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About LEI | Common Data File Formats

Relationship Record CDF Format



Starting in 2017, the Legal Entity Identifier (LEI) data pool will gradually be enhanced to include ‘Level 2’ data that will answer the question of ‘who owns whom’. Specifically, legal entities that have or acquire an LEI will report their ‘ultimate accounting consolidating parent’ as well as their ‘direct accounting consolidating parent’.

Distinct procedures apply regarding direct and ultimate parents with and without an LEI.

If the direct and / or ultimate parent of an LEI registrant has obtained an LEI, the following applies: The child legal entity will be obliged to provide the LEI, respectively, of its direct and ultimate parent to the LEI issuing organization.

The Relationship Record Common Data File (RR-CDF) format defines the technical format which specifies how Level 2 data, i.e. relationship records, is stored and transferred between LEI issuing organizations, the Global Legal Entity Identifier Foundation (GLEIF) and all users of the data. The RR-CDF format applies to relationship records for LEI registrants whose direct and ultimate parents have obtained an LEI.

The RR-CDF format contains elements which, respectively:

  • Identify the legal entities involved.
  • Specify the type and other characteristics (e.g. dates) of the relationship.
  • Show relationship validation and reporting information collected by the LEI issuing organization which manages the relationship record.
RelationshipData
Header [1,1]
ContentDate The date and time as of which the data contained in the file is valid. 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. LEIType A Legal Entity Identifier (LEI) code, conforming to ISO 17442. [0,1]
FileContent A code describing the content of this relationship record file. FileContentEnum A code denoting the publisher of the relationship data file (GLEIF or LOU), the publication status (public or internal use) and the content type (full file, delta file or query response). [1,1]
DeltaStart The date and time of the baseline relative to which this file contains new or changed Relationship Records. LEIDateTimeProfile A date and time, including the timezone, based on ISO 8601. [0,1]
RecordCount The number of relationship 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 This Extension element may contain any additional elements required to extend the Header container element 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]
Record [0,*]
Relationship [1,1]
StartNode An LEI or ISO 17442-compatible ID for the entity at the "start" of a directional relationship. NodeType An LEI or provisional (ISO 17442-compatible) technical identifier for a legal entity in the relationship, together with a code indicating the type of identifier. [1,1]
EndNode An LEI or ISO 17442-compatible ID for the entity at the "end" of a directional relationship. NodeType An LEI or provisional (ISO 17442-compatible) technical identifier for a legal entity in the relationship, together with a code indicating the type of identifier. [1,1]
RelationshipType A unique code designating the specific category of a directional relationship between two legal entities. RelationshipCategoryType A unique code designating the specific category of a directional relationship between two legal entities. [1,1]
RelationshipPeriods A collection of paired beginning and end dates relating to: the relationship itself, periods (e.g. accounting cycles) covered by documents demonstrating the relationship, or the filing date(s) of those documents. RelationshipPeriodsType A collection of paired beginning and end dates, defining a time period of a type indicated by an enumerated code: the relationship itself, periods (e.g. accounting) covered by documents demonstrating the relationship, or the filing date(s) of those documents. [0,1]
RelationshipStatus The status of the legal entities' relationship itself: ACTIVE or INACTIVE. RelationshipStatusEnum The status of the legal entities' relationship itself (e.g. currently active, historical only). [1,1]
RelationshipQualifiers Any additional qualitative attributes that help to categorize the relationship. RelationshipQualifiersType Additional qualitative attributes that help to categorize the relationship more specifically. [0,*]
RelationshipQuantifiers Any additional quantitative attributes that help to categorize the relationship. RelationshipQuantifiersType Additional quantitative attributes of the relationship, including units where applicable, according to a particular measurement method. [0,*]
Extension This Extension element may contain any additional elements required to extend the Header container element 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]
Registration [1,1]
InitialRegistrationDate The date at which the relationship information was first collected by the ManagingLOU 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 LEIDateTimeProfile A date and time, including the timezone, based on ISO 8601. [1,1]
RegistrationStatus The status of the legal entity's relationship record registration with the ManagingLOU RegistrationStatusEnum The level of relationship validation provided by the ManagingLOU. [1,1]
NextRenewalDate The next date by which the relationship information must be renewed and re-certified by the legal entity. LEIDateTimeProfile A date and time, including the timezone, based on ISO 8601. [0,1]
ManagingLOU The LEI of the LOU that is responsible for administering this relationship record. LEIType A Legal Entity Identifier (LEI) code, conforming to ISO 17442. [1,1]
ValidationSources Level of relationship validation. ValidationSourcesTypeEnum The level of relationship validation provided by the ManagingLOU. [1,1]
ValidationDocuments Type of source document(s) used for validating the relationship. ValidationDocumentsTypeEnum The type of source document(s) used by the ManagingLOU to validate the relationship. [1,1]
ValidationReference A reference to a specfic document or other source used as the basis of relationship validation for this relationship record. Tokenized500Type A free text string. [0,1]
Extension This Extension element may contain any additional elements required to extend the Header container element 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]
Extension [0,1]
The Relationship Record Common Data File (RR-CDF) format

In addition, GLEIF has developed the document, entitled ‘State Transition Rules for the Relationship Record Common Data File Format (Including Validation Rules)’. This document defines general business rules to be observed by LEI issuers collecting Level 2 data and provides specific instructions on how to apply the RR-CDF format. The validation rules describe aspects to be considered by LEI issuing organizations in the process of validating accounting consolidation relationships.

Download as PDF: Relationship Record Common Data File (RR-CDF) Format
The corresponding XML schema definition can be downloaded separately here: rr-cdf-1-0.xsd
Download as PDF: State Transition Rules for the Relationship Record Common Data File Format (Including Validation Rules)

To date, LEI data records are published with the daily updated GLEIF Concatenated File. This file contains the content of the individual files, published by the LEI issuing organizations, which list all LEIs issued to legal entities and related LEI reference data, i.e. Level 1 data on ‘who is who’.

Level 2 data on ‘who owns whom’ for LEI registrants whose direct and / or ultimate parent has obtained an LEI will be published with a separate file on the GLEIF website. This avoids any disruption to the established use of Level 1 data by market participants.

For the same reason, exceptions will also be reported and published in a separate format, i.e. the Reporting Exceptions format. Records in this format refer to a child legal entity each and mention the type of reporting exception. Reporting exceptions are:

  • There is no parent entity.
  • The child legal entity opts out of reporting for exceptional reasons.
  • Parent entities do not have an LEI.

Download as PDF: Reporting Exceptions Format
The corresponding XML schema definition can be downloaded separately here: reporting-exceptions-1-0.xsd

For information regarding relationship information for LEI registrants whose direct and / or ultimate parent does not have an LEI, refer to this dedicated GLEIF website page: Parent Reference Data Format.

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


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