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CommonDataFileFormats–QuestionsandAnswersFINALV2.2,2017-05-04

CommonDataFileFormats–QuestionsandAnswers

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Author:GLEIF|Version:FINALV2.2|2017-05-04 Page2of32

TableofContents

1.Generaltopics..........................................................................................................................................5

1.1.WhataretheGLEIFdataformats?....................................................................................................5

1.2.HowaretheGLEIFdataformatsapplied?........................................................................................5

2.LEI-CDFTopics..........................................................................................................................................6

2.1.WhatisanLEIdatafile?....................................................................................................................6

2.2.WhatisthestructureoftheLEI-CDF?...............................................................................................7

2.2.1.LEIHeaderType...........................................................................................................................7

2.2.2.LEIRecordsType..........................................................................................................................8

2.2.3.LEIRecordType...........................................................................................................................8

2.2.4.EntityType..................................................................................................................................9

2.2.5.RegistrationType......................................................................................................................12

2.3.WhatinformationisfoundintheLEIdatafileheader?..................................................................14

2.4.WhatareLEIdatarecords?.............................................................................................................14

2.5.WhatisavalidLEIcode?.................................................................................................................14

2.6.WhatistheLEIcodeprefix?............................................................................................................14

2.7.HowistheLEIcodegenerated?......................................................................................................15

2.8.HowaretheLEIcode’scheckdigitscalculatedandchecked?........................................................15

2.9.WhatinformationaboutalegalentityisrequiredbytheLEI-CDF?...............................................15

2.10.WhatadditionalinformationcanbeprovidedinLEIdatarecords?.............................................16

2.11.WhichstatusfieldsareusedinanLEIdatarecord?.....................................................................16

2.12.WhichothercodesandstandardsareincludedintheLEI-CDF?..................................................16

2.13.HowdoestheLEI-CDFhandleinternationallanguagesandscripts?............................................17

2.14.Whichspecialcharacters,stringlengthsandcharacterencodingcanbeexpectedwhenworkingwithLEI-CDFformatteddata?................................................................................................................17

2.15.WhatkindofdatabasestructureissuitableforimportingLEI-CDFdata?....................................18

2.16.CancustomfieldsbeincludedinLEI-CDFfiles?............................................................................18

2.17.HowdoLEIIssuersdealwithchanges,correctionsandupdatestotheLEI-CDFdatatheydelivertoGLEIF?................................................................................................................................................18

2.18.HowdoesGLEIFprocesstheLEI-CDFdataitreceives?.................................................................19

3.RR-CDFTopics.........................................................................................................................................20


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3.1.WhatareRR-CDFFiles?...................................................................................................................20

3.2.WhatisthestructureoftheRR-CDF?.............................................................................................20

3.2.1.RelationshipDataType..............................................................................................................20

3.2.2.RRHeaderType.........................................................................................................................21

3.2.3.RelationshipRecordsType........................................................................................................22

3.2.4.RelationshipRecordType..........................................................................................................22

3.2.5.RelationshipContainerType.....................................................................................................23

3.2.6.NodeType................................................................................................................................24

3.2.7.RelationshipPeriodsType.........................................................................................................25

3.2.8.RelationshipPeriodType...........................................................................................................25

3.2.9.RelationshipQualifiersType......................................................................................................26

3.2.10.RelationshipQualifierType.....................................................................................................26

3.2.11.RelationshipQuantifiersType.................................................................................................26

3.2.12.RelationshipQuantifierType...................................................................................................27

3.2.13.RegistrationContainerType....................................................................................................27

3.3.Whatisarelationshipdatafile?.....................................................................................................29

3.4.Whatinformationisfoundintherelationshipdatafileheader?...................................................29

3.5.Whatarerelationshiprecords?......................................................................................................29

3.6.DorelationshiprecordshaveauniqueID?.....................................................................................29

3.7.WhatinformationaboutarelationshipisrequiredbytheRR-CDF?..............................................29

3.8.Whatifrelationshipinformationisnotavailableforalegalentity?..............................................30

3.9.Whatarethestatusfieldsusedinarelationshiprecord?..............................................................30

3.10.Whichspecialcharacters,stringlengthsandcharacterencodingcanbeexpectedwhenworkingwithRR-CDFformatteddata?................................................................................................................30

3.11.WhatkindofdatabasestructureissuitableforimportingLEI-CDFdata?....................................31

4.WherecanIfindfurtherinformation?...................................................................................................32

4.1.Technicalsupport............................................................................................................................32

4.1.1.GLEIFFiles................................................................................................................................32

4.1.2.LEIIssuerfiles..........................................................................................................................32

4.1.3.WhomshouldIcontactforfurtherquestions?.......................................................................32


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Version FINALV2.2Dateofversion 2017-05-04Createdby GLEIFConfidentialitylevel PublicApprovedby GLEIFHeadofITOperations&Development

AboutthisDocument

ThisdocumentprovidesanswerstocommonquestionsontheCommonDataFileformatsdevelopedbytheLegalEntityIdentifierRegulatoryOversightCommittee(LEIROC)andfurtherdevelopedandmaintainedbyGLEIF.

