Detalles de las comprobaciones de la calidad de los datos

Ensure LEI code is ISO 17442 compliant

Precondition:

- lei:RegistrationStatus IN ['ISSUED', 'PENDING_TRANSFER', 'PENDING_ARCHIVAL'] - lei:InitialRegistrationDate >= 2016-07-07T00:00:00+00:00

Condition:

lei:LEI ISO 17442 compliant

Ensure appropriate code in legal address region

Precondition:

- lei:LegalAddress/lei:Region $PRESENT - lei:RegistrationStatus $MUTABLE

Condition:

lei:LegalAddress/lei:Region IN $ISO_3166_2

Ensure appropriate code in legal address country

Precondition:

lei:RegistrationStatus $MUTABLE

Condition:

lei:LegalAddress/lei:Country IN ['XK', $ISO_3166_1_ALPHA_2]

Ensure compliance with GLEIF Accepted Legal Jurisdictions Code List

Precondition:

lei:RegistrationStatus $MUTABLE

Condition:

lei:LegalJurisdiction IN $GLEIF_ACCEPTED_LEGAL_JURISDICTIONS

Ensure internal registration statuses are not published

Precondition:

Condition:

lei:RegistrationStatus NOT IN ['PENDING_VALIDATION', 'CANCELLED', 'TRANSFERRED']

Record has plausible renewal date

Precondition:

lei:RegistrationStatus 'ISSUED'

Condition:

- lei:NextRenewalDate + 1 Day >= leiFileHeader:ContentDate - lei:NextRenewalDate

Verify plausibility of dates for the record

Precondition:

lei:RegistrationStatus NOT 'ANNULLED'

Condition:

- leiFileHeader:ContentDate >= lei:LastUpdateDate - lei:LastUpdateDate >= lei:InitialRegistrationDate

Appropriate setting of next renewal date of the record

Precondition:

lei:RegistrationStatus NOT 'ANNULLED'

Condition:

lei:NextRenewalDate > lei:InitialRegistrationDate

Ensure DUPLICATE records have at least one successor LEI

Precondition:

lei:RegistrationStatus 'DUPLICATE'

Condition:

lei:SuccessorLEI $PRESENT

Avoid uniqueness violations outside of transfers

Precondition:

$COUNT(lei:LEI) > 1

Condition:

- $COUNT(lei:LEI) == 2 - leiFileHeader:Originator different for all lei:LEI - IF RUT has lei:RegistrationStatus IN ['PENDING_TRANSFER', 'PENDING_ARCHIVAL'], the other record has lei:RegistrationStatus NOT IN ['PENDING_TRANSFER', 'PENDING_ARCHIVAL'] - IF RUT has lei:RegistrationStatus NOT IN ['PENDING_TRANSFER', 'PENDING_ARCHIVAL'], the other record has lei:RegistrationStatus 'PENDING_ARCHIVAL'

Validate SuccessorLEI

Precondition:

- lei:RegistrationStatus NOT 'ANNULLED' - For all lei:SuccessorLEI: - lei:SuccessorLEI $PRESENT

Condition:

lei:SuccessorLEI $VALID

Ensure record is managed by an accredited LEI Issuer

Precondition:

lei:RegistrationStatus NOT 'ANNULLED'

Condition:

lei:ManagingLOU $LEI_ISSUER

Ensure correct registration statuses for active entities

Precondition:

lei:EntityStatus 'ACTIVE'

Condition:

lei:RegistrationStatus $MUTABLE

Check ManagingLOU equals Originator of the file

Precondition:

Condition:

lei:ManagingLOU == leiFileHeader:Originator

Inactive entities have correct registration status

Precondition:

- lei:RegistrationStatus NOT IN ['PENDING_TRANSFER','PENDING_ARCHIVAL'] - lei:EntityStatus 'INACTIVE'

Condition:

lei:RegistrationStatus 'RETIRED'

Ensure an ultimate parent has correct relationship information

Precondition:

- lei:RegistrationStatus 'ISSUED' - Has $REPORTED_CHILD_RELATIONSHIPS where - rr:RelationshipType 'IS_ULTIMATELY_CONSOLIDATED_BY' - rr:RegistrationStatus IN ['PUBLISHED', 'LAPSED']

Condition:

- Has no $REPORTED_RELATIONSHIPS where rr:RegistrationStatus $MUTABLE - Has exactly one $REPORTED_EXCEPTIONS where - repex:ExceptionReason IN ['NATURAL_PERSONS', 'NON_CONSOLIDATING', 'NO_KNOWN_PERSON'] - repex:ExceptionCategory 'DIRECT_ACCOUNTING_CONSOLIDATION_PARENT' - Has exactly one $REPORTED_EXCEPTIONS where - repex:ExceptionReason IN ['NATURAL_PERSONS', 'NON_CONSOLIDATING', 'NO_KNOWN_PERSON'] - repex:ExceptionCategory 'ULTIMATE_ACCOUNTING_CONSOLIDATION_PARENT'

Ensure distinct reporting exceptions without concurrent relationship records

Precondition:

Has $REPORTED_EXCEPTIONS

Condition:

For all $REPORTED_EXCEPTIONS: - Does not share repex:ExceptionCategory with any another $REPORTED_EXCEPTIONS - No $REPORTED_RELATIONSHIPS with rr:RegistrationStatus IN ['PUBLISHED','LAPSED'] with rr:RelationshipType corresponding to repex:ExceptionCategory (Direct vs Ultimate Parent)

Provide complete, distinct parent information for non-branches

Precondition:

- lei:EntityCategory NOT 'BRANCH' - lei:RegistrationStatus 'ISSUED'

Condition:

- Has exactly one $REPORTED_DIRECT_PARENT_INFO with rr:RegistrationStatus 'PUBLISHED' (for RR) - Has exactly one $REPORTED_ULTIMATE_PARENT_INFO with rr:RegistrationStatus 'PUBLISHED' (for RR)

Published relationships point to an appropriate parent

Precondition:

Has $REPORTED_RELATIONSHIPS with rr:RegistrationStatus 'PUBLISHED'

Condition:

For all applicable $REPORTED_RELATIONSHIPS with lei:LEI != rr:EndNode/rr:NodeID: - rr:EndNode/rr:NodeID $VALID - lei:RegistrationStatus $MUTABLE For all applicable $REPORTED_RELATIONSHIPS with lei:LEI == rr:EndNode/rr:NodeID: - rr:RelationshipType == 'IS_FUND-MANAGED_BY'

Validation reference is provided for public regulatory filiings

Precondition:

Has $REPORTED_RELATIONSHIPS with - rr:ValidationDocuments 'REGULATORY_FILING' - rr:ValidationSources IN ['FULLY_CORROBORATED', 'PARTIALLY_CORROBORATED']

Condition:

For all applicable $REPORTED_RELATIONSHIPS: - rr:ValidationReference $PRESENT

Ensure correct period dates of retired relationships

Precondition:

Has $REPORTED_RELATIONSHIPS with - rr:RegistrationStatus 'RETIRED'

Condition:

For all applicable $REPORTED_RELATIONSHIPS: - rr:RelationshipPeriod with rr:PeriodType 'RELATIONSHIP_PERIOD' $PRESENT - rr:StartDate $PRESENT - rr:EndDate $PRESENT - if rr:RelationshipType IN ['IS_DIRECTLY_CONSOLIDATED_BY','IS_ULTIMATELY_CONSOLIDATED_BY']: - rr:RelationshipPeriod with rr:PeriodType 'ACCOUNTING_PERIOD' $PRESENT - if rr:RelationshipPeriod with rr:PeriodType 'ACCOUNTING_PERIOD' $PRESENT - rr:StartDate $PRESENT - rr:EndDate $PRESENT

Relationship status is correct when parent record is inactive

Precondition:

Has $REPORTED_RELATIONSHIPS - rr:RegistrationStatus NOT IN ['DUPLICATE', 'ANNULLED'] - LEI record with lei:LEI == rr:EndNode/rr:NodeID has lei:RegistrationStatus 'RETIRED'

