    • EntityStatusEnum
      • Added NULL.
    • Added LegalEntityEventTypeEnum.
      • Added CHANGE_LEGAL_NAME.
      • Added CHANGE_OTHER_NAMES.
      • Added CHANGE_LEGAL_ADDRESS.
      • Added CHANGE_HQ_ADDRESS.
      • Added CHANGE_LEGAL_FORM.
      • Added DEMERGER.
      • Added SPINOFF.
      • Added ABSORPTION.
      • Added ACQUISITION_BRANCH.
      • Added TRANSFORMATION_BRANCH_TO_SUBSIDIARY.
      • Added TRANSFORMATION_SUBSIDIARY_TO_BRANCH.
      • Added TRANSFORMATION_UMBRELLA_TO_STANDALONE.
      • Added BREAKUP.
      • Added MERGERS_AND_ACQUISITIONS.
      • Added BANKRUPTCY.
      • Added LIQUIDATION.
      • Added VOLUNTARY_ARRANGEMENT.
      • Added INSOLVENCY.
      • Added DISSOLUTION.
    • Added ValidationDocumentsTypeEnum
      • Added ACCOUNTS_FILING.
      • Added REGULATORY_FILING.
      • Added SUPPORTING_DOCUMENTS.
      • Added CONTRACTS.
      • Added OTHER_OFFICIAL_DOCUMENTS.
    • Added LegalEntityEventGroupTypeEnum
      • Added REVERSE_TAKEOVER.
      • Added STANDALONE.
      • Added CHANGE_LEGAL_FORM_AND_NAME.
      • Added COMPLEX_CHANGE_LEGAL_FORM.
    • Added LegalEntityEventStatusEnum
      • Added IN_PROGRESS.
      • Added WITHDRAWN_CANCELLED.
      • Added COMPLETED.
  • Deprecated enumerated values:
    • RegistrationStatusEnum
      • Deprecated MERGED.
  • Cardinality changes:
    • SuccessorEntity was {0,1} and is now {0,unbounded}.
  • Documentation notes:
    • Several definitions of elements, attributes or enumerations have been updated and aligned with the State Transition and Validation Rules.

Version 2.1

  • Cardinality changes:
    • OtherValidationAuthority was {0,1} and is now {1,1}.
  • Corrections / Bug fixes:
    • Missing Extension added (back) to LEIHeader.
  • New or changed elements:
    • Additional Extension added to LEIRecords.
  • Documentation notes:
    • Documentation notes:
    • Replaced "RAL" by "RAL" in documentation.
    • Replaced "Registration Authorities Code List" by "Registration Authorities List" in documentation.

