About LEI Common Data File Formats

Level 1 Data: LEI-CDF Format



The business card information available with the Legal Entity Identifier (LEI) reference data, e.g. the official name of a legal entity and its registered address, is referred to as ‘Level 1’ data . It provides the answer to the question of ‘who is who’.

The LEI-Common Data File (CDF) format defines how LEI issuing organizations report their LEI and Level 1 reference data.

In May 2017, GLEIF published the LEI-CDF format version 2.1. The detailed technical specification document and the corresponding XML schema definition are available for download at the foot of this page.

Also available for download is the document ‘State Transition Rules for the LEI Common Data File Format (Including Validation Rules)’, which describes business rules for the issuance, updating, management and publication of Level 1 LEI data according to the LEI-CDF format version 2.1. In January 2018, GLEIF published an updated version 1.2 of the State Transition Rules to provide minor clarifications on a few selected topics as specified in the document.

The GLEIF Concatenated Files include specific information on an LEI record and related reference data based on the relevant reporting format.

The diagram below shows the structure of the LEI-CDF format version 2.1, including definitions of the data content to be provided.

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 LEI-ROC policies, found at the LEI-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.
  • 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
[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 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.
[1,1]
EntityExpirationDate 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 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
[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
  • 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
  • RegistrationAuthorityEntityID - The identifier of the Entity at the indicated registration authority
[0,1]
Extension [0,1]

The LEI Common Data File (LEI-CDF) Format (LEI Data File Format 2.1)

Code lists for use with the LEI-CDF

GLEIF maintains and publishes code lists defining approved values for some elements of the LEI-CDF. These are:

LEI-CDF Element Code List Description
LegalForm Entity Legal Form (ELF) Code; ISO Standard 20275 Resolves variant names for each valid legal form within a jurisdiction to a single code per legal form, per jurisdiction.
Version 1.0: Register (attribute of BusinessRegisterEntityID) Version 2.1: RegistrationAuthority Registration Authorities List Identifies a business registry in the jurisdiction of legal registration, or appropriate registration authority (e.g. one of the varieties of funds registered instead with financial regulators).

Please address questions on the LEI-CDF format to leidata@gleif.org.


Relevant Files for Download