Detalles de las comprobaciones de la calidad de los datos
Actualmente, las siguientes comprobaciones están constituyendo la configuración de las normas que se aplican para generar los informes de calidad de datos.
Esta configuración de las normas también está disponible como PDF o Excel.
Legal name is plausible
Precondition:
lei:RegistrationStatus NOT 'ANNULLED'
Condition:
- lei:LegalName $PRESENT - lei:LegalName NOT IN ['NOT AVAILABLE', 'N.A.', 'N/A']; case-insensitive - lei:LegalName NOT consisting only of $PUNCTUATION_CHARACTER
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