Version 2.0

  • Cardinality changes:
    • LEIHeader was {0,1} and is now {1,1}.
    • ContentDate was {0,1} and is now {1,1}.
    • FileContent was {0,1} and is now {1,1}.
    • RecordCount was {0,1} and is now {1,1}.
  • New or changed elements:
    • Added OtherRegistrationAuthorityID element to capture interim free-text registration authority information in the process of transition to a RAL entry.
    • Added OtherLegalForm element to capture interim free-text legal form information in the process of transition to an ELF standard code.
    • Added TransliteratedOtherEntityNames and TransliteratedOtherAddresses. These contain the name and address types dealing with transliteration, and their character content is now validated by the XML schema.
    • Added EntityCategory.
    • Added ValidationAuthority.
    • Added OtherValidationAuthorities.
    • BusinessRegisterEntityID replaced by RegistrationAuthority.
    • Token500Type replaced by Tokenized500Type, has minimum length of one character and may not contain any of: the carriage return (#xD), line feed (#xA) nor tab (#x9) characters, shall not begin or end with a space (#x20) character, or a sequence of two or more adjacent space characters.
    • All elements in the lei: namespace with base datatype xs:dateTime now strictly validate according to the LEIDateTimeProfile datatype. This enforces the restrictions specified in the LEI-CDF V1.0 documentation.
    • Added optional AddressNumber.
    • Added optional AddressNumberWithinBuilding.
    • Added optional MailRouting address field; an optional free text address line to hold content from other address lines containing explicit routing information (presence indicates that this address is a routing / "care of" address).
    • Replaced Line1 by FirstAddressLine and Line2 etc. by AdditionalAddressLine. The order of the content of these elements follows the order specified by the XML representation.
    • The value of RecordCount can now only be equal to or greater than zero.
  • New or changed attributes:
    • Updated xml:lang to specify use of the latest RFC from IETF BCP 47 (previously RFC 4646; now RFC 5646 at last schema update).
  • New or changed enumerated values:
    • Following enumerations now validate strongly (only the specified values are allowed at a schema validation level; one element with a non-standard value cause the whole LEI data to fail validation):
      • FileContentEnum.
      • EntityStatusEnum.
      • EntityExpirationReasonEnum.
      • RegistrationStatusEnum.
      • EntityNameTypeEnum.
      • AddressTypeEnum.
      • AssociatedEntityTypeEnum.
      • ValidationSourcesEnum.
    • Following enumeration elements now validate by format (only values with the correct pattern of characters are accepted; conversely, however, some schema-valid character combinations may not be registered allowed values):
      • RegistrationAuthority.
      • LegalForm.
    • BusinessRegisterEnum replaced by RegistrationAuthorityEnum.
    • COU_DELTA_PUBLISHED replaced by GLEIF_DELTA_PUBLISHED.
    • COU_FULL_PUBLISHED replaced by GLEIF_FULL_PUBLISHED.
    • OTHER_LEGAL replaced by ALTERNATIVE_LANGUAGE_LEGAL_NAME.
    • Added PREVIOUS_LEGAL_NAME OtherEntityName type.
    • Added TRADING_OR_OPERATING_NAME OtherEntityName type.
    • Added TransliteratedOtherEntityNames types: PREFERRED_ASCII_TRANSLITERATED_LEGAL_NAME, AUTO_ASCII_TRANSLITERATED_LEGAL_NAME.
    • Added TransliteratedOtherAddress types:AUTO_ASCII_TRANSLITERATED_LEGAL_ADDRESS, AUTO_ASCII_TRANSLITERATED_HEADQUARTERS_ADDRESS, PREFERRED_ASCII_TRANSLITERATED_LEGAL_ADDRESS, PREFERRED_ASCII_TRANSLITERATED_HEADQUARTERS_ADDRESS.
  • Documentation notes:
    • Replaced "pre-LOU" by "LOU" in documentation.
    • Renamed all enumeration elements, updating suffix "Enum1.0" to "Enum", indicating that these are the definitive enumerated values.

Version 1.0

The first release. Please find the published specification of LEI-CDF V1.0 at https://www.gleif.org/content/2-about-lei/5-common-data-file-format/lou-20140620.pdf

Abstract Data Content

This section specifies the abstract data content of a data file conforming to this standard. A data file conforming to this standard SHALL consist of:
  • An LEIHeader.
  • Zero or more LEI Data Records.

LEI File Header

The LEI File Header describes the context for the LEI Data Records contained in the main body of the file. The header exists to answer such questions as where the data came from, when it was collected into this file, etc. The content of the header SHALL NOT be required to interpret the data content of any LEI Data Record; each LEI Data Record is self contained.

LEI Data Record

An LEI Data Record describes a single LEI registration. Each LEI Data record in a file conforming to this standard SHALL include data elements as described below:

LEI

The ISO 17442-compliant LEI of the legal entity described by this LEI Data Record. The LEI is assigned by the LOU.
A value of type LEIType in a file conforming to this standard SHALL be a 20-character Legal Entity Identifier conforming to ISO 17422. Conformance to ISO17442 includes having correct check digits.

Entity

Attributes describing the legal entity itself. The Entity data is supplied by the legal entity, and recorded and published by the LOU.