ChangeHistory

Date Version Descriptionofchange Author2017-05-04 FINAL,2.2 NewLevel2version,

majorupdates:LEI-CDFV2.1,RR-CDF

GLEIF

2016-11-11 FINAL,1.0 Finalversion GLEIF


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1. Generaltopics

1.1. WhataretheGLEIFdataformats?

TheGLEIFdataformatsinclude

§ LEI-CDF,§ RR-CDF,§ ReportingExceptions,and§ ParentReferenceData.

TheyaretechnicalspecificationssupportingtheISO17442LegalEntityIdentifier(LEI)standard.

TheGLEIFstandardsareproposedanddevelopedbytheLegalEntityIdentifierRegulatoryOversightCommittee(LEI-ROC),andfurtherdevelopedandmaintainedbyGLEIFastheoperationalarmoftheGlobalLEISystem,alwaysunderLEI-ROCoversight.

1.2. HowaretheGLEIFdataformatsapplied?

TheLEI-andRR-CDF,ReportingExceptions,andcodelistssuchastheRAL,specifydataelementsandvaluesthatcanbechecked(“validated”)automatically.GLEIFappliesthisvalidationtoalltheLEIandrelationshipdatathatLEIIssuerssubmittoGLEIF,sothatabasiclevelofdataqualityisenforcedacrossallthedata.

Althoughthisvalidationisautomated,GLEIFmonitorstheLEIIssuers’datauploadsanddataqualityreportsonadailybasis.Inaddition,thedataformatsareflexibleenoughforLEIIssuerstoincludeadditionalvalue-addedinformationinareliableway,andchangesorcorrectionstothedatastructurescanbeproposedtoGLEIFatanytime.

PleaseaddressanyfurtherquestionsorfeedbackontheLEI-andRR-CDFformatstoleidata@gleif.org.


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2. LEI-CDFTopics

2.1. WhatisanLEIdatafile?

LEIdatafiles,suchasthoseproducedbytheLEIIssuers,ortheGLEIFConcatenatedFile,aretextfilescontainingLEIdatarecords,structuredusingXML.Theycannotbedirectlyopenedwithaspreadsheetordatabaseapplication,e.g.ExcelorAccess,althoughLEIdataintheseformatsisavailablethroughGLEIF’sLEISearchtool,availableatwww.gleif.org.

TheXMLfilescanbeviewedwithanysimpletexteditor,butforlargenumbersofLEIrecordsthisisimpracticalandaspecializedtoolisneeded.GLEIFdoesnotprovidetoolsupport;insteadwerecommendconsultingyourITteamforanycomplextasks.

TheXMLformatdefinesacontainerthatholdsafileheaderandaseriesofLEIdatarecords.


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2.2. WhatisthestructureoftheLEI-CDF?

PleaseseethetablesbelowforanoverviewoftheLEI-CDFelements.

Some“Type”columnvaluesrefertolatertables;theserefertodataelementsthatarecontainedwithinthereferringelement.

FurtherdetailscanbefoundintheLEICommonDataFileFormatspecificationPDFdocumentandcorrespondingXMLSchemaDefinition(XSD)availableatwww.gleif.org.

2.2.1. LEIHeaderType

Name Type Cardinality Description

ContentDate lei:LEIDateTimeProfile {1,1} Thedateandtimeasofwhichthedatacontainedinthefileisvalid.

Originator lei:LEIType {0,1} TheLEIoftheentitythatcreatedthecontentofthisfile.

FileContent lei:FileContentEnum {1,1} AcodedescribingthecontentofthisLEIdatafile.

DeltaStart lei:LEIDateTimeProfile {0,1} ThedateandtimeofthebaselinerelativetowhichthisfilecontainsneworchangedLEIdatarecords.

RecordCount xs:nonNegativeInteger {1,1} ThenumberofLEIdatarecordsinthefile.Canbeapositivewhole(integer)number,orzero(0).

NextVersion lei:HeaderNextVersionType {0,1} AstructureforaddingfurtherelementsintotheLEIdatafileheaderinanticipationofanewversion,bynestingaseriesofXMLelementswiththiscontentmodelwithintheNextVersionelement,oneforeachnewminorversionoftheschema,postpendingaserialnumber(1,2,3...)totheelementnameuponeachiteration.


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Extension lei:ExtensionType {0,1} Thislei:ExtensionelementmaycontainanyadditionalelementsrequiredtoextendtheLEIHeader.

2.2.2. LEIRecordsType


LEIRecord lei:LEIRecordType {0,unbounded} ContainsallLEIreferencedataincludingdetailsoftheLEI'sregistrationwiththeManagingLOU.

Extension lei:ExtensionType {0,1} Thislei:ExtensionelementmaycontainanyadditionalelementsrequiredtoextendtheLEIRecordscontainer.

2.2.3. LEIRecordType


LEI lei:LEIType {1,1} TheISO17442compatibleidentifierforthelegalentitydescribedintheEntitysection.

Entity lei:EntityType {1,1} TheEntitycontainerelementcontainsthelegalentity'sreferencedata,enablingidentification.


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Registration lei:RegistrationType {1,1} TheRegistrationcontainerelementcontainsallinformationonthelegalentity'sLEIregistrationwiththeManagingLOU.

NextVersion lei:LEIRecordNextVersionType {0,1} AstructureforaddingfurtherelementsintotheLEIDataRecordinanticipationofanewversion,bynestingaseriesofXMLelementswiththiscontentmodelwithintheNextVersionelement,oneforeachnewminorversionoftheschema,postpendingaserialnumber(1,2,3...)totheelementnameuponeachiteration.