Condition:

For all applicable $REPORTED_RELATIONSHIPS: - rr:RelationshipStatus 'INACTIVE'

Ensure relationship status is correct when child record is inactive

Precondition:

- lei:RegistrationStatus = 'RETIRED' - Has $REPORTED_RELATIONSHIPS with - rr:RegistrationStatus NOT IN ['DUPLICATE', 'ANNULLED']

Condition:

rr:RelationshipStatus = 'INACTIVE'

Verify plausibility of relationship period dates

Precondition:

Has $REPORTED_RELATIONSHIPS with - rr:RelationshipPeriod/rr:StartDate $PRESENT - rr:RelationshipPeriod/rr:EndDate $PRESENT

Condition:

For all applicable $REPORTED_RELATIONSHIPS: - rr:RelationshipPeriod/rr:StartDate

Ensure valid connection between relationship and registration statuses

Precondition:

Has $REPORTED_RELATIONSHIPS with - rr:RelationshipStatus 'INACTIVE'

Condition:

For all applicable $REPORTED_RELATIONSHIPS: - rr:RegistrationStatus IN ['RETIRED', 'PENDING_TRANSFER', 'PENDING_ARCHIVAL']

Avoid redundancy in legal address and addresses in alternative languages

Precondition:

lei:OtherAddress@type 'ALTERNATIVE_LANGUAGE_LEGAL_ADDRESS' $PRESENT

Condition:

For all applicable lei:OtherAddress: - lei:OtherAddress@lang $PRESENT - lei:OtherAddress@lang != lei:LegalAddress@lang - lei:OtherAddress NOT $EQUALS_NORMALIZED lei:LegalAddress - no pair of lei:OtherAddress $EQUALS_NORMALIZED Compared fields: - lei:FirstAddressLine - lei:AdditionalAddressLine{0,3} - lei:AddressNumber - lei:AddressNumberWithinBuilding - lei:MailRouting - lei:City - lei:PostalCode

Avoid redundancy in headquarters address and addresses in alternative languages

Precondition:

lei:OtherAddress@type 'ALTERNATIVE_LANGUAGE_HEADQUARTERS_ADDRESS' $PRESENT

Condition:

For all applicable lei:OtherAddress: - lei:OtherAddress@lang $PRESENT - lei:OtherAddress@lang != lei:HeadquartersAddress@lang - lei:OtherAddress NOT $EQUALS_NORMALIZED lei:HeadquartersAddress - no pair of lei:OtherAddress $EQUALS_NORMALIZED Compared fields: - lei:FirstAddressLine - lei:AdditionalAddressLine{0,3} - lei:AddressNumber - lei:AddressNumberWithinBuilding - lei:MailRouting - lei:City - lei:PostalCode

No validation information is provided for self-supplied entities

Precondition:

- lei:ValidationAuthority $PRESENT - lei:ValidationSources $PRESENT - lei:ValidationSources 'ENTITY_SUPPLIED_ONLY' - lei:ValidationAuthorityID NOT 'RA888888'

Condition:

- lei:ValidationAuthorityID 'RA999999' - lei:ValidationAuthorityEntityID NOT $PRESENT

Ensure complete relationship periods with start date for active entities

Precondition:

- lei:EntityStatus 'ACTIVE' - Has $REPORTED_RELATIONSHIPS with - rr:RegistrationStatus NOT ['ANNULLED', 'DUPLICATE']

Condition:

For all applicable $REPORTED_RELATIONSHIPS: - At least one rr:RelationshipPeriod with rr:PeriodType 'RELATIONSHIP_PERIOD' $PRESENT - rr:StartDate $PRESENT - If rr:ValidationDocuments 'REGULATORY_FILING': - rr:RelationshipPeriod with rr:PeriodType 'DOCUMENT_FILING_PERIOD' $PRESENT - rr:StartDate $PRESENT - if rr:RelationshipType IN ['IS_DIRECTLY_CONSOLIDATED_BY', 'IS_ULTIMATELY_CONSOLIDATED_BY']: - rr:RelationshipPeriod with rr:PeriodType 'ACCOUNTING_PERIOD' $PRESENT - rr:StartDate $PRESENT

Ensure relationship's registration status is correct when child record lapses

Precondition:

- lei:RegistrationStatus 'LAPSED' - Has $REPORTED_RELATIONSHIPS

Condition:

For all $REPORTED_RELATIONSHIPS: - rr:RegistrationStatus 'LAPSED' or$IMMUTABLE

Assert record and relationships share renewal cycle

Precondition:

Has $REPORTED_RELATIONSHIPS with - rr:RelationshipStatus 'ACTIVE' - rr:RegistrationStatus $MUTABLE

Condition:

For all applicable $REPORTED_RELATIONSHIPS: - rr:NextRenewalDate $PRESENT - absolute difference between rr:NextRenewalDate and lei:NextRenewalDate

Ensure child LEI and relationship records are managed by the same LEI issuer

Precondition:

- lei:RegistrationStatus NOT IN ['PENDING_TRANSFER', 'PENDING_ARCHIVAL'] - Has $REPORTED_RELATIONSHIPS with - rr:RegistrationStatus NOT IN ['PENDING_TRANSFER', 'PENDING_ARCHIVAL']

Condition:

For all applicable $REPORTED_RELATIONSHIPS: - lei:ManagingLOU == rr:ManagingLOU

Ensure relationship's registration status is correct when child record is invalid

Precondition:

lei:RegistrationStatus IN ['DUPLICATE', 'ANNULLED']

Condition:

rr:RegistrationStatus 'ANNULLED'

Ensure relationship's registration status is correct when parent record is invalid

Precondition:

HAS $REPORTED_RELATIONSHIPS where the LEI record with lei:LEI == rr:EndNode/rr:NodeID has lei:RegistrationStatus IN ['DUPLICATE', 'ANNULLED']

Condition:

For all applicable $REPORTED_RELATIONSHIPS: - rr:RegistrationStatus 'ANNULLED'

Provide appropriate periods for relationships

Precondition:

Has $REPORTED_RELATIONSHIPS with - rr:RegistrationStatus NOT IN ['ANNULLED', 'DUPLICATE']

Condition:

For all applicable $REPORTED_RELATIONSHIPS: - At least one rr:RelationshipPeriod with rr:PeriodType 'RELATIONSHIP_PERIOD' - If rr:ValidationDocuments 'REGULATORY_FILING': - At least one rr:RelationshipPeriod with rr:PeriodType 'DOCUMENT_FILING_PERIOD' - If rr:RelationshipType IN ['IS_DIRECTLY_CONSOLIDATED_BY', 'IS_ULTIMATELY_CONSOLIDATED_BY']: - At least one rr:RelationshipPeriod with rr:PeriodType 'ACCOUNTING_PERIOD'

Ensure correct transfer statuses for relationship records

Precondition:

- lei:RegistrationStatus IN ['PENDING_TRANSFER', 'PENDING_ARCHIVAL'] - Has $REPORTED_RELATIONSHIPS

Condition:

For all applicable $REPORTED_RELATIONSHIPS: - rr:RegistrationStatus == lei:RegistrationStatus

Ensure previous and trading names are unique

Precondition:

- lei:OtherEntityName $PRESENT - lei:OtherEntityNameType 'TRADING_OR_OPERATING_NAME'

Condition:

For all applicable lei:OtherEntityName: - lei:OtherEntityName != lei:LegalName - lei:OtherEntityName $UNIQUE

Avoid duplication of validation authority

Precondition:

- lei:OtherValidationAuthorities $PRESENT - lei:ValidationAuthority/lei:ValidationAuthorityID != 'RA000466'

Condition:

- lei:ValidationAuthority $PRESENT For all lei:OtherValidationAuthority: - lei:OtherValidationAuthority/lei:ValidationAuthorityID != lei:ValidationAuthority/lei:ValidationAuthorityID

Valid connection between relationship and registration statuses

Precondition:

Has $REPORTED_RELATIONSHIPS with - rr:RelationshipStatus 'ACTIVE'

Condition:

For all applicable $REPORTED_RELATIONSHIPS: - rr:RegistrationStatus IN $MUTABLE

Ensure RA code corresponds to legal jurisdiction

Precondition:

- lei:RegistrationStatus $MUTABLE - lei:RegistrationAuthority $PRESENT - lei:RegistrationAuthorityID IN $RA_CODE_LIST - lei:EntityCategory NOT 'INTERNATIONAL_ORGANIZATION'

Condition:

- lei:RegistrationAuthorityID IN ['RA777777', 'RA888888', 'RA999999', 'RA000463'] OR - IF lei:EntityCategory != 'BRANCH' - $RA_CODE_LIST/CountryCode == lei:LegalJurisdiction (country part) OR - IF lei:EntityCategory == 'BRANCH' - $RA_CODE_LIST/CountryCode == lei:LegalAddress/Country

Ensure the entity's register number has the expected local format

Precondition:

- lei:RegistrationStatus $MUTABLE - lei:RegistrationAuthority $PRESENT - lei:RegistrationAuthorityID IN $RA_FORMAT_LIST/registration_authority - lei:RegistrationAuthorityEntityID $PRESENT

Condition:

lei:RegistrationAuthorityEntityID $PATTERN_MATCH $RA_FORMAT_LIST/regex

Ensure local registration identifiers are not repeated

Precondition:

lei:OtherRegistrationAuthorityID $PRESENT

Condition:

lei:OtherRegistrationAuthorityID NOT $EQUALS_NORMALIZED lei:RegistrationAuthorityEntityID

Verify expected level of validation for unregistered entities

Precondition:

- lei:RegistrationAuthorityID 'RA999999' - lei:RegistrationStatus $MUTABLE

Condition:

- IF lei:ValidationAuthorityID 'RA777777' - lei:ValidationSources IN ['PARTIALLY_CORROBORATED', 'FULLY_CORROBORATED'] OR - lei:ValidationSources 'ENTITY_SUPPLIED_ONLY'

Verify expected level of validation for registered entities

Precondition:

lei:RegistrationAuthorityID NOT IN ['RA888888', 'RA999999', 'RA000413]

Condition:

lei:ValidationSources IN ['PARTIALLY_CORROBORATED', 'FULLY_CORROBORATED']

Ensure ELF code corresponds to legal jurisdiction

Precondition:

- lei:RegistrationStatus $MUTABLE - lei:LegalJurisdiction $PRESENT - lei:LegalFormCode IN $ELF_CODE_LIST

Condition:

- lei:EntityLegalFormCode IN ['8888', '9999'] OR - $ELF_CODE_LIST/CountryCode == lei:LegalJurisdiction OR - $ELF_CODE_LIST/SubDivisionCode == lei:LegalJurisdiction

Ensure OtherLegalForm is not in ELF codelist

Precondition:

- lei:RegistrationStatus $MUTABLE - lei:OtherLegalForm $PRESENT

Condition:

lei:OtherLegalForm NOT IN $ELF_CODE_LIST

Ensure appropriate entity categorization for entities declaring branch relationship

Precondition:

Has $MUTABLE $REPORTED_RELATIONSHIPS with - rr:RelationshipType 'IS_INTERNATIONAL_BRANCH_OF'

Condition:

lei:EntityCategory 'BRANCH'

Only one active relationship of type IS_INTERNATIONAL_BRANCH_OF for Branches

Precondition:

- lei:RegistrationStatus $MUTABLE - Has exactly one $MUTABLE $REPORTED_RELATIONSHIPS - Has no $REPORTED_EXCEPTIONS

Condition:

rr:RelationshipType 'IS_INTERNATIONAL_BRANCH_OF'

Ensure branches have expected relationship information

Precondition:

- lei:EntityCategory 'BRANCH' - lei:RegistrationStatus IN ['ISSUED', 'LAPSED']

Condition:

- has no $REPORTED_EXCEPTIONS - has no $REPORTED_RELATIONSHIPS with - rr:RegistrationStatus IN ['PUBLISHED', 'LAPSED'] - rr:RelationshipType IN ['IS_DIRECTLY_CONSOLIDATED_BY', 'IS_ULTIMATELY_CONSOLIDATED_BY', 'IS_SUBFUND_OF', 'IS_FUND-MANAGED_BY', 'IS_FEEDER_TO'] - has exactly one $REPORTED_RELATIONSHIPS with - rr:RegistrationStatus IN ['PUBLISHED', 'LAPSED'] - rr:RelationshipType 'IS_INTERNATIONAL_BRANCH_OF'

Ensure there is only one branch per country and it has correct country information

Precondition:

- lei:RegistrationStatus IN ['ISSUED', 'LAPSED'] - has exactly one $REPORTED_PARENT_RELATIONSHIPS where - rr:RelationshipType 'IS_INTERNATIONAL_BRANCH_OF' - rr:RegistrationStatus IN ['PUBLISHED', 'LAPSED']

Condition:

For all applicable $REPORTED_PARENT_RELATIONSHIPS: - rr:EndNode/rr:NodeID $VALID - lei:LegalAddress/lei:Country != lei:LegalJurisdiction of the LEI record with lei:LEI == rr:EndNode/rr:NodeID For all LEI records with lei:LEI == rr:StartNode/rr:NodeID where rr:EndNode/rr:NodeID == RUT rr:EndNode/rr:NodeID and rr:RelationshipType 'IS_INTERNATIONAL_BRANCH_OF': - RUT lei:LegalAddress/lei:Country $UNIQUE

No repetition of legal address postal code in other legal address fields

Precondition:

lei:LegalAddress/lei:PostalCode $PRESENT

Condition:

- lei:LegalAddress/lei:PostalCode NOT $SUBSTRING lei:LegalAddress/lei:FirstAddressLine - lei:LegalAddress/lei:PostalCode NOT $SUBSTRING lei:LegalAddress/lei:AdditionalAddressLine[1] - lei:LegalAddress/lei:PostalCode NOT $SUBSTRING lei:LegalAddress/lei:AdditionalAddressLine[2] - lei:LegalAddress/lei:PostalCode NOT $SUBSTRING lei:LegalAddress/lei:AdditionalAddressLine[3] - lei:LegalAddress/lei:PostalCode NOT $SUBSTRING lei:LegalAddress/lei:City - lei:LegalAddress/lei:PostalCode NOT $SUBSTRING lei:LegalAddress/lei:AddressNumber - lei:LegalAddress/lei:PostalCode NOT $SUBSTRING lei:LegalAddress/lei:AddressNumberWithinBuilding - lei:LegalAddress/lei:PostalCode NOT $SUBSTRING lei:LegalAddress/lei:MailRouting

No repetition of headquarters address postal code in other headquarters address fields

Precondition:

lei:HeadquartersAddress/lei:PostalCode $PRESENT

Condition:

- lei:HeadquartersAddress/lei:PostalCode NOT $SUBSTRING lei:HeadquartersAddress/lei:FirstAddressLine - lei:HeadquartersAddress/lei:PostalCode NOT $SUBSTRING lei:HeadquartersAddress/lei:AdditionalAddressLine[1] - lei:HeadquartersAddress/lei:PostalCode NOT $SUBSTRING lei:HeadquartersAddress/lei:AdditionalAddressLine[2] - lei:HeadquartersAddress/lei:PostalCode NOT $SUBSTRING lei:HeadquartersAddress/lei:AdditionalAddressLine[3] - lei:HeadquartersAddress/lei:PostalCode NOT $SUBSTRING lei:HeadquartersAddress/lei:City - lei:HeadquartersAddress/lei:PostalCode NOT $SUBSTRING lei:HeadquartersAddress/lei:AddressNumber - lei:HeadquartersAddress/lei:PostalCode NOT $SUBSTRING lei:HeadquartersAddress/lei:AddressNumberWithinBuilding - lei:HeadquartersAddress/lei:PostalCode NOT $SUBSTRING lei:HeadquartersAddress/lei:MailRouting

