Sobre o LEI Formato do Arquivo de Dados Comuns
Observação:

Os termos e definições apresentados no gráfico são fornecidos com o Ficheiro de Dados Comum (CDF) em inglês, disponível para download abaixo. A documentação técnica em inglês não é traduzida pela GLEIF e, portanto, o conteúdo deste gráfico aparece em inglês.

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



O conjunto de dados do Identificador da Entidade Jurídica (LEI) inclui os dados de "Nível 2" para responder à questão de "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”.

Aplicam-se procedimentos distintos relativos a controladoras finais e diretas com e sem um LEI.

Se a controladora direta e/ou final de um registrador de LEI obteve um LEI, o seguinte se aplica: a entidade jurídica subsidiária será obrigada a fornecer o LEI, respectivamente, de sua controladora direta e final 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 informações sobre o formato RR-CDF, versão 1.0. Em maio de 2017, a GLEIF publicou mais uma atualização: formato RR-CDF, versão 1.1. O documento de especificação técnica detalhada e a definição de esquema XML correspondente estão disponíveis para download no fundo desta página. As alterações introduzidas na versão 1.1, comparadas à versão 1.0 do formato RR-CDF, são pequenas e compatíveis com a versão anterior. Essas alterações são indicadas na seção 1.7 (“Notas de Lançamento”) do documento de especificação técnica disponível abaixo.

O formato RR-CDF contém elementos que, respectivamente:

  • Identificar as entidades jurídicas envolvidas.
  • Especificar o tipo e outras características (por exemplo, datas) do relacionamento.
  • Apresentar a validação de relacionamento e fornecer informações coletadas pela organização emissora de LEI responsável por gerenciar o registro de relacionamento.

O diagrama abaixo apresenta a estrutura do formato RR-CDF, 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. RelationshipCategoryType A unique code designating the specific category of a directional relationship between two legal entities. [1,1]
RelationshipPeriods A collection of paired beginning and end dates relating to: the relationship itself, periods (e.g. accounting cycles) covered by documents demonstrating the relationship, or the filing date(s) of those documents. RelationshipPeriodsType A collection of paired beginning and end dates, defining a time period of a type indicated by an enumerated code: the relationship itself, periods (e.g. accounting) covered by documents demonstrating the relationship, or the filing date(s) of those documents. [0,1]
RelationshipStatus The status of the legal entities\' relationship itself: ACTIVE or INACTIVE. RelationshipStatusEnum The status of the legal entities\' relationship itself (e.g. currently active, historical only). [1,1]
RelationshipQualifiers Any additional qualitative attributes that help to categorize the relationship. RelationshipQualifiersType Additional qualitative attributes that help to categorize the relationship more specifically. [0,*]
RelationshipQuantifiers Any additional quantitative attributes that help to categorize the relationship. RelationshipQuantifiersType Additional quantitative attributes of the relationship, including units where applicable, according to a particular measurement method. [0,*]
Extension This Extension element may contain any additional elements required to extend the Header container element ExtensionType Data element(s) defined by the sender of the file. A description of Extension element structure and content should be provided separately. [0,1]
Registration [1,1]
InitialRegistrationDate 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. [1,1]
ValidationDocuments Type of source document(s) used for validating the relationship. ValidationDocumentsTypeEnum The type of source document(s) used by the ManagingLOU to validate the relationship. [1,1]
ValidationReference A reference to a specfic document or other source used as the basis of relationship validation for this relationship record. Tokenized500Type A free text string. [0,1]
Extension This Extension element may contain any additional elements required to extend the Header container element ExtensionType Data element(s) defined by the sender of the file. A description of Extension element structure and content should be provided separately. [0,1]
Extension [0,1]

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

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). As seções deste documento que se referem a LEI-CDF 3.1 ou a RR-CDF 2.1 entrarão em vigor a partir de 1º de março de 2022.

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


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