LEI 通用数据文件格式

1 级数据：LEI-CDF 格式 3.1



与法人机构识别编码 (LEI) 参考数据一起提供的业务名片信息，例如法人机构的官方名称及其注册地址，被称为 “1 级”数据。它提供了问题“谁是谁”的答案。

LEI-通用数据文件 (CDF) 格式规定了 LEI 发放组织报告其 LEI 与 1 级参考数据的方式。

2016 年 11 月，GLEIF 发布了关于 LEI-CDF 格式初始版本 1.0 的信息。2017 年 5 月，GLEIF 发布了关于 LEI-CDF 格式版本 2.1 的信息，而在 2021 年 5 月，又发布了关于 LEI-CDF 格式版本 3.1 的信息。相较于 LEI-CDF 格式版本 2.1，版本 3.1 基于 ROC 政策 “全球 LEI 体系中的法人机构活动 (以前称为“公司行动”) 和数据历史”，和“普通政府机构 LEI 资格的指南文件”。相应的 XML 模式定义和发行说明文件可在本页下方下载。

以下图表显示了 LEI-CDF 格式版本 3.1 的结构，包括要提供的数据内容定义。

LEI Data
LEI File Header [1,1]
ContentDate The date and time as of which the data contained in the file is valid. lei:LEIDateTimeProfile A date and time, including the timezone, based on ISO 8601. [1,1]
Originator The LEI of the Entity that created the content of this file. Omitted if GLEIF is the creator. lei:LEIType A Legal Entity Identifier (LEI) code, conforming to ISO 17442. [0,1]
FileContent A code describing the content of this LEI data file. lei:FileContentEnum Codes denoting the publisher of the LEI Data file (GLEIF or LEI Issuer / LOU), the publication status (public or internal use) and the content type (full file, delta file or query response).
A value of type FileContentEnum in a file conforming to this standard SHALL be one of the following code strings:
  • LOU_FULL_PUBLISHED
  • LOU_DELTA_PUBLISHED
  • GLEIF_FULL_PUBLISHED
  • GLEIF_DELTA_PUBLISHED
  • QUERY_RESPONSE
 [1,1]
DeltaStart The date and time of the baseline relative to which this file contains new or changed LEI Records. lei:LEIDateTimeProfile A date and time, including the timezone, based on ISO 8601. [0,1]
RecordCount The number of LEI Records in the file. Must be a positive whole (integer) number or zero (0). xs:nonNegativeInteger A positive whole number or zero (0). [1,1]
Extension The lei:Extension element may contain any additional elements required to extend the LEIHeader. lei:ExtensionType Data element(s) defined by the sender of the file. A description of Extension element structure and content should be provided separately. [0,1]
LEI Data Record [0,*]
LEI The 20-character LEI of the Legal Entity described by this LEI Data Record. lei:LEIType A Legal Entity Identifier (LEI) code, in the format specified by ISO 17442. [1,1]
Entity [1,1]
LegalName The Legal Name of the Entity. If an Entity is in a jurisdiction with more than one Legal Name (e.g., in different languages), this is the Primary Legal Name (see OtherEntityNames for other names). lei:NameType A string expressed in a natural language, including a code (xml:lang attribute) indicating which natural language is used. [1,1]
OtherEntityNames An optional list of OtherName elements (providing all types of names other than the Primary Legal Name) for the Entity. Transliterated versions of names are provided in a separate element. lei:OtherEntityNamesType Each of the one or more OtherEntityName elements contained here includes an optional xml:lang language code, permitting OtherEntityName to be repeated as many times as necessary to express the same type of alternative name in multiple languages. [0,1]
TransliteratedOtherEntityNames An optional list of ASCII-transliterated (i.e. Latin- or Romanized) representations of names for the Legal Entity. lei:TransliteratedOtherEntityNamesType An unlimited number (at least one) of TransliteratedOtherEntityName elements, each with a mandatory type and an optional xml:lang attribute [0,1]
LegalAddress The address of the Entity as recorded in the registration of the Entity in its legal jurisdiction. lei:AddressType A value of type AddressType in a file conforming to this standard SHALL include data elements as specified below:
  • Language (xml:lang attribute)
  • One mandatory FirstAddressLine
  • An optional AddressNumber taken from the FirstAddressLine
  • An optional AddressNumberWithinBuilding taken from the FirstAddressLine
  • An optional MailRouting taken from the FirstAddressLine
  • 0-3 optional AdditionalAddressLine elements
  • City
  • Region (optional)
  • Country
  • PostalCode (optional)
[1,1]
HeadquartersAddress The address of the headquarters of the Entity. lei:AddressType A value of type AddressType in a file conforming to this standard SHALL include data elements as specified below:
  • Language (xml:lang attribute)
  • One mandatory FirstAddressLine
  • An optional AddressNumber taken from the FirstAddressLine
  • An optional AddressNumberWithinBuilding taken from the FirstAddressLine
  • An optional MailRouting taken from the FirstAddressLine
  • 0-3 optional AdditionalAddressLine elements
  • City
  • Region (optional)
  • Country
  • PostalCode (optional)
[1,1]
