Sobre o LEI Formato do Arquivo de Dados Comuns

Dados de Nível 2: formato CDF do Registro de Relacionamento (RR) 2.1



O conjunto de dados do Identificador da Entidade Jurídica (LEI) inclui os "dados de Nível 2" para responder à pergunta "quem controla quem". Especificamente, as entidades jurídicas que têm ou adquirem um LEI informam sua “controladora pela consolidação contábil direta” bem como “controladora pela consolidação contábil final”.

A entidade jurídica subsidiária é obrigada a fornecer o LEI, respectivamente, da controladora direta e da controladora à organização emissora de LEI. O formato do Registro de Relacionamento (RR-CDF) se aplica a registros de relacionamento para os registradores de LEI, cujas controladoras direta e final tenham obtido um LEI. Isso define que o formato técnico que especifica como dados de Nível 2, por exemplo, registros de relacionamento, sejam armazenados e transferidos entre as organizações emissoras do LEI, a Global Legal Entity Identifier Foundation (GLEIF) e todos os usuários dos dados.

Em novembro de 2016, a GLEIF publicou o formato RR-CDF inicial versão 1.0. Em maio de 2017, a GLEIF publicou o formato RR-CDF versão 1.1 e em maio de 2021, o formato RR-CDF versão 2.1. As alterações introduzidas na versão 2.1, comparadas ao formato RR-CDF versão 1.1, são baseadas na política do Comitê de Supervisão Regulatória (ROC), "Política sobre relacionamentos de fundos e Diretrizes para o registro de fundos de investimentos no Global LEI System", que descreve em detalhes como os dados de "Nível 2" sobre "quem controla quem", são classificados de acordo com os tipos de relacionamentos de fundos. O documento de Notas de Lançamento e a definição de esquema XML correspondente estão disponíveis para download no rodapé desta página.

O formato RR-CDF contém elementos que, respectivamente:

  • Identificam as entidades jurídicas envolvidas.
  • Especificam o tipo e outras características (por exemplo, datas) do relacionamento.
  • Mostram a validação do relacionamento e informações de notificação coletadas pela organização emissora do LEI responsável pelo gerenciamento do registro de relacionamento.

O diagrama abaixo apresenta a estrutura do formato RR-CDF 2.1, incluindo definições de conteúdos de dados a serem fornecidos.

