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Upcoming CDF XML Comprehensive Example — Description
Version 1.0 Final, 2022-02-09
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. Upcoming CDF XML Comprehensive Example — Description f@‘ I_E | N
Contents
Acknowledgements 4
File Reference 5
Sample Description 6 Public Author GLEIF | Version 1.0 Final | 2022-02-09 Page 2 of 7
[ Upcoming CDF XML Comprehensive Example — Description ‘@ “1'E | Ll Created by GLEIF Approved by Head of Data Quality Management and Data Science About this Document This document is related to the introduction of the upcoming LEI-CDF format version 3.1, RR- CDF format version 2.1, and REPEX-CDF format version 2.1. It provides additional information for the xml samples provided together with this document. Change History This section records the history of all changes to this document. 2022-02-09 Final version published on GLEIF website GLEIF All changes made during creation (for clarity and reading ease as well as significant changes), increase the version number by 0.1 The final version of the document gets version number 1.0. GLEIF Contact Public Author GLEIF | Version 1.0 Final | 2022-02-09 Page 3 of 7
o Upcoming CDF XML Comprehensive Example — Description ‘@ Y ]_E | \J Acknowledgements The following description and samples, together with the accompanying XML files, are intended to showcase LEI Record Sets compliant with the upcoming CDF versions (LEI-CDF 3.1, RR-CDF 2.1, Reporting Exceptions (Repex) CDF 2.1). The samples cover use cases related to the addition of Fund Relationships, Legal Entity Events and Government Entities/International Organizations to the Global LEI System and may not include all changes in the updated CDF formats. All samples are illustrative and do not represent any ‘real’ data. The set of LEI Records in the three files is complete in the sense that every LEl included as part of a relationship record, as a successor entity or as an LEl Issuer is present with an LEI Record. While every care has been taken in the compilation of this information, the sample data is meant to be used only for testing purposes and GLEIF will not be held responsible for any loss, damage, or inconvenience caused by inaccuracy of the related example data. Public Author GLEIF | Version 1.0 Final | 2022-02-09 Page 4 of 7
e Upcoming CDF XML Comprehensive Example — Description f@‘ I_E | \J File Reference LEI-CDF 3.1: Level 1 Data (18 Records) = 2022-02-09_upcoming-cdf-xml-concatenated-comprehensive-example-lei.xml RR-CDF 2.1: Relationship Data (5 Records) = 2022-02-09_upcoming-cdf-xml-concatenated-comprehensive-example-rr.xml REPEX-CDF 2.1: Reporting Exceptions Data (34 Records) = 2022-02-09_upcoming-cdf-xml-concatenated-comprehensive-example-repex.xml Public Author GLEIF | Version 1.0 Final | 2022-02-09 Page 5 of 7
o Upcoming CDF XML Comprehensive Example — Description @ C | Ll Sample Description The samples provided in these files showcase a state during the transition period in March 2022, when some LEI Issuers have already made the transition and provide their data in the ‘new’ CDF formats while others still provide data in the ‘old’ formats (including deprecated elements). The sample set includes two LEI Issuers (ManagingLOUs): e TESTOOOMTOGX9Z6IN826 — Already using the new CDF formats e TESTOOHRVYC4JFTR1624 — Still using the old CDF formats The LEI records for the successor entities are included in this set of samples to provide a complete set of related LEI records. These records are kept to the minimum required information, to keep complexity low. The following use cases are included in the samples: TESTOOOTASYDG4PVGX76 — CDF 3.1 Full Sample e Following the new CDF formats e Most of the elements are populated, including several Successor Entities and Legal Entity Events, OtherNames and OtherAddresses, additional ValidationAuthorities TESTOOCFPLINM9ZT5A04 — CDF 3.1 Sample with Multiple Successor Entities e Following the new CDF formats e Another sample with multiple Successor Entities created by different Legal Entity Events e Affected Fields indicate which Successor Entity is linked to which event e In the old CDF formats, this LEI Record would have RegistrationStatus MERGED and would include an EntityExpirationDate and EntityExpirationReason as CORPORATE_ACTION e With the new formats, RegistrationStatus is RETIRED, EntityExpirationReason is included as Legal Entity Event Type MERGERS_AND_ACQUISITIONS, and EntityExpirationDate is the EffectiveDate of that Legal Entity Event TEST000308Z10Q2ILT13 — Duplicate Record of LEI TESTOOCFPLINM9ZT5A04 e Following the new CDF formats e This LEI Record represents a duplicate (Exclusivity Violation) of another LEI e The Successor Entity pointing to the surviving LElI Record is the one not included in the Legal Entity Event Affected Fields TESTOOMWUV12VP51SD83 — CDF 3.1 Sample with Extensions e Following the new CDF formats e This LElI Record includes Extensions with Geocode information added by GLEIF and additional data provided by LEI Issuers e This LEI Record also represents an International Organization, using the new reserved Registration Authority Code ‘RA777777’ as ValidationAuthorityID and ‘XX’ as Legallurisdiction (i.e., not governed by national laws and not part of the EU or UN) Public Author GLEIF | Version 1.0 Fi
nal | 2022-02-09 Page 6 of 7
o Upcoming CDF XML Comprehensive Example — Description @ C | oy LL TESTOOFX1EZXQRJDLZ25 — Sub-Fund Name Two (CDF 3.1)
e Following the new CDF formats
e Fund manager is TESTOOCMZ8YXZLN58Z28 (included as relationship)
e Umbrella fund is TESTOOPTM582Z8F25919 (included as relationship)
TESTOOKMUS5Y1N9KOLOQ9 — Umbrella Fund Name - Sub-Fund Name One (CDF 2.1)
e Following the old CDF formats
e Fund manager is TESTOOCMZ8YXZLN58Z728 (included as AssociatedEntity)
e This represents a second sub-fund (beside TESTOOFX1EZXQRJDLZ25) of the same umbrella fund (TESTOOPTM582Z8F25919); this is only shown in the concatenated name of the umbrella and name of the sub-fund
TESTOOPYMIZZ9B751024 — Merged Entity Name (CDF 2.1)
e Following the old CDF formats
e RegistrationStatus, EntityExpirationDate, and EntityExpirationReason of this LEl Record will be replaced once the LEI Issuer of this record makes the transition
e TESTOOCFPLINM9ZT5A04 is the sample that shows a similar case after the transition
There are additional LEI Records included that are used in the above samples to complete the set of LEl Records in this repository: Successor Entities created by TESTOOOTASYDG4PVGX76:
e TESTOOTMKOT49CEL2767
e TESTOOR8J70TMF1AQX48
e TESTOO33WLIZ5R2IE259
Direct and Ultimate parent of TESTOOOTASYDG4PVGX76:
e TESTOOMQAW5HO72MA343
Successor Entities created by TESTOOCFPLINM9ZT5A04:
e TESTOONLEUNOT4RLHGY91
e TESTOOTRLGPML170NA17
e TESTOODKTUNCASA7N881
Fund manager for all fund entities: e TESTOOCMZ8YXZLN58Z728 Umbrella fund for the two sub-funds: e TESTOOPTM582Z8F25919 Public Author GLEIF | Version 1.0 Final | 2022-02-09 Page 7 of 7