OtherAddresses An optional, unlimited list of one or more other OtherAddress elements for the Entity. This may be used to provide alternative language forms of legal address or headquarters address. Transliterated other addresses are provided in a separate element. lei:OtherAddressesType A value of type OtherAddress in a file conforming to this standard SHALL include the following data elements:
  • Language (xml:lang attribute)
  • One mandatory FirstAddressLine
  • An optional AddressNumber taken from the FirstAddressLine
  • An optional AddressNumberWithinBuilding taken from the FirstAddressLine
  • An optional MailRouting taken from the FirstAddressLine
  • 0-3 optional AdditionalAddressLine elements
  • City
  • Region (optional)
  • Country
  • PostalCode (optional)
Each OtherAddress element includes an optional language code, permitting OtherAddress to be repeated as many times as necessary to express the same address type in multiple languages. [0,1]
TransliteratedOtherAddresses An optional list of transliterated versions of addresses for the legal Entity. lei:TransliteratedOtherAddressesType An unlimited list (at least one) of TransliteratedOtherAddress elements, each containing a transliterated version of one of the addresses for the Legal Entity, including the following elements:
  • Language (xml:lang attribute)
  • One mandatory FirstAddressLine
  • An optional AddressNumber taken from the FirstAddressLine
  • An optional AddressNumberWithinBuilding taken from the FirstAddressLine
  • An optional MailRouting taken from the FirstAddressLine
  • 0-3 optional AdditionalAddressLine elements
  • City
  • Region (optional)
  • Country
  • PostalCode (optional)
Each TransliteratedOtherAddress element includes an optional language code, permitting TransliteratedOtherAddress to be repeated as many times as necessary to express a transliterated version of each address type in multiple languages. The xml:lang attribute indicates the language of the original address used as a source for the transliteration. [0,1]
RegistrationAuthority An identifier for the Legal Entity in a business registry in the jurisdiction of legal registration, or in the appropriate registration authority. lei:RegistrationAuthorityType A value of type RegistrationAuthorityType in a file conforming to this standard SHALL include data elements as specified below:
  • RegistrationAuthorityID - The reference code of the registration authority, taken from the Registration Authorities Code List maintained by GLEIF
  • OtherRegistrationAuthorityID - A legacy / historical reference code of a registration authority
  • RegistrationAuthorityEntityID - The identifier of the Entity at the indicated registration authority
 [0,1]
LegalJurisdiction The jurisdiction of legal formation and registration of the Entity (and on which the Legalform data element is also dependent). lei:JurisdictionCodeType A value of type JurisdictionCode in a file conforming to this standard SHALL either be
  • a 2-character country code conforming to ISO 3166-1 alpha-2 or
  • a region code conforming to ISO 3166-2.
An ISO 3166-1 alpha-2 code SHALL be used to indicate a country jurisdiction, and an ISO 3166-2 code SHALL be used to indicate a regional jurisdiction. Note that both codes are all uppercase. [0,1]
EntityCategory Indicates (where applicable) the category of 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 the ROC website. lei:EntityCategoryTypeEnum A value of type EntityCategoryTypeEnum in a file conforming to this standard SHALL be one of the following code strings:
  • BRANCH - The Legal Entity is a branch of another Legal Entity.
  • new GENERAL - The legal entity is a general legal entity.
  • FUND - The Legal Entity is a fund managed by another Legal Entity.
  • SOLE_PROPRIETOR - The Legal Entity is an individual acting in a business capacity.
  • new RESIDENT_GOVERNMENT_ENTITY - 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.
  • new INTERNATIONAL_ORGANIZATION - 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.
[0,1]
EntitySubCategory new 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. lei:EntitySubCategoryTypeEnum A value of type EntitySubCategoryTypeEnum in a file conforming to this standard SHALL be one of the following code strings:
  • new CENTRAL_GOVERNMENT - 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.
  • new STATE_GOVERNMENT - 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.
  • new LOCAL_GOVERNMENT - The legal entity is a local government subsector which consists of local governments that are separate institutional units.
  • new SOCIAL_SECURITY - 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.
 [0,1]
