レベル1データ:LEI-CDFフォーマット3.1
取引主体の公式名称や登録住所など 取引主体識別子 (LEI) の参照データとともに入手可能になっている名刺情報は、 「レベル1」データ と呼ばれます。このデータは、「誰が誰なのか」について答えを提供します。
LEI共通データファイル(CDFフォーマット)は、LEI発行組織がLEIおよびレベル1参照データを報告する方法について定義しています。
GLEIFは、2016年11月に最初のLEI-CDFフォーマットバージョン1.0を公開しました。GLEIFは、2017年5月にLEI-CDFフォーマットバージョン2.1、2021年5月にLEI-CDFフォーマットバージョン3.1を公開しました。LEI-CDFフォーマットのバージョン2.1と比較した、バージョン3.1に導入された変更は、ROCの方針、グローバルLEIシステムの (以前は「コーポレートアクション」と呼ばれていた) 取引主体のイベントとデータ履歴 と 政府機関全般のガイダンス文書に対するLEIの適格性 に基づいています。対応するXMLスキーマ定義およびリリースノートの文書は、このページの下でダウンロード可能です。
下図は、提供されるデータ内容の定義を含む、LEI-CDFフォーマットバージョン3.1全体の構造を示しています。
A value of type
FileContentEnum
in a file conforming to this standard SHALL be one of the following code strings:LOU_FULL_PUBLISHED
LOU_DELTA_PUBLISHED
GLEIF_FULL_PUBLISHED
GLEIF_DELTA_PUBLISHED
QUERY_RESPONSE
LEIHeader
.
lei:ExtensionType
Data element(s) defined by the sender of the file. A description of Extension
element structure and content should be provided separately.
[0,1]
OtherEntityNames
for other names).
lei:NameType
A string expressed in a natural language, including a code (xml:lang
attribute) indicating which natural language is used.
[1,1]
OtherName
elements (providing all types of names other than the Primary Legal Name) for the Entity. Transliterated versions of names are provided in a separate element.
lei:OtherEntityNamesType
Each of the one or more OtherEntityName
elements contained here includes an optional xml:lang
language code, permitting OtherEntityName
to be repeated as many times as necessary to express the same type of alternative name in multiple languages.
[0,1]
TransliteratedOtherEntityName
elements, each with a mandatory type
and an optional xml:lang
attribute
[0,1]
AddressType
in a file conforming to this standard SHALL include data elements as specified below:
- Language (
xml:lang
attribute) - One mandatory
FirstAddressLine
- An optional
AddressNumber
taken from theFirstAddressLine
- An optional
AddressNumberWithinBuilding
taken from theFirstAddressLine
- An optional
MailRouting
taken from theFirstAddressLine
- 0-3 optional
AdditionalAddressLine
elements -
City
-
Region
(optional) -
Country
-
PostalCode
(optional)
AddressType
in a file conforming to this standard SHALL include data elements as specified below:- Language (
xml:lang
attribute) - One mandatory
FirstAddressLine
- An optional
AddressNumber
taken from theFirstAddressLine
- An optional
AddressNumberWithinBuilding
taken from theFirstAddressLine
- An optional
MailRouting
taken from theFirstAddressLine
- 0-3 optional
AdditionalAddressLine
elements -
City
-
Region
(optional) -
Country
-
PostalCode
(optional)
OtherAddress
elements for the Entity. This may be used to provide alternative language forms of legal address or headquarters address. Transliterated other addresses are provided in a separate element.
lei:OtherAddressesType
A value of type OtherAddress
in a file conforming to this standard SHALL include the following data elements:- Language (
xml:lang
attribute) - One mandatory
FirstAddressLine
- An optional
AddressNumber
taken from theFirstAddressLine
- An optional
AddressNumberWithinBuilding
taken from theFirstAddressLine
- An optional
MailRouting
taken from theFirstAddressLine
- 0-3 optional
AdditionalAddressLine
elements -
City
-
Region
(optional) -
Country
-
PostalCode
(optional)
OtherAddress
element includes an optional language code, permitting OtherAddress
to be repeated as many times as necessary to express the same address type in multiple languages.
[0,1]
TransliteratedOtherAddress
elements, each containing a transliterated version of one of the addresses for the Legal Entity, including the following elements: - Language (
xml:lang
attribute) - One mandatory
FirstAddressLine
- An optional
AddressNumber
taken from theFirstAddressLine
- An optional
AddressNumberWithinBuilding
taken from theFirstAddressLine
- An optional
MailRouting
taken from theFirstAddressLine
- 0-3 optional
AdditionalAddressLine
elements -
City
-
Region
(optional) -
Country
-
PostalCode
(optional)
TransliteratedOtherAddress
element includes an optional language code, permitting TransliteratedOtherAddress
to be repeated as many times as necessary to express a transliterated version of each address type in multiple languages. The xml:lang
attribute indicates the language of the original address used as a source for the transliteration.