Registration

Attributes describing the registration of this LEI with an LOU. The Registration data is maintained by the LOU.

Extension

The optional Extension section of an LEI record may be used to include additional data not defined in this standard. This may include data specific to an LOU, data specific to a publisher of LEI data, and so on.
For example, an LOU may use Extension to publish additional data elements it collects as part of registration.
The following rules SHALL be observed:
  • Each XML element included in the content of the Extension element SHALL be in an XML namespace that is not null and not equal to the XML namespace of the LEI Data File as specified in this standard.
  • The XML namespace for an Extension element SHALL be a namespace which the creator of the extension element exclusively or jointly controls, or from which the creator re-uses existing elements and their definitions, e.g. a namespace derived from the Internet Domain Name of the creator, a namespace agreed upon by a group of trading partners, etc.
  • An Extension element SHALL NOT be defined in such a way as to require the recipient of the file to recognize the Extension element in order to interpret the data elements specified in this standard. A recipient of the file SHALL be able to ignore all Extension elements and still interpret the standard content correctly.
  • A recipient of a data file conforming to this standard SHALL NOT reject a file solely because it contains extensions not understood by the recipient. A recipient SHALL be prepared to accept a file containing extensions and ignore any it does not understand, provided that the file complies to this standard.
 Contains the file structure for the whole LEI data records file as specified in the XML datatypes below. Contains the file upload information for this LEI data file. Container for all of the LEIRecord elements submitted with this file. The date and time as of which the data contained in the file is valid. The LEI of the LEI Issuer that created the content of this file. A code describing the content of this LEI data file. The date and time of the baseline relative to which this file contains new or changed LEI data records. The number of LEI data records in this file. Can be a positive whole (integer) number, or zero (0). A structure for adding further elements in to the LEI data file header in anticipation of a new version, by nesting a series of XML elements with this content model within the NextVersion element, one for each new minor version of the schema, postpending a serial number (1,2,3...) to the element name upon each iteration. This lei:Extension element may contain any additional elements required to extend the LEIHeader. Contains LEI reference data including details of the LEI's registration with the ManagingLOU. This lei:Extension element may contain any additional elements required to extend the LEIRecords container. The ISO 17442 compatible identifier for the legal entity described in the Entity section. The Entity container element contains the legal entity's reference data, enabling identification. The Registration container element contains all information on the legal entity's LEI registration with the ManagingLOU. A structure for adding further elements in to the LEI Data Record in anticipation of a new version, by nesting a series of XML elements with this content model within the NextVersion element, one for each new minor version of the schema, postpending a serial number (1,2,3...) to the element name upon each iteration. This lei:Extension element may contain any additional elements required to extend the LEIRecord. The legal name of the legal entity. An optional list of other names (excluding transliterations) for the legal entity. An optional list of ASCII-transliterated (i.e. Latin- or Romanized) representations of names for the legal entity. The address of the legal entity as recorded in the registration of the legal entity in its legal jurisdiction. The address of the headquarters of the legal entity. An optional list of other addresses for the legal entity, excluding transliterations. An optional list of transliterated addresses for the legal entity. Information about the official authority in the legal entity's jurisdiction of legal registration, for example a business registry, and the corresponding identification of the legal entity by that official source. The jurisdiction of legal formation of the legal entity; i.e. where the LegalForm of the legal entity originates. Indicates (where applicable) the category of legal entity identified by this LEI data record, as a more specific category within the broad definition given in ISO 17442. These categories are based on use cases specified in ROC policies, found at https://www.leiroc.org/leiroc_gls/index.htm. Indicates and specifies further (where applicable) the sub-category (sub-sector) of Legal Entity identified by this LEI Record and already categorized by the EntityCategory field. The legal form of the legal entity. Another entity associated with this