Extension lei:ExtensionType {0,1} Thislei:ExtensionelementmaycontainanyadditionalelementsrequiredtoextendtheLEIRecord.

2.2.4. EntityType


LegalName lei:NameType {1,1} Thelegalnameoftheentity.

OtherEntityNames lei:OtherEntityNamesType {0,1} Anoptionallistofothernames(excludingtransliterations)forthelegalentity.

TransliteratedOtherEntityNames lei:TransliteratedOtherEntityNamesType {0,1} AnoptionallistofASCII-transliterated(i.e.Latin-orRomanized)representationsofnamesforthelegalentity.


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LegalAddress lei:AddressType {1,1} Theaddressoftheentityasrecordedintheregistrationoftheentityinitslegaljurisdiction.

HeadquartersAddress lei:AddressType {1,1} TheaddressoftheheadquartersoftheEntity.

OtherAddresses lei:OtherAddressesType {0,1} Anoptionallistofotheraddressesforthelegalentity,excludingtransliterations.

TransliteratedOtherAddresses lei:TransliteratedOtherAddressesType {0,1} Anoptionallistoftransliteratedaddressesforthelegalentity.

RegistrationAuthority lei:RegistrationAuthorityType {0,1} Anidentifierforthelegalentityinabusinessregistryinthejurisdictionoflegalregistration,orintheappropriateregistrationauthority.

LegalJurisdiction lei:JurisdictionCodeType {0,1} Thejurisdictionoflegalformationandregistrationoftheentity(anduponwhichtheLegalFormdataelementisalsodependent).PleasenotethattheXMLschemavalidatestheformatofLegalJurisdictioncodesbutnotthespecificcodesconformingtotheISOstandardsitreequires.


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EntityCategory lei:EntityCategoryTypeEnum {0,1} Indicates(whereapplicable)thecategoryofentityidentifiedbythisLEIdatarecord,asamorespecificcategorywithinthebroaddefinitiongiveninISO17442.ThesecategoriesarebasedonusecasesspecifiedinLEI-ROCpolicies,foundathttp://www.leiroc.org/list/leiroc_gls/index.htm

LegalForm lei:LegalFormType {0,1} Thelegalformoftheentity,takenfromtheISOEntityLegalForm(ELF)codelistmaintainedbyGLEIF.PleasenotethattheXMLschemavalidatestheformatofLegalFormcodesbutnotthespecificcodesconformingtotheISOstandarditreequires.

AssociatedEntity lei:AssociatedEntityType {0,1} Anotherentityassociatedwiththisentityifneededtofullyidentifythisentityortoplaceitinanappropriatecontext.

EntityStatus lei:EntityStatusEnum {1,1} Theoperationaland/orlegalregistrationstatusoftheentity(maybeACTIVEorINACTIVE).

EntityExpirationDate lei:LEIDateTimeProfile {0,1} Thedatethatthelegalentityceasedtooperate,whetherduetodissolution,mergeroracquisition.

EntityExpirationReason lei:EntityExpirationReasonEnum {0,1} Thereasonthatalegalentityceasedtoexistand/oroperate.


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SuccessorEntity lei:SuccessorEntityType {0,1} Thesurviving/newlegalentitywhichcontinues/replacesthisregistration.

NextVersion lei:EntityNextVersionType {0,1} AstructureforaddingfurtherelementsintotheEntitysectionoftheLEIdatarecordinanticipationofanewversion,bynestingaseriesofXMLelementswiththiscontentmodelwithintheNextVersionelement,oneforeachnewminorversionoftheschema,postpendingaserialnumber(1,2,3...)totheelementnameuponeachiteration.

2.2.5. RegistrationType


InitialRegistrationDate lei:LEIDateTimeProfile {1,1} Date/timetheLEIrecordwascreated.

LastUpdateDate lei:LEIDateTimeProfile {1,1} Date/timetheLEIrecordwasmostrecentlyupdated.

RegistrationStatus lei:RegistrationStatusEnum {1,1} Thestatusofthelegalentity'sLEIregistrationwiththeManagingLOU.

NextRenewalDate lei:LEIDateTimeProfile {1,1} ThenextdatebywhichtheLEIregistrationshouldberenewedandre-certifiedbythelegalentity.


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ManagingLOU lei:LEIType {1,1} TheLEIoftheLOUthatisresponsibleforadministeringthisLEIregistration.

ValidationSources lei:ValidationSourcesEnum {0,1} Thelevelofvalidationofthereferencedataprovidedbytheregistrant.

ValidationAuthority lei:ValidationAuthorityType {0,1} The(primary)registrationauthorityusedbytheLOUtovalidatetheentitydata.

OtherValidationAuthorities lei:OtherValidationAuthoritiesType {0,1} AnoptionallistofadditionalregistrationauthoritiesusedbytheLEIIssuertovalidatetheentitydata.

NextVersion lei:RegistrationNextVersionType {0,1} AstructureforaddingfurtherelementsintotheRegistrationsectionoftheLEIDataRecordinanticipationofanewversion,bynestingaseriesofXMLelementswiththiscontentmodelwithintheNextVersionelement,oneforeachnewminorversionoftheschema,postpendingaserialnumber(1,2,3...)totheelementnameuponeachiteration.