[0,1]
RegistrationAuthorityType
in a file conforming to this standard SHALL include data elements as specified below:-
RegistrationAuthorityID
- The reference code of the registration authority, taken from the Registration Authorities Code List maintained by GLEIF -
OtherRegistrationAuthorityID
- A legacy / historical reference code of a registration authority -
RegistrationAuthorityEntityID
- The identifier of the Entity at the indicated registration authority
Legalform
data element is also dependent).
lei:JurisdictionCodeType
A value of type JurisdictionCode
in a file conforming to this standard SHALL either be- a 2-character country code conforming to ISO 3166-1 alpha-2 or
- a region code conforming to ISO 3166-2.
EntityCategoryTypeEnum
in a file conforming to this standard SHALL be one of the following code strings:
-
BRANCH
- The Legal Entity is a branch of another Legal Entity. -
new GENERAL
- The legal entity is a general legal entity. -
FUND
- The Legal Entity is a fund managed by another Legal Entity. -
SOLE_PROPRIETOR
- The Legal Entity is an individual acting in a business capacity. -
new RESIDENT_GOVERNMENT_ENTITY
- The legal entity is a non-market producer, part of a central, state or local government, social security funds or a non-profit institution (NPI) controlled by government units. -
new INTERNATIONAL_ORGANIZATION
- The legal entity is a non-resident unit created by international agreements or other arrangements for the provision of non-market services or financial intermediation at the international level.
new
Indicates and specifies further (where applicable) the sub-category (sub-sector) of Legal Entity identified by this LEI Record
and already categorized by the EntityCategory
.
lei:EntitySubCategoryTypeEnum
A value of type EntitySubCategoryTypeEnum
in a file conforming to this standard SHALL be one of the following code strings:
-
new CENTRAL_GOVERNMENT
- The legal entity is a central government subsector which consists of the institutional units plus non-profit institution (NPI) controlled by the central government institutions. -
new STATE_GOVERNMENT
- The legal entity is a state government subsector which consists of the institutional units that exercise some government functions at a level below that of the central government and above that of the government institutional units existing at a local level. -
new LOCAL_GOVERNMENT
- The legal entity is a local government subsector which consists of local governments that are separate institutional units. -
new SOCIAL_SECURITY
- The legal entity is a social security scheme which covers a wide variety of programmes, providing benefits in cash or in kind for old age, invalidity or death, survivors, sickness and maternity, work injury, unemployment, family allowance, health care, etc.
EntityLegalFormCode
codes but not the specific codes conforming to the ISO standard it requires.
lei:LegalFormType
A value of type LegalFormType
in a file conforming to this standard SHALL include data elements as specified below:-
EntityLegalFormCode
- A current code from the GLEIF-maintained list MUST be used. Values of theLegalFormEnum
code list are maintained by ISO / GLEIF through the Entity Legal Form (ELF), available from the GLEIF website. -
OtherLegalForm
- A legacy code or textual description for the Legal Entity\'s legal form, used until a current code from the GLEIF-maintained list can be used.
deprecated
Another Entity associated with this Entity if needed to fully identify this Entity or to place it in an appropriate context.
lei:AssociatedEntityType
A value of type AssociatedEntityType
in a file conforming to this standard SHALL include one or the other (not both) of the following data elements:-
AssociatedLEI
- The LEI of the associated Entity -
AssociatedEntityName
- The name of the associated Entity
EntityStatusEnum
in a file conforming to this standard SHALL be one of the following code strings:-
ACTIVE
- As of the last report or update, the Legal Entity reported that it was legally registered and operating. -
INACTIVE
- It has been determined that the Entity that was assigned the LEI is no longer legally registered and/or operating, whether as a result of business closure, acquisition by or merger with another (or new) Entity, or determination of illegitimacy. -
new NULL
- The entity status is not applicable.
new
The date on which the legal entity was first established as defined in ISO 17442.
lei:LEIDateTimeProfileGeYear0001
A date and time,including the timezone,based on ISO 8601.
[0,1]
deprecated
The date the Legal Entity ceased operation or was merged. This element SHALL be present if EntityExpirationReason
is present, and omitted otherwise.
lei:LEIDateTimeProfile
A date and time, including the timezone, based on ISO 8601.
[0,1]
EntityExpirationDate
is present, and omitted otherwise.
lei:EntityExpirationReasonEnum
A value of type EntityExpirationReasonEnum
in a file conforming to this standard SHALL be one of the following code strings:-
DISSOLVED
- The Entity ceased to operate -
CORPORATE_ACTION
- The Entity was acquired or merged with another Entity -
OTHER
- The reason for expiry is neither ofDISSOLVED
norCORPORATE_ACTION
SuccessorEntityType
in a file conforming to this standard SHALL include one (not both) of the following data elements:
-
SuccessorLEI
- The LEI of the successor Entity. -
SuccessorEntityName
- The name of the successor Entity.
new The SuccessorEntity
is a repeating field from LEI version 3.1 onwards.
[0,*]
new
Container for a finite number of events specified by the LEI ROC in the life of a legal entity that would impact the Reference Data in the Global LEI System.
lei:LegalEntityEventsType
The LegalEntityEvents
element contains one or more LegalEntityEvent
elements with the following attributes and child elements.