entity if needed to fully identify this entity or to place it in an appropriate context. (Deprecated as of LEI-CDF 3.0) The operational and/or legal registration status of the legal entity (may be ACTIVE, INACTIVE or NULL). The date on which the legal entity was first established, as represented by ISO 8601 (as defined in ISO 17442). The date that the legal entity ceased to operate, whether due to dissolution, merger or acquisition. (Deprecated as of LEI-CDF 3.0) The reason that a legal entity ceased to exist and/or operate. (Deprecated as of LEI-CDF 3.0) One or more Legal Entities that continue or replace this LEI. Container for a finite number of events specified by the ROC in the life of a legal entity that would impact the Reference Data in the Global LEI System. A structure for adding further elements in to the Entity section of the LEI data record in anticipation of a new version, by nesting a series of XML elements with this content model within the NextVersion element, one for each new minor version of the schema, postpending a serial number (1,2,3...) to the element name upon each iteration. The date of the first LEI assignment, being the date of publication of the identifier and its supporting data record as represented in ISO 8601. Date/time the LEI record was most recently updated. The status of the legal entity's LEI registration with the ManagingLOU. The next date by which the LEI registration should be renewed and re-certified by the legal entity. The LEI of the LOU that is responsible for administering this LEI registration. The level of validation of the reference data provided by the registrant. Information about the (primary) official authority in the legal entity's jurisdiction of legal registration, for example a business registry, and the corresponding identification of the legal entity by that official source used to validate the legal entity reference data. An optional list of additional registration authorities used by the LEI Issuer to validate the entity data. A structure for adding further elements in to the Registration section of the LEI Data Record in anticipation of a new version, by nesting a series of XML elements with this content model within the NextVersion element, one for each new minor version of the schema, postpending a serial number (1,2,3...) to the element name upon each iteration. The mandatory first address line element. Optional, additional structured version of an external house number, or range of numbers, contained in one of the address line elements. This could be a numeral, a letter or code made up of mixed characters (e.g. 221B).
 Optional, additional structured version of an internal location number, or range of numbers, contained in one of the address line elements.This could be a numeral, a letter or code made up of mixed characters (e.g. 13) of a floor, suite or apartment within a building identified e.g. by an AddressNumber element.
 Optional free text address line to hold content from other address lines containing explicit routing information (this element's presence indicates that this address is a routing / "care of" address. One to three optional additional address line elements. The mandatory name of the city. The (optional) 4- to 6-character ISO 3166-2 region code of the region. The 2-character ISO 3166-1 country code of the country. The (optional) postal code of this address as specified by the local postal service. The language in which all of the string-valued components of this address are expressed. An IETF Language Code conforming to the latest RFC from IETF BCP 47. Note that the first characters of an IETF Language Code, up to the hyphen (if any), are all lowercase, and those following the hyphen (if any) are all uppercase. The mandatory first address line element. Optional, additional structured version of an external house number, or range of numbers, contained in one of the address line elements. Optional, additional structured version of an internal location number, or range of numbers, contained in one of the address line elements. Optional free text address line to hold content from other address lines containing explicit routing information (this element's presence indicates that this address is a routing / "care of" address. Optional additional address line elements. The mandatory name of the city. The (optional) 4- to 6-character ISO 3166-2 region code of the region. The 2-character ISO 3166-1 country code of the country. The (optional) postal code of this address as specified by the local postal service. The language in which all of the string-valued components of this address are expressed. An IETF Language Code conforming to the latest RFC from IETF BCP 47. Note that the first characters of an IETF Language Code, up to the hyphen (if any), are all lowercase, and those following the hyphen (if any) are all uppercase. The LEI of an entity associated with the LEI of this registration. The name of an entity associated with the LEI of this registration. The type of association represented by this AssociatedEntity