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2.3. WhatinformationisfoundintheLEIdatafileheader?

TheheadercontainsthefileuploadinformationforanLEIdatafile.TheGLEIFConcatenated

FileheadercontainsadditionalExtensionfieldssupplyinginformationontheLEIIssuersthat

suppliedtheLEIdatarecordsthefilecontains.

2.4. WhatareLEIdatarecords?

AnLEIdatarecordcontainsallLEIreferencedataforonelegalentityincludingtheessential

minimumreferencedataneededtotellonelegalentityapartfromanother,supplemental

information,anddetailsoftheLEI'sregistrationwiththeLEIIssuerwhomanagesthelegal

entity’sLEIregistration.

ThroughtheLEIcode,theycanbereferredtorelationshipsbetweenlegalentities,reported

usingtheRR-CDFformat.

2.5. WhatisavalidLEIcode?

AllLEIcodesmustcontainonlycombinationsofthedigits0to9andtheupper-caselettersAto

Z.Lowercaselettersarenotallowed.Thefinal2digits(thecheckdigits)mustbenumericonly.

ThisisrequiredbytheLEIstandard,ISO17442,andtheruleisenforcedbytheLEICommon

DataFileformat.

AvalidLEIcodemustalsohavecorrectcheckdigits.

2.6. WhatistheLEIcodeprefix?

Thefirst4digitsofanLEI(its“prefix”)arereservedtoanLEIIssuertoensurethatLEIcodesare

uniqueatthepointofissuance;thisisanadditionaloperationalprinciplewhichisnotexplicitly

requiredbyISO17442.ThisisnotcheckedautomaticallybytheLEI-CDFXMLschema.

PleasenotethattheprefixofanyLEIcodeisaddedattheinitialregistrationofalegalentity,

solelytopreventduplicationofcodesacrosstwoormoreLEIIssuers.Ithasnointrinsicmeaning

andnootheruse.

SomeLEIcodeswereissuedbeforetheLEIROC'soperationalstandardscameintoeffect.These

codesmayhaveprefixesthatdonotmatchanyLEIIssuer.


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2.7. HowistheLEIcodegenerated?

Characters5-18oftheLEIcodearetheentity-specificsection,generatedandassignedbyLOUs

accordingtotransparent,soundandrobustallocationpolicies.AsrequiredbyISO17442,it

containsnoembeddedintelligence.

2.8. HowaretheLEIcode’scheckdigitscalculatedandchecked?

The2checkdigitsofanLEIarecalculatedfromthefirst18charactersoftheLEI,accordingto

theISOStandard17442,whichitselfreferstoISOStandard7064.Bothstandardsareavailable

fromwww.iso.orgatacost.

Pleasenotethatthecheckdigitsareonlyatechnical,statisticalprotectionagainstmanual

transcriptionerrors(e.g.charactertranspositionduringdataentryorautomatedcharacter

recognition).

Incorrectcheckdigitsindicatetheprobablepresenceofanerrorintheother18characters.

Correctdigitsindicatetheabsenceofsucherrors.Thecheckdigitsarenoindicationofany

othertypeofdefectbeyondthisprobability,andtheydonotrelateinanywaytotheLEI

referencedata.

2.9. WhatinformationaboutalegalentityisrequiredbytheLEI-CDF?

TheminimumreferencedataforanLEIdatarecordasdefinedbyISO17442andenforcedby

theLEI-CDFisasfollows:

§ Theofficialnameofthelegalentityasrecordedinthebusinessregistry,orwiththefund

managerforcollectiveinvestmentvehicles,orotherwiseintheentity’sconstituting

documents.

§ Whereapplicable:

§ Thenameofthebusinessregistryinwhichtheentitywasformed.

§ Theidentifieroftheentityinthebusinessregistry.

§ Theaddressoftheheadquartersofthelegalentityortheaddressofthefundmanager.

§ TheaddressandthecountryoflegalformationasrepresentedinISO3166.

§ ThedateofthefirstLEIassignment.

§ ThedateoflastupdateoftheLEIsetofinformation.

§ Thedateofexpiry,whereapplicable.

§ Thereasonforexpiry,ifapplicable.

§ Forentitieswithadateofexpiry,whereapplicable,theLEIoftheentityorentitiesthat

acquiredtheexpiredentity.


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InadditiontoLEI-CDFinformation,alegalentitymustreportitsrelationshipinformation,per

currentLEI-ROCpolicy,tokeepitsLEIingoodstanding(issued).ThisisreportedtoGLEIFbythe

LEIIssuer,usingtheRR-CDFformat(andtheReportingExceptionsformat,whereapplicable).

2.10. WhatadditionalinformationcanbeprovidedinLEIdatarecords?

§ Thelegalformoftheentity.

§ Othernamesorrepresentationsofnamesforthelegalentity.

§ Alegalorheadquartersaddressindifferentlanguages.

Customfieldsmay(optionally)alsobeadded.

2.11. WhichstatusfieldsareusedinanLEIdatarecord?

TheLegalEntityReferenceData(LE-RD)providedwitheachLEIcode,containstwostatusfields:

§ EntityStatus-Thestatusofthelegalentity(activeorinactive).§ RegistrationStatus-ThestatusoftheLEIregistrationwiththeLEIIssuer.