LegalForm The legal form of the Entity, taken from the ISO Entity Legal Form (ELF) code list maintained by GLEIF. The XML schema validates the format of EntityLegalFormCode codes but not the specific codes conforming to the ISO standard it requires. lei:LegalFormType A value of type LegalFormType in a file conforming to this standard SHALL include data elements as specified below:
  • EntityLegalFormCode - A current code from the GLEIF-maintained list MUST be used. Values of the LegalFormEnum code list are maintained by ISO / GLEIF through the Entity Legal Form (ELF), available from the GLEIF website.
  • OtherLegalForm - 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.
 [0,1]
AssociatedEntity deprecated Another Entity associated with this Entity if needed to fully identify this Entity or to place it in an appropriate context. lei:AssociatedEntityType A value of type AssociatedEntityType in a file conforming to this standard SHALL include one or the other (not both) of the following data elements:
  • AssociatedLEI - The LEI of the associated Entity
  • AssociatedEntityName - The name of the associated Entity
 [0,1]
EntityStatus The status of Legal Entity. lei:EntityStatusEnum A value of type EntityStatusEnum in a file conforming to this standard SHALL be one of the following code strings:
  • ACTIVE - As of the last report or update, the Legal Entity reported that it was legally registered and operating.
  • INACTIVE - It has been determined that the Entity that was assigned the LEI is no longer legally registered and/or operating, whether as a result of business closure, acquisition by or merger with another (or new) Entity, or determination of illegitimacy.
  • new NULL - The entity status is not applicable.
 [1,1]
EntityCreationDate new The date on which the legal entity was first established as defined in ISO 17442. lei:LEIDateTimeProfileGeYear0001 A date and time,including the timezone,based on ISO 8601. [0,1]
EntityExpirationDate deprecated The date the Legal Entity ceased operation or was merged. This element SHALL be present if EntityExpirationReason is present, and omitted otherwise. lei:LEIDateTimeProfile A date and time, including the timezone, based on ISO 8601. [0,1]
EntityExpirationReason deprecated The reason that a Legal Entity ceased to operate. This element SHALL be present if EntityExpirationDate is present, and omitted otherwise. lei:EntityExpirationReasonEnum A value of type EntityExpirationReasonEnum in a file conforming to this standard SHALL be one of the following code strings:
  • DISSOLVED - The Entity ceased to operate
  • CORPORATE_ACTION - The Entity was acquired or merged with another Entity
  • OTHER - The reason for expiry is neither of DISSOLVED nor CORPORATE_ACTION
[0,1]
SuccessorEntity The surviving/new Legal Entity which continues/replaces this LEI registration, where applicable. lei:SuccessorEntityType A value of type SuccessorEntityType in a file conforming to this standard SHALL include one (not both) of the following data elements:
  • SuccessorLEI - The LEI of the successor Entity.
  • SuccessorEntityName - The name of the successor Entity.
new The SuccessorEntity is a repeating field from LEI version 3.1 onwards. [0,*]
LegalEntityEvents new Container for a finite number of events specified by the LEI ROC in the life of a legal entity that would impact the Reference Data in the Global LEI System. lei:LegalEntityEventsType The LegalEntityEvents element contains one or more LegalEntityEvent elements with the following attributes and child elements.
    Child Elements:
  • new LegalEntityEventType - The type of legal entity event. This field must contain a valid LegalEntityEventTypeEnum as specified in the LEI CDF version 3.1.
  • new LegalEntityEventEffectiveDate (optional) - The date when the legal entity event becomes legally effective.
  • new LegalEntityEventRecordedDate - The date when the legal entity event was recorded in the Global LEI System.
  • new ValidationDocuments - Type of source document(s) used for validating the legal entity event. This field must contain a valid ValidationDocumentsTypeEnum as specified in the LEI CDF version 3.1.
  • new ValidationReference (optional) - A reference to a specific document or other source used as the basis of validation for this legal entity event.
  • new AffectedFields (optional) - 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.
    Attributes:
  • new group_type - Describes whether or not this legal entity event is part of a group of multiple or a complex event. This field must contain a valid LegalEntityEventGroupTypeEnum as specified in the LEI CDF version 3.1.