instance. The reference code of the registration authority, taken from the Registration Authorities Code List maintained by GLEIF. A legacy / historical reference code of a registration authority which is not yet entered in the Registration Authorities Code List (RA list) maintained by GLEIF, or the designation of an interim register until such time as an entry from RA list can be delivered. The identifier of the entity at the indicated registration authority. An additional registration authority used by the LOU to validate the entity data. The reference code of the registration authority, taken from the Registration Authorities Code List (RA list) maintained by GLEIF. A legacy / historical reference code of a registration authority which is not yet entered in the Registration Authorities Code List (RA list) maintained by GLEIF, or the designation of an interim register until such time as an entry from RA list can be delivered. The identifier of the entity at the indicated registration authority. The type of address represented by this OtherAddress instance. An alternative address for the legal entity excluding transliterations. A transliterated version of one of the addresses for the legal entity. Type of alternative name for the legal entity. An alternative name or representation of a name for the legal entity, excluding transliterations. Type of alternative name for the legal entity. The LEI of the successor entity. The name of the successor entity. A 2-character country code conforming to ISO 3166-1 alpha-2. Please note that the XML schema validates for all CountryCode values consisting of 2 upper-case Latin letters; some possible combinations may not be valid ISO 3166 entries. A current code from the ISO-approved list SHALL be used. See http://www.iso.org/iso/home/standards/country_codes.htm for more details. A 4- to 6-character ISO 3166-2 region code of the region. Please note that the XML schema validates for all CountryCode values consisting of 2 upper-case Latin letters; some possible combinations may not be valid ISO 3166 entries. An element of this type has minimum length of one character and may not contain any of: the carriage return (#xD), line feed (#xA) nor tab (#x9) characters, shall not begin or end with a space (#x20) character, or a sequence of two or more adjacent space characters. The file contains all LEI Data Records published by an LOU (all LEI Data Records for which the LOU is the ManagingLOU) as of the date/time the file is created. The file contains those LEI Data Records published by an LOU (all LEI Data Records for which the LOU is the ManagingLOU) which are new or changed since the DeltaStart date specified in the header, as of the date/time the file is created. The file contains all LEI Data Records published by GLEIF (including all LEI Data Records from all LOUs) as of the date/time the file is created. The file contains those LEI Data Records published by GLEIF (including all LEI Data Records from all LOUs) which are new or changed since the DeltaStart specified in the header, as of the date/time the file is created. The file contains records matching criteria specified in a query. Please note that the XML schema validates for all RegistrationAuthority values consisting of the upper-case Latin letters "RA" followed by 6 digits; some possible combinations may not be valid Registration Authority Code List (RA list) entries. A current code from the GLEIF-maintained list SHALL be used used. Values of the RegistrationAuthorityEnum code list are maintained by GLEIF through the Registration Authorities Code List (RA list), available at www.gleif.org. The legal entity is a general legal entity. The legal entity is a branch of another legal entity. The legal entity is an investment fund defined as a collective investment scheme (or pooled investment) beneficially owned by multiple investors and managed on behalf of those investors by an asset manager or by the fund itself. The legal entity is an individual acting in a business capacity. The legal entity is a non-market producer, part of a central, state or local government, social security funds or a non-profit institution (NPI) controlled by government units. The legal entity is a non-resident unit created by international agreements or other arrangements for the provision of non-market services or financial intermediation at the international level. The legal entity is a central government subsector which consists of the institutional units plus non-profit institution (NPI) controlled by the central government institutions. The legal entity is a state government subsector which consists of the institutional units that exercise some government functions at a level below that of the central government and above that of the government institutional units existing at a local level. The legal entity is a local government subsector which consists of local governments that are separate institutional units. The legal entity is a social security scheme which covers a wide variety of programmes, providing benefits in cash or in