ForafulllistofEntityStatusandRegistrationStatusvalues,includingdescriptions,pleaseseethedetailedspecificationoftheLEICommonDataFileformatspecificationPDF.

AnoverviewofthecurrentLEIdatapool,brokendownbyRegistrationStatusandEntityStatus,canbefoundatGLEIF'sStatisticspage.

2.12. WhichothercodesandstandardsareincludedintheLEI-CDF?

ThefollowingcodelistsaremanagedbyGLEIF:

LEI-CDFElement CodeList Description

LegalForm EntityLegalForm(ELF)Code;

ISOStandard20275

Resolvesvariantnamesforeachvalid

legalformwithinajurisdictiontoasingle

codeperlegalform,perjurisdiction.

RegistrationAuthority

RegistrationAuthorityList

(RAL)

Identifiesabusinessregistryinthe

jurisdictionoflegalregistration,or

appropriateregistrationauthority(e.g.

oneofthevarietiesoffundsregistered

insteadwithfinancialregulators).


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OthercodesmanagedbythirdpartiesincludedintheLEI-CDFareusedtoensuredataquality:

LEI-CDFElement Description

Country The2-characterISO3166-1countrycodeofthecountry.

Region The4-to6-characterISO3166-2regioncodeoftheregion.

Legal Jurisdiction EitheranISO3166-1countrycodeoranISO3166-2regioncode.

xml:lang AnIETFLanguageCodeconformingtoRFC4646.

ContentDate, DeltaStart, EntityExpirationDate, InitialRegistrationDate, LastUpdateDate, NextRenewalDate

AsubsetoftheISO8601-compliantXMLSchemadateTimeformat.

IETFstandardscanbefoundontheWorldWideWebforfree.ISOstandardscanbeobtained

fromwww.iso.orgatacost.

2.13. HowdoestheLEI-CDFhandleinternationallanguagesandscripts?

AnLEIdatarecordcancontain:

§ Othernamesorrepresentationsofnamesforthelegalentity.

§ Alegalorheadquartersaddressindifferentlanguages.

TheOtherEntityNameandOtherAddressfields,mayhavexml:langlanguagecodes:

"EachOtherEntityNameelementincludesanoptionallanguagecode,permitting

OtherEntityNametoberepeatedasmanytimesasnecessarytoexpressthesamenametype

inmultiplelanguages.

Whenthetypeattribute’svalueisPREFERRED_ASCII_TRANSLITERATED_LEGALorAUTO_ASCII_TRANSLITERATED_LEGAL,thelanguagecodespecifiesthelanguageofthename

priortotransliteration."

2.14. Whichspecialcharacters,stringlengthsandcharacterencodingcanbe

expectedwhenworkingwithLEI-CDFformatteddata?

AnyUTF-8charactercanbefoundinanLEIdatafile.


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However,fortransliteratednameandaddresselements,thevalueofthefreetextfieldsmust

consistonlyofnon-controlcharactersdrawnfromthe“invariantsubset”ofISO646(ASCII).

Mostfree-textfieldsarelimitedtoamaximumof500characters.

ForfulltechnicaldetailspleaserefertotheLEI-CDFXMLschemaavailableatwww.gleif.org.

2.15. WhatkindofdatabasestructureissuitableforimportingLEI-CDFdata?

ThedailyGLEIFConcatenatedFiledownloadisnotadatabaseandsothereisnodocumentation

detailingtables,relationshipsbetweentablesordatabasevalidationrules.

TheGLEIFConcatenatedFileandtheLEICDFformatarealsonotintendedasdatabasedesign

guidance,thoughtheycouldbeusedtoinformsuchaprocess.

Asecure,scheduledGLEIFConcatenatedFiletransfercanbesetupusingHTTPS,asdescribedin

theGLEIFConcatenatedFileSpecificationandUserManualavailableatwww.gleif.org.

AnotheroptionistodownloadacompleteorpartialsetofrecordsinExcel,CSVorJSONformat

fromtheLEISearchtool.

2.16. CancustomfieldsbeincludedinLEI-CDFfiles?

LEIIssuersareabletoaddanyextradatatheyconsiderappropriateusingthelei:Extensionfields,buttheextradatathemselvesarenotexplicitlydefinedbythestandard.

2.17. HowdoLEIIssuersdealwithchanges,correctionsandupdatestotheLEI-

CDFdatatheydelivertoGLEIF?

LEIIssuersareresponsibleforthecontentsoftheirLEIdatarecords.GLEIFsimplypassesonthe

LEIdatarecordswereceivefromtheLEIIssuer,withoutchanges.

PleaseaddressanyspecificqueriesabouttheLEIIssuers'datatotheLEIIssuersthemselves.

GLEIFprovidescontactdetailsforallLEIIssuersatwww.gleif.org.

AnLEIdatarecordmayalsobechallengeddirectly:

GotothepageforyourLEIusingtheURLpatternbelow.

https://www.gleif.org/lei/<your LEI>

Example:https://www.gleif.org/lei/549300Q82NZ9NYNMZT63


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Clickthe“ChallengeThisRecord”buttonatthefootofthepagetosendaproposedupdate

directlytotheLEIIssuerthroughGLEIF’scentralChallengeService.