Declared ultimate parent meets the requirements for ultimate parents

Precondition:

- lei:RegistrationStatus 'ISSUED' - has exactly one $REPORTED_RELATIONSHIPS with - rr:RelationshipType 'IS_ULTIMATELY_CONSOLIDATED_BY' - rr:RegistrationStatus 'PUBLISHED' - LEI record with lei:LEI == rr:EndNode/rr:NodeID - has lei:RegistrationStatus NOT ['PENDING_TRANSFER','PENDING_ARCHIVAL'] - has $MUTABLE $REPORTED_RELATIONSHIPS OR - has $REPORTED_EXCEPTIONS

Condition:

LEI record with lei:LEI == rr:EndNode/rr:NodeID - has no $MUTABLE $REPORTED_RELATIONSHIPS - has exactly one $REPORTED_EXCEPTIONS with - repex:ExceptionReason IN ['NATURAL_PERSONS', 'NON_CONSOLIDATING', 'NO_KNOWN_PERSON'] - repex:ExceptionCategory 'ULTIMATE_ACCOUNTING_CONSOLIDATION_PARENT' - has exactly one $REPORTED_EXCEPTIONS with - repex:ExceptionReason IN ['NATURAL_PERSONS', 'NON_CONSOLIDATING', 'NO_KNOWN_PERSON'] - repex:ExceptionCategory 'DIRECT_ACCOUNTING_CONSOLIDATION_PARENT'

Ensure entity identifier is not provided for unregistered entities

Precondition:

lei:RegistrationAuthorityID 'RA999999'

Condition:

lei:RegistrationAuthorityEntityID NOT $PRESENT

Ensure information on other validation authority is not repeated as validation entity identifier

Precondition:

lei:OtherValidationAuthorityID $PRESENT

Condition:

lei:OtherValidationAuthorityID NOT $EQUALS_NORMALIZED lei:ValidationAuthorityEntityID

Ensure information on other validation authority is not repeated as validation authority

Precondition:

lei:OtherValidationAuthorityID $PRESENT

Condition:

lei:OtherValidationAuthorityID NOT $EQUALS_NORMALIZED lei:ValidationAuthorityID

Ensure successor information corresponds to the registration status or entity events

Precondition:

- lei:RegistrationStatus NOT 'ANNULLED' - lei:SuccessorEntity $PRESENT

Condition:

- IF only lei:SuccessorEntityName $PRESENT: - lei:RegistrationStatus 'RETIRED' OR - IF at least lei:SuccessorLEI $PRESENT: lei:RegistrationStatus IN ['RETIRED', 'DUPLICATE'] OR - Has at least one $LEGAL_ENTITY_EVENTS with - lei:LegalEntityEventType IN ['DEMERGER', 'SPINOFF'] - lei:LegalEntityEvent@event_status 'COMPLETED'

Ensure valid RA code is included

Precondition:

Condition:

- lei:RegistrationAuthorityID $PRESENT - lei:RegistrationAuthorityID IN $RA_CODE_LIST - lei:RegistrationAuthorityID NOT 'RA777777'

Ensure valid ELF code is included

Precondition:

Condition:

- lei:EntityLegalFormCode $PRESENT - lei:EntityLegalFormCode IN $ELF_CODE_LIST - IF lei:RegistrationStatus $MUTABLE - lei:EntityLegalFormCode HAS $ELF_CODE_LIST/ELF_STATUS 'ACTV'

Ensure no duplicate relationship records are introduced

Precondition:

Has $REPORTED_RELATIONSHIPS with - rr:RegistrationStatus NOT IN ['PENDING_TRANSFER', 'PENDING_ARCHIVAL'] - rr:RelationshipType IN ['IS_DIRECTLY_CONSOLIDATED_BY', 'IS_ULTIMATELY_CONSOLIDATED_BY','IS_SUBFUND_OF','IS_FUND-MANAGED_BY','IS_FEEDER_TO'] - $REPORTED_RELATIONSHIPS with rr:PeriodType 'RELATIONSHIP_PERIOD' AND rr:RelationshipPeriod/rr:StartDate $PRESENT For all $REPORTED_RELATIONSHIPS and $EXISTING_RELATIONSHIPS - rr:RelationshipPeriods/rr:StartDate $PRESENT

Condition:

For all applicable $REPORTED_RELATIONSHIPS - Has no $EXISTING_RELATIONSHIPS where - $REPORTED_RELATIONSHIPS rr:Header:Originator != $EXISTING_RELATIONSHIPS rr:Header:Originator For all applicable $REPORTED_RELATIONSHIPS with - $EXISTING_RELATIONSHIPS rr:RegistrationStatus IN ['RETIRED', 'ANNULLED', 'DUPLICATE'] - Has exactly one $EXISTING_RELATIONSHIPS where - $REPORTED_RELATIONSHIPS rr:RelationshipType == $EXISTING_RELATIONSHIPS rr:RelationshipType - $REPORTED_RELATIONSHIPS rr:Header:Originator == $EXISTING_RELATIONSHIPS rr:Header:Originator - $REPORTED_RELATIONSHIPS rr:EndNode/rr:NodeID == $EXISTING_RELATIONSHIPS rr:EndNode/rr:NodeID - $REPORTED_RELATIONSHIPS with rr:PeriodType 'RELATIONSHIP_PERIOD' AND rr:RelationshipPeriod/rr:StartDate (date part) == $EXISTING_RELATIONSHIPS with rr:PeriodType 'RELATIONSHIP_PERIOD' AND rr:RelationshipPeriod/rr:StartDate (date part) - $EXISTING_RELATIONSHIPS rr:RegistrationStatus IN ['PUBLISHED', 'LAPSED'] - Has exactly one $EXISTING_RELATIONSHIPS where - $REPORTED_RELATIONSHIPS rr:RelationshipType == $EXISTING_RELATIONSHIPS rr:RelationshipType - $REPORTED_RELATIONSHIPS rr:Header:Originator == $EXISTING_RELATIONSHIPS rr:Header:Originator - $REPORTED_RELATIONSHIPS rr:EndNode/rr:NodeID == $EXISTING_RELATIONSHIPS rr:EndNode/rr:NodeID

Ensure source for corroboration is provided

Precondition:

- lei:RegistrationStatus != 'ANNULLED' - lei:ValidationSources $PRESENT - lei:ValidationSources IN ['PARTIALLY_CORROBORATED', 'FULLY_CORROBORATED']

Condition:

- lei:ValidationAuthority $PRESENT - lei:ValidationAuthorityID NOT IN ['RA999999', 'RA888888']

Ensure no validation source is given for uncorroborated records

Precondition:

- lei:RegistrationStatus $MUTABLE - lei:ValidationSources $PRESENT - lei:ValidationSources 'ENTITY_SUPPLIED_ONLY'" - lei:ValidationAuthority $PRESENT - lei:ValidationAuthorityID NOT IN ['RA999999', 'RA000413']

Condition:

lei:ValidationAuthorityID 'RA888888'

Ensure consistent validation information based on registration

Precondition:

- lei:RegistrationAuthority $PRESENT - lei:RegistrationAuthorityID NOT ['RA777777', 'RA888888', 'RA999999'] - lei:ValidationAuthority $PRESENT

Condition:

lei:ValidationAuthorityID NOT ['RA777777', 'RA888888', 'RA999999']

Ensure consistent register information based on validation

Precondition:

- lei:ValidationAuthority $PRESENT - lei:ValidationAuthorityID NOT ['RA777777', 'RA888888', 'RA999999'] - lei:RegistrationAuthority $PRESENT

Condition:

lei:RegistrationAuthorityID NOT ['RA777777', 'RA888888', 'RA999999']

Ensure valid register code is used for validation

Precondition:

Condition:

- lei:ValidationAuthority $PRESENT - lei:ValidationAuthorityID IN $RA_CODE_LIST

Ensure deprecated registration status is not used

Precondition:

lei:RegistrationStatus NOT IN ['TRANSFERRED', 'PENDING_VALIDATION', 'CANCELLED']

Condition:

lei:RegistrationStatus NOT 'MERGED'

Ensure reasonable combination for parent exceptions

Precondition:

- $COUNT (repex:Exception with repex:ExceptionReason IN ['NON_CONSOLIDATING', 'NATURAL_PERSONS', 'NO_KNOWN_PERSON']) >= 1 - $COUNT (repex:Exception)

Condition:

- Has no $REPORTED_RELATIONSHIPS with rr:RegistrationStatus IN ['PUBLISHED', 'LAPSED'] For all $REPORTED_EXCEPTIONS with repex:ExceptionCategory in ['ULTIMATE_ACCOUNTING_CONSOLIDATION_PARENT', 'DIRECT_ACCOUNTING_CONSOLIDATION_PARENT'] - repex:ExceptionReason IN ['NON_CONSOLIDATING', 'NATURAL_PERSONS', 'NO_KNOWN_PERSON']

Ensure local identifier are provided and plausible

Precondition:

- lei:RegistrationStatus 'ISSUED' - lei:EntityCategory NOT 'FUND' - lei:RegistrationAuthorityID $PRESENT - lei:RegistrationAuthorityID NOT IN ['RA888888', 'RA999999', 'RA000018', 'RA000397', 'RA000634', 'RA000704', 'RA000711', 'RA000712', 'RA000722', 'RA000723', 'RA000725', 'RA000727', 'RA000733', 'RA000736', 'RA000737', 'RA000738', 'RA000739', 'RA000740', 'RA000741', 'RA000742', 'RA000743', 'RA000768', 'RA000769', 'RA000770', 'RA000771', 'RA000772', 'RA000773', 'RA000774', 'RA000775', 'RA000831']

Condition:

- lei:RegistrationAuthorityEntityID $PRESENT - lei:RegistrationAuthorityEntityID NOT IN ['NOT AVAILABLE', 'N.A.', 'N.A', 'N/A', 'N A', 'N.V', 'N.V.', 'N V', 'EXENTO', 'EXENTA', 'NO SUJETO', '0']; case-insensitive - lei:RegistrationAuthorityEntityID NOT consisting only of $PUNCTUATION_CHARACTER

Ensure appropriate combination of corroboration level and legal form is used

Precondition:

- lei:EntityCategory != 'BRANCH' - lei:RegistrationStatus $ISSUED - lei:EntityLegalFormCode IN $ELF_CORROBORATION_LIST

Condition:

- For $ELF_CORROBORATION_LIST/Corroboration = 'PARTIALLY_CORROBORATED': - lei:ValidationSources IN ['PARTIALLY_CORROBORATED', 'FULLY_CORROBORATED'] - For $ELF_CORROBORATION_LIST/Corroboration = 'FULLY_CORROBORATED': - lei:ValidationSources = 'FULLY_CORROBORATED'

Entity category sole proprietor is assigned for the appropriate legal forms

Precondition:

- lei:RegistrationStatus $MUTABLE - lei:EntityLegalFormCode IN $SOLE_PROPRIETOR_ELF_CODE_LIST/is_sole_proprietorship 'yes'

Condition:

lei:EntityCategory 'SOLE_PROPRIETOR'

Ensure that Entity Legal Form Code is applicable for sole proprietors

Precondition:

- lei:RegistrationStatus $MUTABLE - lei:EntityCategory = 'SOLE_PROPRIETOR' - lei:EntityLegalFormCode $PRESENT

Condition:

lei:EntityLegalFormCode NOT IN $SOLE_PROPRIETOR_ELF_CODE_LIST/is_sole_proprietorship 'no'

Ensure entity creation date is present

Precondition:

- lei:EntityStatus NOT 'NULL' - lei:RegistrationStatus NOT 'ANNULLED' - lei:InitialRegistrationDate >= 2022-04-01T00:00:00+00:00 OR lei:NextRenewalDate >= 2023-06-01T00:00:00+00:00

Condition:

lei:EntityCreationDate $PRESENT

For completed legal entity events, the effective date is present

Precondition:

- lei:LegalEntityEvents $PRESENT - Has $LEGAL_ENTITY_EVENTS with lei:LegalEntityEvent@event_status 'COMPLETED'

Condition:

For all applicable $LEGAL_ENTITY_EVENTS: - lei:LegalEntityEventEffectiveDate $PRESENT

Corresponding Legal Entity Events lead to correct Registration Status

Precondition:

- lei:RegistrationStatus NOT IN ['ANNULLED', 'DUPLICATE', 'PENDING_TRANSFER', 'PENDING_ARCHIVAL'] - Has $LEGAL_ENTITY_EVENTS with - lei:LegalEntityEventType IN ['DISSOLUTION', 'LIQUIDATION'] - lei:LegalEntityEvent@event_status 'COMPLETED'

Condition:

lei:RegistrationStatus 'RETIRED'

Ensure deprecated fields for associated entity are not present

Precondition:

Condition:

lei:AssociatedEntity NOT $PRESENT

Records with legal form of a fund must be categorized as funds

Precondition:

- lei:EntityLegalFormCode IN $ELF_FUND_LIST - lei:RegistrationStatus $MUTABLE

Condition:

lei:EntityCategory 'FUND'

The validation authority of a fund must be applicable for funds

Precondition:

- lei:ValidationAuthorityID $PRESENT - lei:ValidationAuthorityID NOT IN ['RA888888', 'RA999999'] - lei:RegistrationStatus $MUTABLE - lei:EntityCategory 'FUND' - lei:LegalJurisdiction (country part) IN $RA_FUND_LIST/Country_Code with $RA_FUND_LIST/is_ValidationAuthority = 'yes'

Condition:

Has lei:ValidationAuthorityID with - $RA_FUND_LIST/is_ValidationAuthority = 'yes'

Ensure relationships with status NULL have an appropriate registration status

Precondition:

- Has $REPORTED_RELATIONSHIPS with - rr:RelationshipStatus 'NULL' - rr:RegistrationStatus NOT IN ['PENDING_TRANSFER', 'PENDING_ARCHIVAL']

Condition:

- lei:EntityCategory FUND - rr:RegistrationStatus IN ['DUPLICATE', 'ANNULLED', 'PUBLISHED'] - lei:EntityCategory != FUND - rr:RegistrationStatus IN ['DUPLICATE', 'ANNULLED']

Entity's expiration date and expiration reason are not populated

Precondition:

Condition:

- lei:EntityExpirationDate NOT $PRESENT - lei:EntityExpirationReason NOT $PRESENT

Ensure retired record has corresponding legal entity event

Precondition:

lei:RegistrationStatus = 'RETIRED'

Condition:

- Has lei:legalEntityEventType IN ['LIQUIDATION', 'INSOLVENCY', 'DISSOLUTION', 'MERGERS_AND_ACQUISITIONS', 'BANKRUPTCY', 'ABSORPTION', 'ACQUISITION_BRANCH', 'BREAKUP', 'TRANSFORMATION_BRANCH_TO_SUBSIDIARY', 'CHANGE_LEGAL_FORM'] with - @event_status = 'COMPLETED'

Ensure relationships that are duplicate or annulled have status null

Precondition:

rr:RegistrationStatus IN ['DUPLICATE', 'ANNULLED']

Condition:

rr:RelationshipStatus 'NULL'

Ensure that parent fund relationships are only used for fund entities

Precondition:

Has $REPORTED_RELATIONSHIPS with - rr:RelationshipType IN ['IS_SUBFUND_OF' ,'IS_FUND-MANAGED_BY' or 'IS_FEEDER_TO'] - rr:RegistrationStatus IN ['PUBLISHED', 'LAPSED']

Condition:

lei:EntityCategory 'FUND'

Ensure the category of the legal entity is always provided

Precondition:

Condition:

lei:EntityCategory $PRESENT

Ensure that language information is provided

Precondition:

lei:RegistrationStatus $MUTABLE

Condition:

For each field $PRESENT IN [lei:LegalName, lei:LegalAddress, lei:HeadquartersAddress, lei:OtherEntityName, lei:TransliteratedOtherEntityName, lei:OtherAddress, lei:TransliteraterOtherAddress, lei:SuccessorEntityName]: - @lang $PRESENT - @lang $MATCHES '/^([a-z]{2})(-[A-Z]{1,8}|-[0-9]{1,3})?$/' IF all administrative languages in lei:LegalAddress/lei:Country have $LANGUAGE_ISO_3166_1_ALPHA_2 $PRESENT OR - @lang $MATCHES '/^([a-z]){1,3}(-[A-Z]{1,8}|-[0-9]{1,3})?$/' IF at least one administrative language in lei:LegalAddress/lei:Country have $LANGUAGE_ISO_3166_1_ALPHA_2 NOT $PRESENT - For lei:HeadquartersAddress, lei:HeadquartersAddress/lei:Country is used instead of lei:LegalAddress/lei:Country

Ensure that LegalName is provided in local alphabet

Precondition:

- lei:LegalName@lang $PRESENT - lei:LegalName@lang IN $LANGUAGE_CHARACTERS_LIST - lei:LegalName $ALPHABETICAL

Condition:

lei:LegalName $PATTERN_MATCH $LANGUAGE_CHARACTERS_LIST/language

No successor LEI code references the LEI code in the current LEI Record

Precondition:

lei:SuccessorLEI $PRESENT

Condition:

For all lei:SuccessorLEI: - lei:SuccessorLEI != lei:LEI

Additional information for not yet listed validation authority is provided

Precondition:

- lei:RegistrationStatus $MUTABLE - lei:ValidationAuthorityID IN ['RA777777', 'RA888888']

Condition:

- lei:OtherValidationAuthorityID $PRESENT - lei:OtherValidationAuthorityID NOT IN ['TRUST', 'OBCHODNý REGISTER', 'REGISTRAR OF COMPANIES', 'HANDELSREGISTER', 'COMPANIES REGISTER', 'TRADE AND COMPANY REGISTER', 'FUND REGISTER', 'TRADE REGISTER', 'TRUST REGISTER', 'BUSINESS REGISTER', 'DOCUMENT', 'DOCUMENTS', 'REGISTER', '0THER', 'OTHER', 'OTHERS', 'REGISTO COMERCIAL', 'COMMERCIAL_REGISTER', 'NOT AVAILABLE', 'N.A.', 'N.A', 'N/A', 'N A', 'N.V', 'N.V.', 'N V', 'EXENTO', 'EXENTA', 'NO SUJETO', '0']; case-insensitive - lei:OtherValidationAuthorityID NOT consisting only of $PUNCTUATION_CHARACTER

Additional information for not yet listed registration authority is provided

Precondition:

- lei:RegistrationStatus $MUTABLE - lei:RegistrationAuthorityID = 'RA888888'

Condition:

- lei:OtherRegistrationAuthorityID $PRESENT - lei:OtherRegistrationAuthorityID NOT IN ['TRUST', 'OBCHODNý REGISTER', 'REGISTRAR OF COMPANIES', 'HANDELSREGISTER', 'COMPANIES REGISTER', 'TRADE AND COMPANY REGISTER', 'FUND REGISTER', 'TRADE REGISTER', 'TRUST REGISTER', 'BUSINESS REGISTER', 'DOCUMENT', 'DOCUMENTS', 'REGISTER', '0THER', 'OTHER', 'OTHERS', 'REGISTO COMERCIAL', 'COMMERCIAL_REGISTER', 'NOT AVAILABLE', 'N.A.', 'N.A', 'N/A', 'N A', 'N.V', 'N.V.', 'N V', 'EXENTO', 'EXENTA', 'NO SUJETO', '0']; case-insensitive - lei:OtherRegistrationAuthorityID NOT consisting only of $PUNCTUATION_CHARACTER

Additional information for validation authority is provided only when suited

Precondition:

- lei:RegistrationStatus $MUTABLE - lei:ValidationAuthorityID $PRESENT - lei:OtherValidationAuthorityID $PRESENT

Condition:

lei:ValidationAuthorityID IN ['RA777777', 'RA888888']

Additional information for registration authority is provided only when suited

Precondition:

- lei:RegistrationStatus $MUTABLE - lei:RegistrationAuthorityID $PRESENT - lei:OtherRegistrationAuthorityID $PRESENT

Condition:

lei:RegistrationAuthorityID = 'RA888888'

Additional information for not yet listed entity legal form code is provided

Precondition:

- lei:RegistrationStatus $MUTABLE - lei:EntityLegalFormCode IN ['8888', '9999']

Condition:

- lei:OtherLegalForm $PRESENT - lei:OtherLegalForm NOT IN ['0THER', 'OTHERS', 'DIğER', 'OTHER', 'NOT AVAILABLE', 'N.A.', 'N.A', 'N/A', 'N A', 'EXENTO', 'EXENTA', 'NO SUJETO', '0']; case-insensitive

Ensure reserved ELF code is used when Other Legal Form is provided

Precondition:

- lei:RegistrationStatus $MUTABLE - lei:EntityLegalFormCode $PRESENT - lei:OtherLegalForm $PRESENT

Condition:

lei:EntityLegalFormCode IN ['8888', '9999']

Verify expected level of validation for entities with not yet verified and accepted registration authority

Precondition:

- lei:RegistrationStatus $MUTABLE - lei:RegistrationAuthorityID 'RA888888'

Condition:

- IF lei:ValidationAuthorityID 'RA777777' - lei:ValidationSources IN ['PARTIALLY_CORROBORATED', 'FULLY_CORROBORATED'] - IF lei:ValidationAuthorityID NOT 'RA777777' - lei:ValidationSources 'ENTITY_SUPPLIED_ONLY'

Ensure the entity's validation number has the expected local format

Precondition:

- lei:RegistrationStatus $MUTABLE - lei:ValidationAuthorityID $PRESENT - lei:ValidationAuthorityID IN $RA_FORMAT_LIST/registration_authority - lei:ValidationAuthorityEntityID $PRESENT

Condition:

lei:ValidationAuthorityEntityID $PATTERN_MATCH $RA_FORMAT_LIST/regex

Ensure the entity's validation number in additional validation authorities has the expected local format

Precondition:

- lei:RegistrationStatus $MUTABLE - lei:OtherValidationAuthorities $PRESENT - lei:OtherValidationAuthority/lei:ValidationAuthorityID IN $RA_FORMAT_LIST/registration_authority - lei:OtherValidationAuthority/lei:ValidationAuthorityEntityID $PRESENT

Condition:

For all lei:OtherValidationAuthority: - lei:OtherValidationAuthority/lei:ValidationAuthorityEntityID $PATTERN_MATCH $RA_FORMAT_LIST/regex

Ensure local identifier are provided and plausible for validation

Precondition:

- lei:RegistrationStatus 'ISSUED' - lei:EntityCategory NOT 'FUND' - lei:ValidationAuthorityID $PRESENT - lei:ValidationAuthorityID NOT IN ['RA777777', 'RA888888', 'RA999999', 'RA000018', 'RA000397', 'RA000634', 'RA000704', 'RA000711', 'RA000712', 'RA000722', 'RA000723', 'RA000725', 'RA000727', 'RA000733', 'RA000736', 'RA000737', 'RA000738', 'RA000739', 'RA000740', 'RA000741', 'RA000742', 'RA000743', 'RA000768', 'RA000769', 'RA000770', 'RA000771', 'RA000772', 'RA000773', 'RA000774', 'RA000775']

Condition:

- lei:ValidationAuthorityEntityID $PRESENT - lei:ValidationAuthorityEntityID NOT IN ['NOT AVAILABLE', 'N.A.', 'N.A', 'N/A', 'N A', 'N.V', 'N.V.', 'N V', 'EXENTO', 'EXENTA', 'NO SUJETO', '0']; case-insensitive - lei:ValidationAuthorityEntityID NOT consisting only of $PUNCTUATION_CHARACTER