kind for old age, invalidity or death, survivors, sickness and maternity, work injury, unemployment, family allowance, health care, etc. A current code from the GLEIF-maintained list SHALL be used. Values of the LegalFormEnum code list are maintained by ISO / GLEIF through the Entity Legal Form (ELF), available from http://www.gleif.org. A legacy code or textual description for the legal entity's legal form, used until a current code from the GLEIF-maintained list can be used. Please note that the XML schema validates for all LegalForm values conforming to the ISO 20275 standard (section "Code Structure"); four uppercase alphanumeric characters in any combination except for purely numeric codes. Some possible combinations may not be valid Entity Legal Form (ELF) entries. Registered name of the entity in an alternative language in the legal jurisdiction in which the entity is registered. A primary legal name previously used by this entity. A "trading as", "brand name" or "operating under" name currently used by this entity in addition to, but not replacing, the (primary) legal, official registered name. Registered address of the entity in the legal jurisdiction, in an alternative language used in the legal jurisdiction. Address of the headquarters of the entity, in an alternative language used in the legal jurisdiction. Registered address of the entity in the legal jurisdiction, transliterated to ASCII characters, auto-transliterated by the managing LOU. Address of the headquarters of the entity, transliterated to ASCII characters, auto-transliterated by the managing LOU. Registered address of the entity in the legal jurisdiction, transliterated to ASCII characters, provided by the entity for this purpose. Address of the headquarters of the entity, transliterated to ASCII characters, provided by the entity for this purpose. The legal entity is a fund, and the associated entity is the manager of the fund. As of the last report or update, the legal entity reported that it was legally registered and operating. It has been determined that the entity that was assigned the LEI is no longer legally registered and/or operating, as indicated by a legal entity event Reason. The entity status is not applicable. The entity ceased to operate. The entity was acquired or merged with another entity. The reason for expiry is neither of DISSOLVED nor CORPORATE_ACTION An application for an LEI that has been submitted and which is being processed and validated. An LEI Registration that has been validated and issued, and which identifies an entity having a legal entity status of ACTIVE as of the Date of First LEI Assignment or the Date of Last Update of the LEI Data Record. An LEI Registration that has been determined to be a duplicate registration of the same legal entity as another LEI Registration; the DUPLICATE status is assigned to the non-surviving registration (i.e. the LEI that should no longer be used). An LEI registration that has not been renewed by the NextRenewalDate and is not known by public sources to have a legal entity status of INACTIVE. An LEI registration for an entity that has been merged into another legal entity, such that this legal entity no longer exists as an operating entity. (Deprecated as of LEI-CDF 3.0) An LEI registration status for an entity that has been affected by certain legal entity events. An LEI registration that was determined to be erroneous or invalid after it was issued. An LEI registration that was abandoned prior to issuance of an LEI An LEI registration that has been transferred to a different LOU as the managing LOU. An LEI registration that has been requested to be transferred to another LOU. The request is being processed at the sending LOU An LEI registration is about to be transferred to a different LOU, after which its registration status will revert to a non-pending status. The validation of the reference data provided by the registrant has not yet occurred. Based on the validation procedures in use by the LOU responsible for the record, the information associated with this record has significant reliance on the information that a submitter provided due to the unavailability of corroborating information. Based on the validation procedures in use by the LOU responsible for the record, the information supplied by the registrant can be partially corroborated by public authoritative sources, while some of the record is dependent upon the information that the registrant submitted, either due to conflicts with authoritative information, or due to data unavailability. Based on the validation procedures in use by the LOU responsible for the record, there is sufficient information contained in authoritative public sources to corroborate the information that the submitter has provided for the record. The language of this element's text content. An IETF Language Code conforming to the latest RFC from IETF BCP 47. Note that the first characters of an IETF Language Code, up to the hyphen (if any), are all lowercase, and those following the hyphen (if any) are all uppercase.