2.18. HowdoesGLEIFprocesstheLEI-CDFdataitreceives?

GLEIFrecievesonedailydatafileperformat,perLEIIssuer(alsoknownasaLocalOperating

UnitorLOU),directlyfromtheLEIIssuer.

IfaninvalidLEIIssuerfileisfound,i.e.onethatdoesnotmeettechnicalvalidationcriteria

againsttherelevantCommonDataFile(CDF)format,thenthemostrecentvaliddatafilefrom

thatLEIIssuerissubstitutedforitinthatday'sConcatenatedFile.

However,informationabouttheoriginalLEIIssuerfilewillstillbeavailable,evenifthefileis

notCDFvalid.


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3. RR-CDFTopics

3.1. WhatareRR-CDFFiles?

Relationshipdatafiles,suchasthoseproducedbytheLEIIssuers,ortheGLEIFConcatenatedFile,aretextfilescontainingrelationshipdatarecords,structuredusingXML.Theycannotbedirectlyopenedwithaspreadsheetordatabaseapplication,e.g.ExcelorAccess.

TheXMLfilescanbeviewedwithanysimpletexteditor,butforlargenumbersofrelationshiprecordsthisisimpracticalandaspecializedtoolisneeded.GLEIFdoesnotprovidetoolsupport;insteadwerecommendconsultingyourITteamforanycomplextasks.

TheXMLformatdefinesacontainerthatholdsafileheaderandaseriesofrelationshipdatarecords.

3.2. WhatisthestructureoftheRR-CDF?

PleaseseethetablesbelowforanoverviewoftheRR-CDFelements.

Some“Type”columnvaluesrefertolatertables;theserefertodataelementsthatarecontainedwithinthereferringelement.

FurtherdetailscanbefoundinthetechnicalspecificationdocumentPDFandcorrespondingXMLSchemaDefinition(XSD),availableatwww.gleif.org.

3.2.1. RelationshipDataType


Header rr:RRHeaderType {1,1} ContainsthefileuploadinformationforthisRelationshipDatafile.

RelationshipRecords rr:RelationshipRecordsType {1,1} ContainerforalloftheRelationshipRecordcontainerelementssubmittedwiththisfile.


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3.2.2. RRHeaderType


ContentDate rr:LEIDateTimeProfile {1,1} Thedateandtimeasofwhichthedatacontainedinthefileisvalid.

Originator rr:LEIType {0,1} TheLEIoftheentitythatcreatedthecontentofthisfile.

FileContent rr:FileContentEnum {1,1} Acodedescribingthecontentofthisrelationshiprecordfile.

DeltaStart rr:LEIDateTimeProfile {0,1} ThedateandtimeofthebaselinerelativetowhichthisfilecontainsneworchangedRelationshipRecords.

RecordCount xs:nonNegativeInteger {1,1} Thenumberofrelationshiprecordsinthefile.

NextVersion rr:HeaderNextVersionType {0,1} AstructureforaddingfurtherelementsintotheLEIdatafileheaderinanticipationofanewversion,bynestingaseriesofXMLelementswiththiscontentmodelwithintheNextVersionelement,oneforeachnewminorversionoftheschema,postpendingaserialnumber(1,2,3...)totheelementnameuponeachiteration.

Extension rr:ExtensionType {0,1} ThisExtensionelementmaycontainanyadditionalelementsrequiredtoextendtheHeadercontainerelement.


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3.2.3. RelationshipRecordsType


RelationshipRecord rr:RelationshipRecordType {0,unbounded} Containsallrelationshipinformationincludingidentifiersreferringtotherelatedentities,thespecifictypeandotherattributesoftherelationshipitself,anddetailsoftherelationship'sregistrationwiththeManagingLOU.

3.2.4. RelationshipRecordType


Relationship rr:RelationshipContainerType {1,1} TheRelationshipcontainerelementcontainstheidentifiersofthetwoentitiesrelatedbythereportedrelationship,aswellasthetypeofrelationship,datesrelatedtotherelationshipandotherrelationshipquantifiersandqualifiers.

Registration rr:RegistrationContainerType {1,1} TheRegistrationcontainerelementcontainsinformationspecifyingtheLOU'sadministrationoftherelationshipreport.

NextVersion rr:RelationshipRecordNextVersionType {0,1} AstructureforaddingfurtherelementsintotheRegistrationsectionoftheRelationshipRecordinanticipationofanewversion,bynestingaseriesofXMLelementswiththiscontentmodelwithintheNextVersionelement,oneforeachnewminorversionoftheschema,postpendingaserialnumber(1,2,3...)totheelementnameuponeachiteration.

Extension rr:ExtensionType {0,1} ThisExtensionelementmaycontainanyadditionalelementsrequiredtoextendtheRelationshipRecord.


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3.2.5. RelationshipContainerType


StartNode rr:NodeType {1,1} AnLEIorISO17442-compatibleIDfortheentityatthe"start"ofadirectionalrelationship.

EndNode rr:NodeType {1,1} AnLEIorISO17442-compatibleIDfortheentityatthe"end"ofadirectionalrelationship.

RelationshipType rr:RelationshipTypeEnum {1,1} Auniquecodedesignatingthespecificcategoryofadirectionalrelationshipbetweentwolegalentities.