RelationshipData
Header [1,1]
ContentDate The date and time as of which the data contained in the file is valid. LEIDateTimeProfile A date and time, including the timezone, based on ISO 8601. [1,1]
Originator The LEI of the entity that created the content of this file. LEIType A Legal Entity Identifier (LEI) code, conforming to ISO 17442. [0,1]
FileContent A code describing the content of this relationship record file. FileContentEnum A code denoting the publisher of the relationship data file (GLEIF or LOU), the publication status (public or internal use) and the content type (full file, delta file or query response). [1,1]
DeltaStart The date and time of the baseline relative to which this file contains new or changed Relationship Records. LEIDateTimeProfile A date and time, including the timezone, based on ISO 8601. [0,1]
RecordCount The number of relationship records in the file. Must be a positive whole (integer) number, or zero (0). xs:nonNegativeInteger A positive whole number or zero (0). [1,1]
Extension This Extension element may contain any additional elements required to extend the Header container element. ExtensionType Data element(s) defined by the sender of the file. A description of Extension element structure and content should be provided separately. [0,1]
Record [0,*]
Relationship [1,1]
StartNode An LEI or ISO 17442-compatible ID for the entity at the "start" of a directional relationship. NodeType An LEI or provisional (ISO 17442-compatible) technical identifier for a legal entity in the relationship, together with a code indicating the type of identifier. [1,1]
EndNode An LEI or ISO 17442-compatible ID for the entity at the "end" of a directional relationship. NodeType An LEI or provisional (ISO 17442-compatible) technical identifier for a legal entity in the relationship, together with a code indicating the type of identifier. [1,1]
RelationshipType A unique code designating the specific category of a directional relationship between two legal entities. RelationshipTypeEnum
  • IS_DIRECTLY_CONSOLIDATED_BY - The StartNode of the "child" entity has its accounts fully consolidated by the EndNode "parent" entity, in the sense given by the accounting standard(s) specified in RelationshipQualifiers;the EndNode entity is the closest fully consolidating parent to the StartNode entity in any applicable hierarchical ownership structure.
  • IS_ULTIMATELY_CONSOLIDATED_BY - The StartNode "child" entity has its accounts fully consolidated by the EndNode "parent" entity, in the sense given by the accounting standard(s) specified in the RelationshipQualifiers; the EndNode entity is the most distant fully consolidating parent from the StartNode entity in any applicable hierarchical ownership structure.
  • IS_INTERNATIONAL_BRANCH_OF - The StartNode is an international branch of the legal entity designated by EndNode (in jurisdiction country of StartNode). The EndNode is the Head Office and SHALL be an LEI.
  • new IS_FUND-MANAGED_BY - The StartNode is a fund managed by a main management entity. The EndNode is legally responsible for the constitution and operation of the fund.
  • new IS_SUBFUND_OF - The StartNode is a sub-fund to an umbrella fund. The EndNode is a legal entity with one or more than one sub-funds/compartments where each sub-fund/compartment has its own investment objectives, separate investment policies and strategies, segregation of assets, separate investors and which has segregated liability between sub-funds/compartments.
  • new IS_FEEDER_TO - The StartNode is a Feeder Fund,that is (almost) exclusively invested in a single other fund. The EndNode is the Master Fund that has identical investment strategies.
[1,1]
RelationshipPeriods The particular type of period, for example, the duration of the relationship itself, the filing or validity period of any documents demonstrating the relationship, or the accounting period they refer to. RelationshipPeriodsTypeEnum A collection of paired beginning and end dates, defining a time period of a type indicated by an enumerated code: the relationship itself, periods (e.g. accounting) covered by documents demonstrating the relationship, or the filing date(s) of those documents.
  • ACCOUNTING_PERIOD - The dates in this instance of RelationshipPeriod indicate the accounting period covered by the most recent validation documents for this relationship.
  • RELATIONSHIP_PERIOD - The dates in this instance of RelationshipPeriodindicate the duration of validity of the relationship itself, as distinct from any administrative or reporting aspects.
  • DOCUMENT_FILING_PERIOD - The dates in this instance of RelationshipPeriod indicate the validity period of a regulatory filing, accounting document, or other document demonstrating the relationship's validity.
[0,1]
RelationshipStatus The status of the legal entities\' relationship itself: ACTIVE, INACTIVE, or NULL. RelationshipStatusEnum The status of the legal entities relationship itself (e.g. currently active, historical only).
  • ACTIVE - As of the last report or update,the reporting legal entity reported that it is legally registered and/or operating, that the relationship detailed in this RelationshipRecord is still valid
  • INACTIVE -It has been determined that the relationship is ended, because entity that reported this relationship is no longer legally registered and/or operating; or the relationship is no longer valid for other reasons.
  • new NULL - The relationship status is not applicable.
[1,1]
RelationshipQualifiers Any additional qualitative attributes that help to categorize the relationship. RelationshipQualifiersType Additional qualitative attributes that help to categorize the relationship more specifically.
  • QualifierDimension - Designates the optional list of additional qualitative attributes that help to categorize the relationship. The QualifierDimensionEnum contains the value ACCOUNTING_STANDARD as specified in the Relationship Record CDF version 2.1.
  • QualifierCategory - Specifies the additional qualitative attributes that help to categorize the relationship. This field must contain a valid QualifierCategoryTypeEnum as specified in the Relationship Record CDF version 2.1. A new value, new GOVERNMENT_ACCOUNTING_STANDARD has been added to the existing QualifierCategoryTypeEnum.
[0,*]
RelationshipQuantifiers Any additional quantitative attributes that help to categorize the relationship. RelationshipQuantifiersType Additional quantitative attributes of the relationship, including units where applicable, according to a particular measurement method.
