О кодах LEI Форматы Файла общих данных

Данные Уровня 2: формат Файла данных о взаимозависимости (RR-CDF) версии 2.1



База данных кодов идентификации юридических лиц (LEI) содержит данные Уровня 2, что позволяет ответить на вопрос «кто кем владеет». В частности, юридические лица, которые уже имеют или получают LEI, сообщают о своих «прямых материнских компаниях, предоставляющих консолидированную отчетность», как и о своих «основных материнских компаниях, предоставляющих консолидированную отчетность».

Дочерняя компания обязана предоставить, соответственно, код LEI своей прямой и основной материнской компании в организацию, выдающую коды LEI. Формат Файла общих данных о взаимозависимости (RR-CDF) применяется к данным о взаимозависимости для организаций, которые подали заявку на регистрацию LEI и чьи прямые и основные материнские компании уже получили LEI. Он определяет технический формат, который указывает, каким образом будет обеспечиваться хранение и обмен данными Уровня 2 (то есть данными о взаимозависимости) между организациями, выдающими коды LEI, фондом Global Legal Entity Identifier Foundation (GLEIF) и всеми пользователями данных.

В ноябре 2016 года фонд GLEIF опубликовал начальный формат RR-CDF версии 1.0. В мае 2017 года фонд GLEIF опубликовал формат RR-CDF версии 1.1, а в мае 2021 года – формат RR-CDF версии 2.1. Изменения, внесенные в версию 2.1, в сравнении с форматом RR-CDF версии 1.1 основаны на политике комитета ROC, а именно Политике относительно взаимодействия фондов и руководство по регистрации инвестиционных фондов в Глобальной системе LEI, в которой подробно описывается, как данные «Уровня 2» относительно того, «кто кем владеет», классифицируются согласно типам взаимодействий фонда. Документ с соответствующим определением схемы XML и «Заметки к выпуску» можно загрузить по ссылкам, приведенным в нижней части этой страницы.

Формат RR-CDF содержит элементы, которые, соответственно:

  • Идентифицируют вовлеченных юридических лиц.
  • Указывают тип и другие характеристики (например, даты) взаимозависимости.
  • Отображают сведения о проверке взаимозависимости и отчетности, полученные организацией, которая выдает LEI и обрабатывает данные о взаимозависимости.

На диаграмме ниже представлена структура формата RR-CDF версии 2.1, в том числе определения содержимого предоставляемых данных.

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]

Единый формат файла данных о взаимозависимости (RR-CDF) 2.1

Примечание. Новые поля и добавленные перечисляемые значения в версии 2.1 формата RR-CDF выделены желтым цветом.

Правила изменения состояния и проверки (STVR) описывают общие правила и их техническую реализацию относительно выдачи, обновления, контроля и публикации справочных данных LEI в соответствии с форматами Файла общих данных (CDF).

Для получения доступа к техническим документам и примерам файлов, необходимым для обновления до текущих версий, см. страницу Вспомогательные документы.

Все вопросы относительно формата RR-CDF просим направлять по адресу info@gleif.org.


Связанные файлы для загрузки