Character Codes Allowed in ASCII Transliterated Names

A TransliteratedOtherEntityName instance of type PREFERRED_ASCII_TRANSLITERATED_LEGAL_NAME or AUTO_ASCII_TRANSLITERATED_LEGAL_NAME, can only contain non-control characters drawn from the "invariant subset" of ISO 646. These characters are enumerated below. The "Hex Value" column indicates the code point value (expressed in hexadecimal) for each character in both ISO 646 and ISO 10646. This is enforced by the XML schema.

Graphic Symbol Name Hex Value Graphic Symbol Name Hex Value
! Exclamation Mark 21 M Capital Letter M 4D
" Quotation Mark 22 N Capital Letter N 4E
% Percent Sign 25 O Capital Letter O 4F
& Ampersand 26 P Capital Letter P 50
' Apostrophe 27 Q Capital Letter Q 51
( Left Parenthesis 28 R Capital Letter R 52
) Right Parenthesis 29 S Capital Letter S 53
* Asterisk 2A T Capital Letter T 54
+ Plus sign 2B U Capital Letter U 55
, Comma 2C V Capital Letter V 56
- Hyphen/ Minus 2D W Capital Letter W 57
. Full Stop 2E X Capital Letter X 58
/ Solidus 2F Y Capital Letter Y 59
0 Digit Zero 30 Z Capital Letter Z 5A
1 Digit One 31 _ Low Line 5F
2 Digit Two 32 a Small Letter a 61
3 Digit Three 33 b Small Letter b 62
4 Digit Four 34 c Small Letter c 63
5 Digit Five 35 d Small Letter d 64
6 Digit Six 36 e Small Letter e 65
7 Digit Seven 37 f Small Letter f 66
8 Digit Eight 38 g Small Letter g 67
9 Digit Nine 39 h Small Letter h 68
: Colon 3A i Small Letter i 69
; Semicolon 3B j Small Letter j 6A
< Less-than Sign 3C k Small Letter k 6B
= Equals Sign 3D l Small Letter l 6C
> Greater-than Sign 3E m Small Letter m 6D
? Question Mark 3F n Small Letter n 6E
A Capital Letter A 41 o Small Letter o 6F
B Capital Letter B 42 p Small Letter p 70
C Capital Letter C 43 q Small Letter q 71
D Capital Letter D 44 r Small Letter r 72
E Capital Letter E 45 s Small Letter s 73
F Capital Letter F 46 t Small Letter t 74
G Capital Letter G 47 u Small Letter u 75
H Capital Letter H 48 v Small Letter v 76
I Capital Letter I 49 w Small Letter w 77
J Capital Letter J 4A x Small Letter x 78
K Capital Letter K 4B y Small Letter y 79
L Capital Letter L 4C z Small Letter z 7A
Space 20
Type of alternative name for the legal entity. Legal name of the entity transliterated to ASCII characters, provided by the entity for this purpose. Legal name of the entity transliterated to ASCII characters, auto-transliterated by the managing LOU. The language of this element's text content. An IETF Language Code conforming to the latest RFC from IETF BCP 47. Note that the first characters of an IETF Language Code, up to the hyphen (if any), are all lowercase, and those following the hyphen (if any) are all uppercase.
  • Elements of base data type xs:dateTime further restrict the ISO 8601 range of date and time format to the single format:

    YYYY-MM-DDThh:mm:ss.sssTZ

    where the components of the above string are as follows:
    • YYYY is the year
    • MM is the month (01 = January, "¦, 12 = December)
    • DD is the day of the month (01 = first day of the month)
    • T is the single character "˜T"
    • hh is the hour (00 "“ 23)
    • mm is the minute
    • ss.sss is the second and milliseconds. Two digits SHALL be used for the seconds. From one to three digits may be used for milliseconds, or omitted entirely along with the decimal point.
    • TZ is the time zone specifier, which can be one of:
      • Z the single character "˜Z", denoting Coordinated Universal Time (UTC); or
      • +hh:mm denoting a positive offset from UTC; or
      • -hh:mm denoting a negative offset from UTC
    This pattern therefore adds the restrictions, beyond the ISO 8601 specification:
    • Only the specified pattern of digits, indicators and separators may be used (no spaces or other white space characters).
    • The time zone (TZ) SHALL be present, although it may be zero (Z) if all dates and times are expressed as UTC+00:00.
    • Only 3 decimal places maximum are allowed in the seconds section (ss.sss).
 A date greater or equal to 1st January 0001. A date greater or equal to 1st January 2000. Container for a single event specified by the ROC in the life of a legal entity that would impact the Reference Data in the Global LEI System. The type of legal entity event. The date when the legal entity event becomes legally effective. The date when the legal entity event was recorded in the Global LEI System. Type of source document(s) used for validating the legal entity event. A reference to a specific document or other source used as the basis of validation for this legal entity event. A list of LEI Record Set elements that are expected to be updated in the LEI Record Set as a result of a legal entity event. Describes whether or not this legal entity event is part of a group of multiple or a complex event. Describes the status of the legal entity event with regard to event timeline. An identifier assigned to link legal entity events that are part of the same group of multiple or a complex event. A number which indicates the sequence of each legal entity event within a group of events. A single element and its value that is expected to be updated in the LEI Record Set as a result of a legal entity event. The full xpath to a single element that is expected to be updated in the LEI Record Set as a result of a legal entity event. Change in the legal name of the legal entity. Change in the trade- or doing business name of the legal entity. Change in the legal address of the legal entity. Change in the headquarters address of the legal entity. Change in the legal form of the legal entity. Distribution of securities issued by another legal entity. The distributed securities may either be of a newly created or of an existing legal entity. For example, spin-off, demerger, unbundling, divestment. A special case of demerger where the shareholders of the original entity are compensated for the value loss of the original entity via shares of the new entity or via dividend. Absorption is a form of merger where there is a combination of two or more companies into an 'existing company'. In the case of absorption, only one company survives and all others lose their identity. The acquiring legal entity purchases an international branch entity. The transfer of all of the assets and liabilities of an International Branch to the new subsidiary entity in exchange for the transfer of securities representing the capital of the subsidiary entity receiving the transfer. The transfer of all of the assets and liabilities of a subsidiary to an International Branch entity in exchange for the transfer of securities representing the capital of the International Branch entity receiving the transfer. Change in legal form from a Fund legal entity structure with one or more than one sub-funds/compartments to a Fund legal entity structure without sub-funds/compartments. A break-up is a corporate action in which a single company splits into two or more independent, separately-run companies. Regulators also can mandate break-ups of companies for anti-trust reasons. The consolidation of Legal Entities or assets through various types of financial transactions, including mergers, acquisitions, consolidations, tender offers, purchase of assets and management acquisitions. Legal status of a legal entity unable to pay creditors. Bankruptcy usually involves a formal court ruling. Securities may become valueless (event completed). Distribution of cash, assets or both of a legal entity. Debt may be paid in order of priority based on preferred claims to assets specified by the security (event completed). A procedure that allows a legal entity to settle debts by paying only a proportion of the amount that it owes to creditors or to come to some other arrangement with its creditors over the payment of its debts (event completed). The entry of a decree or order by a court or agency or supervisory authority having jurisdiction in the premises the appointment of a trustee-in-bankruptcy or similar official for such party in any insolvency, readjustment of debt, marshalling of assets and liabilities, or similar proceedings, or for the winding up or liquidation of their respective affairs (event completed). (i) A voluntary termination of operations, (ii) a general assignment for the benefit of the legal entity’s creditors or (iii) any other liquidation, dissolution or winding up of the legal entity (excluding a Liquidity Event), whether voluntary or involuntary (event completed). A consolidated financial (accounting) statement, prepared and submitted to the relevant authority. A regulatory filing providing public information on legal entities and/or their relationships. Other documents supporting the validation of legal entities and/or their relationships. Contract(s) attesting to the validity of egal entities and/or their relationships. Other official document(s) attesting to the validity of legal entities and/or their relationships. This event is part of a reverse takeover event. Single / standalone legal entity event with no combination of multiple events. legal entity event including change of the legal name triggered by change of the legal form. legal entity event including change of the legal entity status triggered by change of the legal form. The legal entity event activity and processing is in progress. The legal entity event as announced will not occur. The legal entity event activity and processing have been completed as of the LegalEntityEventEffectiveDate.