  • MeasurementMethod - Specifies the method of measurement (or set of rules) used to quantitatively categorize the relationship. This field contains a valid MeasurementMethodTypeEnum as specified in the Relationship Record CDF version 2.1.
  • QuantifierAmount - Specifies the quantity measured as a decimal (positive or negative) number, using a "." as the decimal point, with no spaces, and without thousand delimiters (e.g. ",").
  • QuantifierUnits - Specifies the units, where applicable, of a measurement made on a relationship. This field contains a valid QuantifierUnitsTypeEnum as specified in the Relationship Record CDF version 2.1.
[0,*]
Extension This Extension element may contain any additional elements required to extend the Header container element ExtensionType Data element(s) defined by the sender of the file. A description of Extension element structure and content should be provided separately. [0,1]
Registration [1,1]
InitialRegistrationDate A date and time, including the timezone, based on ISO 8601. LEIDateTimeProfile A date and time, including the timezone, based on ISO 8601. [1,1]
LastUpdateDate The date at which the information was most recently updated by the ManagingLOU LEIDateTimeProfile A date and time, including the timezone, based on ISO 8601. [1,1]
RegistrationStatus The status of the legal entity\'s relationship record registration with the ManagingLOU lei:RegistrationStatusEnum A value of type RegistrationStatusEnum in a file conforming to this standard SHALL be one of the following code strings:
  • PENDING_VALIDATION - A relationship data report that has been submitted and which is being processed and validated, prior to publication
  • PUBLISHED - A relationship record that has been validated and published, and which identifies a relationship that was reported by an entity that was an operating legal entity as of the last update
  • DUPLICATE - A relationship record that has been determined to be a duplicate of the same relationship as another relationship record; the DUPLICATE status is assigned to the non-surviving record
  • LAPSED - A relationship record that has not been renewed by the NextRenewalDate
  • RETIRED - The relationship is considered to have ended, but the relationship report is kept in publication for historical audit trail purposes
  • ANNULLED - A relationship record that was marked as erroneous or invalid after it was issued
  • TRANSFERRED - A relationship record that has been transferred to a different LOU as the managing LOU
  • PENDING_TRANSFER - A relationship record that has been requested to be transferred to another LOU. The request is being processed at the sending LOU
  • PENDING_ARCHIVAL - A relationship record is about to be transferred to a different LOU, after which its registration status will revert to a non-pending status
[1,1]
NextRenewalDate The next date by which the relationship information must be renewed and re-certified by the legal entity. LEIDateTimeProfile A date and time, including the timezone, based on ISO 8601. [0,1]
ManagingLOU The LEI of the LOU that is responsible for administering this relationship record. LEIType A Legal Entity Identifier (LEI) code, conforming to ISO 17442. [1,1]
ValidationSources Level of relationship validation. ValidationSourcesTypeEnum The level of relationship validation provided by the ManagingLOU.
  • PENDING - The validation of the relationship data provided by the registrant has not yet occurred. Records with this ValidationSources value SHALL NOT be published.
  • ENTITY_SUPPLIED_ONLY - Based on the validation procedures in use by the LOU responsible for the record, the information associated with this record has significant reliance on the information that a submitter provided due to the unavailability of corroborating information.
  • PARTIALLY_CORROBORATED - Based on the validation procedures in use by the LOU responsible for the record, the information supplied by the submitter can be partially corroborated by supporting sources (e.g. financial statements with other definitions of the relevant relationship type; quarterly or annual regulatory filings,contracts and other documents used in preparing financial statements).
  • FULLY_CORROBORATED - The relationship data provided by the registrant has been validated against an explicit relationship statement found in key sources (e.g. consolidated financial statements)
[1,1]
ValidationDocuments Type of source document(s) used for validating the relationship. ValidationDocumentsTypeEnum The type of source document(s) used by the ManagingLOU to validate the relationship.
  • ACCOUNTS_FILING - A consolidated financial (accounting) statement, prepared and submitted to the relevant authority.
  • REGULATORY_FILING - A regulatory filing providing public information on legal entities and/or their relationships.
  • SUPPORTING_DOCUMENTS - Other documents supporting the validation of legal entities and/or their relationships.
  • CONTRACTS - Contract(s) attesting to the validity of legal entities and/or their relationships.
  • OTHER_OFFICIAL_DOCUMENTS - Other official document(s) attesting to the validity of legal entities and/or their relationships.
[1,1]
ValidationReference A reference to a specfic document or other source used as the basis of relationship validation for this relationship record. Tokenized500Type A free text string. [0,1]
Extension This Extension element may contain any additional elements required to extend the Header container element ExtensionType Data element(s) defined by the sender of the file. A description of Extension element structure and content should be provided separately. [0,1]
Extension [0,1]

O formato do Arquivo de Dados Comuns do Registro de Relacionamentos (RR-CDF) 2.1

Observação: os novos campos e valores de enumeração adicionados ao RR-CDF versão 2.1 estão destacados em amarelo.

A Transição de Estado e as Regras de Validação (STVR) descrevem as regras de negócios e suas implementações técnicas para a emissão, atualização, gerenciamento e publicação dos Dados de Referência de LEI de acordo com os formatos de Arquivo de Dados Comuns (CDF).

Para obter os documentos técnicos e os exemplos de arquivos necessários para atualização das versões atuais, consulte a página Documentos de apoio.

Envie suas dúvidas sobre o formato RR-CDF para info@gleif.org.


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