Authoritative Source Check for OtherValidationAuthorities

Precondition:

- lei:RegistrationStatus 'ISSUED' - lei:EntityCategory NOT 'FUND' - lei:OtherValidationAuthority/lei:ValidationAuthorityID $PRESENT - lei:OtherValidationAuthority/lei:ValidationAuthorityID NOT IN ['RA777777', 'RA888888', 'RA999999', 'RA000018', 'RA000397', 'RA000634', 'RA000704', 'RA000711', 'RA000712', 'RA000722', 'RA000723', 'RA000725', 'RA000727', 'RA000733', 'RA000736', 'RA000737', 'RA000738', 'RA000739', 'RA000740', 'RA000741', 'RA000742', 'RA000743', 'RA000768', 'RA000769', 'RA000770', 'RA000771', 'RA000772', 'RA000773', 'RA000774', 'RA000775', 'RA000831']

Condition:

For all applicable lei:OtherValidationAuthority: - lei:OtherValidationAuthority/lei:ValidationAuthorityEntityID $PRESENT - lei:OtherValidationAuthority/lei:ValidationAuthorityEntityID NOT IN ['NOT AVAILABLE', 'N.A.', 'N.A', 'N/A', 'N A', 'N.V', 'N.V.', 'N V', 'EXENTO', 'EXENTA', 'NO SUJETO', '0']; case-insensitive - lei:OtherValidationAuthority/lei:ValidationAuthorityEntityID NOT consisting only of $PUNCTUATION_CHARACTER

Ensure no local identifier is provided when authoritative source does not provide any identifier

Precondition:

- lei:RegistrationStatus 'ISSUED' - lei:RegistrationAuthorityID $PRESENT - lei:RegistrationAuthorityID IN ['RA999999', 'RA000397', 'RA000634', 'RA000704', 'RA000712', 'RA000722', 'RA000723', 'RA000725', 'RA000727', 'RA000733', 'RA000736', 'RA000737', 'RA000738', 'RA000739', 'RA000740', 'RA000741', 'RA000742', 'RA000743', 'RA000768', 'RA000769', 'RA000770', 'RA000771', 'RA000772', 'RA000773', 'RA000774', 'RA000775']

Condition:

lei:RegistrationAuthorityEntityID NOT $PRESENT

Ensure appropriate code in headuqarters address region

Precondition:

- lei:HeadquartersAddress/lei:Region $PRESENT - lei:RegistrationStatus $MUTABLE

Condition:

lei:HeadquartersAddress/lei:Region IN $ISO_3166_2

Ensure appropriate code in headuqarters address country

Precondition:

lei:RegistrationStatus $MUTABLE

Condition:

lei:HeadquartersAddress/lei:Country IN ['XK', $ISO_3166_1_ALPHA_2]

Ensure there is only one single instance of type relationship period per relationship

Precondition:

Has $REPORTED_RELATIONSHIPS where - rr:PeriodType 'RELATIONSHIP_PERIOD'

Condition:

For all applicable $REPORTED_RELATIONSHIPS: - $COUNT(rr:PeriodType 'RELATIONSHIP_PERIOD') == 1

Ensure plausible entity creation date

Precondition:

- lei:EntityCategory NOT 'FUND' - lei:EntityCreationDate $PRESENT

Condition:

leiFileHeader:ContentDate + 30 days >= lei:EntityCreationDate

Plausible entity creation date for funds in formation

Precondition:

- lei:EntityCreationDate NOT $PRESENT - lei:NextRenewalDate >= 2023-06-01T00:00:00+00:00 OR lei:InitialRegistrationDate >= 2022-04-01T00:00:00+00:00

Condition:

- lei:EntityStatus 'NULL' - lei:EntityCategory 'FUND'

Ensure plausible usage of entity subcategories values for government entities

Precondition:

- lei:EntitySubCategory $PRESENT - lei:EntitySubCategory IN ['CENTRAL_GOVERNMENT', 'STATE_GOVERNMENT', 'LOCAL_GOVERNMENT', 'SOCIAL_SECURITY']

Condition:

lei:EntityCategory 'RESIDENT_GOVERNMENT_ENTITY'

Appropriate usage of government accounting standard

Precondition:

- Has $REPORTED_PARENT_RELATIONSHIPS with: - rr:QualifierCategory 'GOVERNMENT_ACCOUNTING_STANDARD' - rr:RegistrationStatus IN ['PUBLISHED', 'LAPSED', 'RETIRED']

Condition:

lei:EntityCategory IN ['RESIDENT_GOVERNMENT_ENTITY', 'INTERNATIONAL_ORGANIZATION']

The parent entity of a government entity is also a government entity

Precondition:

- lei:EntityCategory 'RESIDENT_GOVERNMENT_ENTITY' - Has $REPORTED_RELATIONSHIPS with: - rr:RegistrationStatus ['PUBLISHED', 'LAPSED'] - lei:LEI == rr:EndNode/rr:NodeID $VALID

Condition:

- For all applicable $REPORTED_RELATIONSHIPS: - LEI record with lei:LEI == rr:EndNode/rr:NodeID has lei:EntityCategory 'RESIDENT_GOVERNMENT_ENTITY'

Ensure start and end node in a relationship fit the entity category for international organizations

Precondition:

- lei:EntityCategory 'INTERNATIONAL_ORGANIZATION' - Has $REPORTED_RELATIONSHIPS with - rr:RegistrationStatus IN ['PUBLISHED', 'LAPSED'] - rr:EndNode/rr:NodeID $VALID

Condition:

For all applicable $REPORTED_RELATIONSHIPS - LEI Record with lei:LEI == rr:EndNode/rr:NodeID has lei:EntityCategory 'INTERNATIONAL_ORGANIZATION'

Government entities use appropriate relationship exception resons

Precondition:

- lei:EntityCategory 'RESIDENT_GOVERNMENT_ENTITY' - Has $REPORTED_EXCEPTIONS

Condition:

For all applicable $REPORTED_EXCEPTIONS: - repex:ExceptionReason IN ['NO_KNOWN_PERSON', 'NO_LEI']

No accounting periods are present for funds

Precondition:

- lei:EntityCategory 'FUND' - Has $REPORTED_FUND_RELATIONSHIPS

Condition:

For all applicable $REPORTED_FUND_RELATIONSHIPS: - rr:RelationshipPeriod with rr:PeriodType 'ACCOUNTING_PERIOD' NOT $PRESENT

Ensure plausible start date for relationship periods

Precondition:

- lei:EntityCreationDate $PRESENT - Has $REPORTED_RELATIONSHIPS with: - rr:RegistrationStatus NOT 'ANNULLED' - rr:PeriodType 'RELATIONSHIP_PERIOD' - rr:StartDate $PRESENT

Condition:

For all applicable $REPORTED_RELATIONSHIPS: - rr:StartDate >= lei:EntityCreationDate

Ensure appropriate usage of reserved codes for public legal documents

Precondition:

- lei:RegistrationAuthorityID $PRESENT - lei:ValidationAuthorityID 'RA777777' OR - lei:RegistrationAuthorityID $PRESENT - lei:OtherValidationAuthority $PRESENT - lei:OtherValidationAuthority/lei:ValidationAuthorityID 'RA777777'

Condition:

- lei:EntityCategory IN ['RESIDENT_GOVERNMENT_ENTITY', 'INTERNATIONAL_ORGANIZATION'] - lei:RegistrationAuthorityID IN ['RA888888', 'RA999999']

Appropriate usage of special codes for legal jurisdiction

Precondition:

lei:LegalJurisdiction IN ['EU','UN','XX']

Condition:

lei:EntityCategory 'INTERNATIONAL_ORGANIZATION'

Ensure all successors of all completed legal entity events are listed

Precondition:

Has $LEGAL_ENTITY_EVENTS with - lei:LegalEntityEvent@event_status 'COMPLETED' - lei:AffectedField with field_xpath /lei:LEIData/lei:LEIRecords/lei:LEIRecord/lei:Entity/lei:SuccessorEntity $PRESENT

Condition:

For all applicable lei:AffectedField: - lei:AffectedField with field_xpath /lei:LEIData/lei:LEIRecords/lei:LEIRecord/lei:Entity/lei:SuccessorEntity/lei:SuccessorEntityName IN lei:SuccessorEntity - lei:AffectedField with field_xpath /lei:LEIData/lei:LEIRecords/lei:LEIRecord/lei:Entity/lei:SuccessorEntity/lei:SuccessorLEI IN lei:SuccessorEntity

Ensure all successor LEIs of non-duplicate records are mentioned in a legal entity event

Precondition:

- lei:RegistrationStatus NOT IN ['DUPLICATE', 'ANNULLED', 'PENDING_TRANSFER', 'PENDING_ARCHIVAL'] - lei:SuccessorEntity $PRESENT

Condition:

Has $LEGAL_ENTITY_EVENTS with - lei:LegalEntityEvent@event_status 'COMPLETED' - lei:AffectedField with lei:SuccessorEntityName IN field_xpath /lei:LEIData/lei:LEIRecords/lei:LEIRecord/lei:Entity/lei:SuccessorEntityName OR - lei:LegalEntityEvent@event_status 'COMPLETED' - lei:AffectedField with lei:SuccessorLEI IN field_xpath /lei:LEIData/lei:LEIRecords/lei:LEIRecord/lei:Entity/lei:SuccessorEntity/lei:SuccessorLEI

Ensure deprecated exception reasons are not used

Precondition:

Has $REPORTED_EXCEPTIONS

Condition:

repex:ExceptionReason NOT IN ['LEGAL_OBSTACLES', 'CONSENT_NOT_OBTAINED', 'BINDING_LEGAL_COMMITMENTS', 'DETRIMENT_NOT_EXCLUDED', 'DISCLOSURE_DETRIMENTAL']

Ensure xpath in affected fields is valid

Precondition:

lei:LegalEntityEvent/lei:AffectedField $PRESENT

Condition:

For all lei:LegalEntityEvent/lei:AffectedField: - field_xpath IN [ '/lei:LEIData/lei:LEIRecords/lei:LEIRecord/lei:Entity/lei:LegalName', '/lei:LEIData/lei:LEIRecords/lei:LEIRecord/lei:Entity/lei:OtherEntityNames/lei:OtherEntityName', '/lei:LEIData/lei:LEIRecords/lei:LEIRecord/lei:Entity/lei:OtherEntityNames/lei:OtherEntityName@type', '/lei:LEIData/lei:LEIRecords/lei:LEIRecord/lei:Entity/lei:TransliteratedOtherEntityNames/lei:TransliteratedOtherEntityName', '/lei:LEIData/lei:LEIRecords/lei:LEIRecord/lei:Entity/lei:TransliteratedOtherEntityNames/lei:TransliteratedOtherEntityName@type', '/lei:LEIData/lei:LEIRecords/lei:LEIRecord/lei:Entity/lei:LegalAddress/lei:FirstAddressLine', '/lei:LEIData/lei:LEIRecords/lei:LEIRecord/lei:Entity/lei:LegalAddress/lei:AdditionalAddressLine[1]', '/lei:LEIData/lei:LEIRecords/lei:LEIRecord/lei:Entity/lei:LegalAddress/lei:AdditionalAddressLine[2]', '/lei:LEIData/lei:LEIRecords/lei:LEIRecord/lei:Entity/lei:LegalAddress/lei:AdditionalAddressLine[3]', '/lei:LEIData/lei:LEIRecords/lei:LEIRecord/lei:Entity/lei:LegalAddress/lei:AddressNumber', '/lei:LEIData/lei:LEIRecords/lei:LEIRecord/lei:Entity/lei:LegalAddress/lei:AddressNumberWithinBuilding', '/lei:LEIData/lei:LEIRecords/lei:LEIRecord/lei:Entity/lei:LegalAddress/lei:MailRouting', '/lei:LEIData/lei:LEIRecords/lei:LEIRecord/lei:Entity/lei:LegalAddress/lei:City', '/lei:LEIData/lei:LEIRecords/lei:LEIRecord/lei:Entity/lei:LegalAddress/lei:PostalCode', '/lei:LEIData/lei:LEIRecords/lei:LEIRecord/lei:Entity/lei:LegalAddress/lei:Country', '/lei:LEIData/lei:LEIRecords/lei:LEIRecord/lei:Entity/lei:LegalAddress/lei:Region', '/lei:LEIData/lei:LEIRecords/lei:LEIRecord/lei:Entity/lei:LegalAddress@lang', '/lei:LEIData/lei:LEIRecords/lei:LEIRecord/lei:Entity/lei:HeadquartersAddress/*', '/lei:LEIData/lei:LEIRecords/lei:LEIRecord/lei:Entity/lei:OtherAddresses/*', '/lei:LEIData/lei:LEIRecords/lei:LEIRecord/lei:Entity/lei:OtherAddresses@lang', '/lei:LEIData/lei:LEIRecords/lei:LEIRecord/lei:Entity/lei:OtherAddresses@type', '/lei:LEIData/lei:LEIRecords/lei:LEIRecord/lei:Entity/lei:TransliteratedOtherAddresses/*', '/lei:LEIData/lei:LEIRecords/lei:LEIRecord/lei:Entity/lei:TransliteratedOtherAddresses@lang', '/lei:LEIData/lei:LEIRecords/lei:LEIRecord/lei:Entity/lei:TransliteratedOtherAddresses@type', '/lei:LEIData/lei:LEIRecords/lei:LEIRecord/lei:Entity/lei:LegalJurisdiction', '/lei:LEIData/lei:LEIRecords/lei:LEIRecord/lei:Entity/lei:EntityCategory', '/lei:LEIData/lei:LEIRecords/lei:LEIRecord/lei:Entity/lei:LegalForm/lei:EntityLegalFormCode', '/lei:LEIData/lei:LEIRecords/lei:LEIRecord/lei:Entity/lei:LegalForm/lei:OtherLegalForm', '/lei:LEIData/lei:LEIRecords/lei:LEIRecord/lei:Entity/lei:SuccessorEntity/lei:SuccessorLEI', '/lei:LEIData/lei:LEIRecords/lei:LEIRecord/lei:Entity/lei:SuccessorEntity/lei:SuccessorEntityName', '/rr:RelationshipData/rr:RelationshipRecords/rr:RelationshipRecord/rr:Relationship/rr:EndNode/rr:NodeID', '/rr:RelationshipData/rr:RelationshipRecords/rr:RelationshipRecord/rr:Relationship/rr:EndNode/rr:NodeType', '/rr:RelationshipData/rr:RelationshipRecords/rr:RelationshipRecord/rr:Relationship/rr:RelationshipType', '/repex:ReportingExceptionData/repex:ReportingExceptions/repex:Exception/repex:ExceptionCategory', '/repex:ReportingExceptionData/repex:ReportingExceptions/repex:Exception/repex:ExceptionReason' ]

Ensure no local identifier is provided for validation when authoritative source does not provide any identifier

Precondition:

- lei:RegistrationStatus 'ISSUED' - lei:ValidationAuthorityID $PRESENT - lei:ValidationAuthorityID IN ['RA999999', 'RA000397', 'RA000634', 'RA000704', 'RA000712', 'RA000722', 'RA000723', 'RA000725', 'RA000727', 'RA000733', 'RA000736', 'RA000737', 'RA000738', 'RA000739', 'RA000740', 'RA000741', 'RA000742', 'RA000743', 'RA000768', 'RA000769', 'RA000770', 'RA000771', 'RA000772', 'RA000773', 'RA000774', 'RA000775']

Condition:

lei:ValidationAuthorityEntityID NOT $PRESENT