RelationshipPeriods rr:RelationshipPeriodsType {0,1} Acollectionofpairedbeginningandenddatesrelatingto:therelationshipitself,periods(e.g.accountingcycles)coveredbydocumentsdemonstratingtherelationship,orthefilingdate(s)ofthosedocuments.

RelationshipStatus rr:RelationshipStatusEnum {1,1} Thestatusofthelegalentities'relationshipitself:ACTIVEorINACTIVE.

RelationshipQualifiers rr:RelationshipQualifiersType {0,unbounded} Anyadditionalqualitativeattributesthathelptocategorizetherelationship.

RelationshipQuantifiers rr:RelationshipQuantifiersType {0,unbounded} Anyadditionalquantitativeattributesthathelptocategorizetherelationship.


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NextVersion rr:RelationshipNextVersionType {0,1} AstructureforaddingfurtherelementsintotheRegistrationsectionoftheRelationshipRecordinanticipationofanewversion,bynestingaseriesofXMLelementswiththiscontentmodelwithintheNextVersionelement,oneforeachnewminorversionoftheschema,postpendingaserialnumber(1,2,3...)totheelementnameuponeachiteration.

Extension rr:ExtensionType {0,1} ThisExtensionelementmaycontainanyadditionalelementsrequiredtoextendtheRelationshipcontainerelement.

3.2.6. NodeType


NodeID rr:LEIType {1,1} Theidentifierfortheentitydesignatedbythisnode.

NodeIDType rr:NodeIDTypeEnum {1,1} Thetypeofidentifierusedtodesignatethisnode'sentity.


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3.2.7. RelationshipPeriodsType


RelationshipPeriod rr:RelationshipPeriodType {1,unbounded} Containsonesetofstartandenddatesforaparticulartypeofperiod,forexample,thedurationoftherelationshipitself,thefilingorvalidityperiodofanydocumentsdemonstratingtherelationship,ortheaccountingperiodtheyreferto.

3.2.8. RelationshipPeriodType


StartDate rr:LEIDateTimeProfile {0,1} Thestartdateforaparticularperiodrelevanttotherelationship.

EndDate rr:LEIDateTimeProfile {0,1} Theenddateforaparticularperiodrelevanttotherelationship.

PeriodType rr:PeriodTypeEnum {1,1} Theparticulartypeofperiod,forexample,thedurationoftherelationshipitself,thefilingorvalidityperiodofanydocumentsdemonstratingtherelationship,ortheaccountingperiodtheyreferto.


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3.2.9. RelationshipQualifiersType


RelationshipQualifier rr:RelationshipQualifierType {0,unbounded} Containerforallsetsofrelationshipqualifierinformation.

3.2.10. RelationshipQualifierType


QualifierDimension rr:QualifierDimensionEnum {1,1} Designatestheoptionallistofadditionalqualitativeattributesthathelptocategorizetherelationship.

QualifierCategory rr:QualifierCategoryTypeEnum {0,1} Specifiestheadditionalqualitativeattributesthathelptocategorizetherelationship.

3.2.11. RelationshipQuantifiersType


RelationshipQuantifier rr:RelationshipQuantifierType {0,unbounded} Specifiesoneadditionalquantitativeattributeoftherelationship,accordingtoaparticularmeasurementmethod.


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3.2.12. RelationshipQuantifierType


MeasurementMethod rr:MeasurementMethodTypeEnum {1,1} Specifiesthemethodofmeasurement(orsetofrules)usedtoquantitativelycategorizetherelationship.

QuantifierAmount xs:decimal {1,1} Specifiesthequantitymeasuredasadecimal(positiveornegative)number,usinga.asthedecimalpoint,withnospaces,andwithoutthousanddelimiters(e.g.,).

QuantifierUnits rr:QuantifierUnitsTypeEnum {0,1} Specifiestheunits,whereapplicable,ofameasurementmadeonarelationship.

3.2.13. RegistrationContainerType


InitialRegistrationDate rr:LEIDateTimeProfile {1,1} ThedateatwhichtherelationshipinformationwasfirstcollectedbytheManagingLOU.

LastUpdateDate rr:LEIDateTimeProfile {1,1} ThedateatwhichtheinformationwasmostrecentlyupdatedbytheManagingLOU.

RegistrationStatus rr:RegistrationStatusEnum {1,1} Thestatusofthelegalentity'srelationshiprecordregistrationwiththeManagingLOU.


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NextRenewalDate rr:LEIDateTimeProfile {0,1} Thenextdatebywhichtherelationshipinformationmustberenewedandre-certifiedbythelegalentity.

ManagingLOU rr:LEIType {1,1} TheLEIoftheLOUthatisresponsibleforadministeringthisrelationshiprecord.

ValidationSources rr:ValidationSourcesTypeEnum {1,1} Levelofrelationshipvalidation.

ValidationDocuments rr:ValidationDocumentsTypeEnum {1,1} Typeofsourcedocument(s)usedforvalidatingtherelationship.

ValidationReference rr:Tokenized500Type {0,1} Areferencetoaspecficdocumentorothersourceusedasthebasisofrelationshipvalidationforthisrelationshiprecord.

NextVersion rr:RegistrationNextVersionType {0,1} AstructureforaddingfurtherelementsintotheRegistrationsectionoftheRelationshipRecordinanticipationofanewversion,bynestingaseriesofXMLelementswiththiscontentmodelwithintheNextVersionelement,oneforeachnewminorversionoftheschema,postpendingaserialnumber(1,2,3...)totheelementnameuponeachiteration.