- Child Elements:
-
new LegalEntityEventType
- The type of legal entity event. This field must contain a validLegalEntityEventTypeEnum
as specified in the LEI CDF version 3.1. -
new LegalEntityEventEffectiveDate
(optional) - The date when the legal entity event becomes legally effective. -
new LegalEntityEventRecordedDate
- The date when the legal entity event was recorded in the Global LEI System. -
new ValidationDocuments
- Type of source document(s) used for validating the legal entity event. This field must contain a validValidationDocumentsTypeEnum
as specified in the LEI CDF version 3.1. -
new ValidationReference
(optional) - A reference to a specific document or other source used as the basis of validation for this legal entity event. -
new AffectedFields
(optional) - A list of LEI Record Set elements that are expected to be updated in the LEI Record Set as a result of a legal entity event.
- Attributes:
-
new group_type
- Describes whether or not this legal entity event is part of a group of multiple or a complex event. This field must contain a validLegalEntityEventGroupTypeEnum
as specified in the LEI CDF version 3.1. -
new event_status
- Describes the status of the legal entity event with regard to event timeline. This field must contain a validLegalEntityEventStatusEnum
as specified in the LEI CDF version 3.1. -
new group_id
(optional) - An optional identifier assigned to link legal entity events that are part of the same group of multiple or a complex event. -
new group_sequence_no
(optional) - An optional number which indicates the sequence of each legal entity event within a group of events.
ManagingLOU
.
lei:LEIDateTimeProfile
A date and time, including the timezone, based on ISO 8601.
[1,1]
ManagingLOU
.
lei:LEIDateTimeProfile
A date and time, including the timezone, based on ISO 8601.
[1,1]
ManagingLOU
.
lei:RegistrationStatusEnum
A value of type RegistrationStatusEnum
in a file conforming to this standard SHALL be one of the following code strings:-
PENDING_VALIDATION
- An application for an LEI that has been submitted and which is being processed and validated -
ISSUED
- An LEI Registration that has been validated and issued, and which identifies an Entity that was an operating Legal Entity as of the last update -
DUPLICATE
- An LEI Registration that has been determined to be a duplicate registration of the same Legal Entity as another LEI Registration; the DUPLICATE status is assigned to the non-surviving registration (i.e. the LEI that should no longer be used) -
LAPSED
- An LEI registration that has not been renewed by the NextRenewalDate and is not known by public sources to have ceased operation -
deprecated MERGED
- An LEI registration for an Entity that has been merged into another Legal Entity, such that this Legal Entity no longer exists as an operating Entity -
RETIRED
- An LEI registration for an Entity that has ceased operation, without having been merged into another Entity -
ANNULLED
- An LEI registration that was marked as erroneous or invalid after it was issued -
CANCELLED
- An LEI registration that was abandoned prior to issuance of an LEI -
TRANSFERRED
- An LEI registration that has been transferred to a different LOU as the managing LOU -
PENDING_TRANSFER
- An LEI registration that has been requested to be transferred to another LOU. The request is being processed at the sending LOU -
PENDING_ARCHIVAL
- An LEI registration is about to be transferred to a different LOU, after which its registration status will revert to a non-pending status
ValidationSourcesTypeEnum
in a file conforming to this standard SHALL be one of the following code strings:- PENDING
- ENTITY_SUPPLIED_ONLY
- PARTIALLY_CORROBORATED
- FULLY_CORROBORATED
ValidationAuthorityType
in a file conforming to this standard SHALL include data elements as specified below:-
ValidationAuthorityID
- The reference code of the registration authority, taken from the Registration Authorities Code List maintained by GLEIF -
OtherValidationAuthorityID
- A legacy / historical reference code of a registration authority -
ValidationAuthorityEntityID
- The identifier of the Entity at the indicated registration authority
OtherValidationAuthorityType
in a file conforming to this standard SHALL include data elements as specified below:-
ValidationAuthorityID
- The reference code of the registration authority, taken from the Registration Authorities Code List maintained by GLEIF -
OtherValidationAuthorityID
- A legacy / historical reference code of a registration authority -
ValidationAuthorityEntityID
- The identifier of the Entity at the indicated registration authority
注: LEI-CDF バージョン3.1に追加された新規フィールドと列挙値は、黄色で強調表示されています。同様に、廃止予定のフィールドと値はグレーで強調表示されており、これらは技術の下位互換性のために維持されます。
状態遷移ルールおよび検証ルール(STVR)は、共通データファイル(CDF)フォーマットにしたがったLEI参照データの発行、更新、管理、公表に関するビジネスルールと技術的実装が記載されています。
最新バージョンへの更新に必要となる技術支援文書と事例ファイルは、補足文書 のページをご覧ください。
LEI-CDFフォーマットについての質問は、info@gleif.orgにお送りください。
ダウンロード可能な関連ファイル
- LEI-CDF 3.1のリリースノート:lei-cdf_version_3.1-documentation.html
- 対応するXMLスキーマ定義:2021-03-04_lei-cdf-v3-1.xsd
- PDFをダウンロード:共通データファイルフォーマット (バージョン2.8.3) の状態遷移および検証ルール (State Transition and Validation Rules for Common Data File Formats (Version 2.8.3))