  • new event_status - Describes the status of the legal entity event with regard to event timeline. This field must contain a valid LegalEntityEventStatusEnum as specified in the LEI CDF version 3.1.
  • new group_id (optional) - An optional identifier assigned to link legal entity events that are part of the same group of multiple or a complex event.
  • new group_sequence_no (optional) - An optional number which indicates the sequence of each legal entity event within a group of events.
 [0,1]
Registration [1,1]
InitialRegistrationDate The date at which the information was first collected by the ManagingLOU. lei:LEIDateTimeProfile A date and time, including the timezone, based on ISO 8601. [1,1]
LastUpdateDate The date at which the information was most recently updated by the ManagingLOU. lei:LEIDateTimeProfile A date and time, including the timezone, based on ISO 8601. [1,1]
RegistrationStatus The status of the Legal Entity\'s LEI Record registration with the ManagingLOU. lei:RegistrationStatusEnum A value of type RegistrationStatusEnum in a file conforming to this standard SHALL be one of the following code strings:
  • PENDING_VALIDATION - An application for an LEI that has been submitted and which is being processed and validated
  • ISSUED - An LEI Registration that has been validated and issued, and which identifies an Entity that was an operating Legal Entity as of the last update
  • DUPLICATE - 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)
  • LAPSED - An LEI registration that has not been renewed by the NextRenewalDate and is not known by public sources to have ceased operation
  • deprecated MERGED - 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
  • RETIRED - An LEI registration for an Entity that has ceased operation, without having been merged into another Entity
  • ANNULLED - An LEI registration that was marked as erroneous or invalid after it was issued
  • CANCELLED - An LEI registration that was abandoned prior to issuance of an LEI
  • TRANSFERRED - An LEI registration that has been transferred to a different LOU as the managing LOU
  • PENDING_TRANSFER - An LEI registration that has been requested to be transferred to another LOU. The request is being processed at the sending LOU
  • PENDING_ARCHIVAL - An LEI registration is about to be transferred to a different LOU, after which its registration status will revert to a non-pending status
 [1,1]
NextRenewalDate The next date by which the LEI information must be renewed and re-certified by the Legal Entity. lei:LEIDateTimeProfile A date and time, including the timezone, based on ISO 8601. [1,1]
ManagingLOU The LEI of the LEI Issuer that is responsible for administering this LEI Record. lei:LEIType A Legal Entity Identifier (LEI) code, conforming to ISO 17442. [1,1]
ValidationSources Level of LEI Record validation. ValidationSourcesTypeEnum A value of type ValidationSourcesTypeEnum in a file conforming to this standard SHALL be one of the following code strings:
  • PENDING
  • ENTITY_SUPPLIED_ONLY
  • PARTIALLY_CORROBORATED
  • FULLY_CORROBORATED
 [0,1]
ValidationAuthority The (primary) registration authority used by the LEI Issuer to validate the Entity data. lei:ValidationAuthorityType A value of type ValidationAuthorityType in a file conforming to this standard SHALL include data elements as specified below:
  • ValidationAuthorityID - The reference code of the registration authority, taken from the Registration Authorities Code List maintained by GLEIF
  • OtherValidationAuthorityID - A legacy / historical reference code of a registration authority
  • ValidationAuthorityEntityID - The identifier of the Entity at the indicated registration authority
 [0,1]
OtherValidationAuthorities An optional list of additional registration authorities used by the LEI Issuer to validate the Entity data. lei:OtherValidationAuthoritiesType A value of type OtherValidationAuthorityType in a file conforming to this standard SHALL include data elements as specified below:
  • ValidationAuthorityID - The reference code of the registration authority, taken from the Registration Authorities Code List maintained by GLEIF
  • OtherValidationAuthorityID - A legacy / historical reference code of a registration authority
  • ValidationAuthorityEntityID - The identifier of the Entity at the indicated registration authority
 [0,1]
Extension [0,1]

LEI 通用数据文件 (LEI-CDF) 格式 (LEI 数据文件格式 3.1)

注：LEI-CDF 版本 3.1 中新添加的字段和枚举值以黄色突出显示。同样的，被弃用的字段和值也会以灰色突出显示；保留这些字段和值是出于技术上的向后兼容性原因。

状态转换和验证规则 (STVR) 描述了根据通用数据文件 (CDF) 格式发放、更新、管理和发布 LEI 参考数据的业务规则及其技术实施情况。

有关升级到当前版本所需的技术文档和示例文件，请参阅支持文档页面。

如有关于 LEI-CDF 格式的疑问，请提交问题至 info@gleif.org。

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