Extension rr:ExtensionType {0,1} ThisExtensionelementmaycontainanyadditionalelementsrequiredtoextendtheRegistrationcontainerelement.


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3.3. Whatisarelationshipdatafile?

Relationshipdatafiles,suchasthoseproducedbytheLEIIssuers,ortheGLEIFrelationshipConcatenatedFile,aretextfilescontainingrelationshiprecords,structuredusingXML.Theycannotbedirectlyopenedwithaspreadsheetordatabaseapplication,e.g.ExcelorAccess.

TheXMLfilescanbeviewedwithanysimpletexteditor,butforlargenumbersofrelationshiprecordsthisisimpracticalandaspecializedtoolisneeded.GLEIFdoesnotprovidetoolsupport;insteadwerecommendconsultingyourITteamforanycomplextasks.

TheXMLformatdefinesacontainerthatholdsafileheaderandaseriesofrelationshiprecords.

3.4. Whatinformationisfoundintherelationshipdatafileheader?

Theheadercontainsthefileuploadinformationforarelationshipdatafile.

3.5. Whatarerelationshiprecords?

Arelationshiprecordcontainsallmandatoryandadditionalinformationononerelationshipbetweentwolegalentities.

3.6. DorelationshiprecordshaveauniqueID?

RelationshiprecordsthemselvesdonothaveanIDcode,as,althoughtheyarereportedinatechnicallyseparatewayfromLEI-CDFfiles,theyfunctionaspartoftheLEIreferencedataandalwayscontainatleastoneLEI.Sometypesofrelationship,suchasultimateaccountingconsolidation,maybeunique,whileothersmayberepeatableforagivenlegalentity.

3.7. WhatinformationaboutarelationshipisrequiredbytheRR-CDF?

AllmandatoryrelationshiptypesmustbereportedbyentitieswithanLEI.Eachrelationshiptypehasitsownsetofrequirementsforvalidreporting.PleaseseetheStateTransitionRulesandValidationRulesdocumentsforfurtherdetails,availableatwww.gleif.org.


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3.8. Whatifrelationshipinformationisnotavailableforalegalentity?

ToreceiveandkeepanLEIingoodstanding,legalentitiesmustprovideandupdatealltherelationshipinformationrequiredbyLEI-ROCpolicy.ThelatestLEI-ROCrequirementscanbefoundatwww.leiroc.org.

Anyacceptablereasons,perLEI-ROCpolicy,fornon-reportingofrelationshipinformationaresuppliedtoGLEIFusingtheReportingExceptionsformat.Thesemightinclude,forexample:

§ Norelationship–thelegalentitydoesnotpossesstherequiredtypeofrelationship(e.g.forownershiprelationships,thelegalentityisnotownedinthewaythatmustbereported).

§ NoLEI–allpublishedrelationshipsmustbereportedusingLEI-to-LEIassertions.Forsomerelationshiptypesinternalrelationshipdatawillbecollectedwherethe2ndlegalentityhasnoLEI.ThesecondentityisdescribedinternallytotheGLEISusingtheParentReferenceDataformat.

§ OtherreasonsasdeterminedbyLEI-ROCpolicy.

DetailsoftheReportingExceptionsformatandParentReferenceDataformatcanbefoundatwww.gleif.org,althoughthereporteddataintheseformatsissharedonlywiththeLEI-ROCforevaluationpurposes.

3.9. Whatarethestatusfieldsusedinarelationshiprecord?

Therelationshipdataprovidedinarelationshiprecordcontainstwostatusfields:

RelationshipStatus-Thestatusoftherelationshipitself(activeorinactive).

RegistrationStatus-ThestatusoftherelationshipreportingdatarecordmaintainedbytheLEIIssuer.

ForafulllistofRelationshipStatusandRegistrationStatusvalues,includingdescriptions,pleaseseethedetailedspecificationoftheRelationshipRecordCommonDataFileformat,foundatwww.gleif.org.

3.10. Whichspecialcharacters,stringlengthsandcharacterencodingcanbe

expectedwhenworkingwithRR-CDFformatteddata?

ForfulltechnicaldetailspleaserefertotheRR-CDFXMLschema.


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3.11. WhatkindofdatabasestructureissuitableforimportingLEI-CDFdata?

TheRR-CDFformatarealsonotintendedasdatabasedesignguidance,thoughitcouldbeusedtoinformsuchaprocess.


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4. WherecanIfindfurtherinformation?

4.1. Technicalsupport

4.1.1. GLEIFFiles

ForadescriptionoftheGLEIFConcatenatedFilesandinstructionsonhowtoobtainandusethem,pleaseseetheGLEIFConcatenatedFileSpecificationandUserManual,availablefromwww.gleif.org.

4.1.2. LEIIssuerfiles

Ifyouhaveanyquestionsregardingtheoriginalsourcefiles,pleasecontacttherespectiveLEIIssuerviaitswebsite.

ContactdetailsforallLEIIssuerscanbefoundatwww.gleif.org.

4.1.3. WhomshouldIcontactforfurtherquestions?

PleaseaddressanyfurtherquestionsorfeedbackontheLEI-andRR-CDFformatstoleidata@gleif.org.

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