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] P LEl = o Public LEI Common Data File format V2.1 FINALV2.1 2017-03-21 ; ‘ ©)) « 1 o R W ’ ~ (@ l‘ .. ] p | " | ‘-\\2‘:~://///

] LEI Common Data File format V2.1 @ LEl Contents Lo INEFOTUCTION ittt et et e st sttt e st ee e et ee s sbbe e ambee s subeesseeesneeesssseesnnsensssseesanses ]

1.1. Audience for this dOCUMENT......cciii it ettt e s e s sreee e & 1.2. Status Of this dOCUMENT ....coouiiiiiie e ettt et st e st s e e sreee e & 1.3. Terminology and Typographical CONVENTIONS........cciiceiieii ittt serae e srree e seee O O o 11 1 L1 4 [T U T O PSP P OO PSP PPPPOPUPTPRTOPIRS - 1.5, BUSINESS RUIES .....ieiiiie ettt ettt ettt e et s sh e e et esatbe e s sbeee st e e e sbsaeenteessubeesanseesnnneesssneess O 1.6 XIMIL SYNTAX i iiieie ittt e e e e e e e e e e e e e eeeeeeeteteeae bt ae e st st st st s sss s s sesneneesaseseaeeesesnenenessenenennsns O 1.6.1. XML DESIZN RUIES..cciiiieiet ittt ettt ettt te et ee s e ee s ste e s s s saanae s assasneeesssssnneeassssnneesassnneeees O 1.6.2. XML SCREMIA ettt ettt ettt st e st ee st e s s tee st e s sbteeenneeessubeassnseesnnseesssssesnneeeesseeees L0 1.7. REIEASE NOLES .eeiieiiiiie ettt ettt ettt et e s sabe e e s tee st e e sbbtesnneeesabaeannseessnneessnseesnnneessnnes 2 O I =T YT o T TP PP PP 1.7.2.VErSION 2.0 iciiiiiiiiieiteecie ettt s e e rrreaeseese e s e e sennnas 2 1.7.3.VErSion 1.0 ittt e arae s aeesee s s snnnns 20 1.8. Change ManagemENt.......cceiicciiiiieieiiieeeeeetieeeeeecttteessettaeeesestteeaesseteessanssteessssnsseesssnsseesesssssssesssnsss 20 R T B g =) = Y A= €] o o I PP TP PPPOPPPPPPY. o 1.8.2. MIINOT VEISION 1.ttt ettt et e e s et earae e te e s s s snssnneaesaeesenssnsnsnnns 27 1.8.3. MJOT VEISION ceetetiiiiiiiitititce e e e e e e e e e e eeeeeeetetetetettrbeeeenesessss s s s sasesasesaseseseeeesenenensesesenns 27 1.8.4. Minor Version Changes to the XML SChema ........ccovvuiiiiiiiiiiieiniseeie e cssieee s seee e esseenn 27 1.8.5. Major Version Changes to the XML SChema........ccoiiiiiiiiiiiiiie et seens 28 2. ADSEract Data CONTENT......eieiciie ettt ettt ettt et st e s et et e e sbbe e sree s sabeessnseesnnbeessssaesnneeeessneees 2O 2.0, LEI File HEAUET ettt ettt ettt ettt ettt st te et e s sabe e s st e snbeesssaesmneeesnseesnnneessuseesnns 20 2.2, LEI DAta RECOIA ... uiiiiiiieeieee ettt ettt ettt ettt te ettt sab e eseeeesabeesssaesnbeesssseesnseeesssessnnseessuseessns SO 2.2.3. REGISTIAtiON .. e e e e e e e e e e eeee et ee e tetete e bt bt e nn it e e seeesanenees 32 B =4 = o £ o o PP PP PP OPRRPPPPPIR: 7. 2.3. Data Element REFEIENCE «....uei ittt ettt sttt sbb e e eeeesabeeennseeees 33 2.3.1. Element |@QLEIDA

Ta.....ccccieeeieiee ettt ettt ettt et ee s sabe e st ee e e e s nee e sneeessnneenneeesnnes S 2.3.2. Element lei:LEIData / [€i:LEIHEAEN ..cccceeeeeeeeeee ettt ettt te e ee e e sessssasesseeeeeees 35 2.3.3. Element lei:LEIHeaderType / 1ei:ContentDate........cccuveeceeeeiieerciee e e ssvveeeee e e stte s sree e eveeeens 30 2.3.4. Element lei:LEIHeaderType / 1ei:0riginator ......ccccvevieecceeescieecceee e e esvvee e e stte s ssvaeesveeeeees 37 Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 2 of 152

] LEI Common Data File format V2.1 @ LEl <xs:any minOccurs="0" maxOccurs="unbounded" processContents="lax" namespace="##targetNamespace"/> </xs:sequence> </xs:complexType> <xs:complexType name="LEIRecordsType'"> <xXs:sequence> <xs:element name="LEIRecord" type="lei:LEIRecordType" minOccurs="0" maxOccurs="unbounded"

</xs:element> <xs:element name="Extension" type="lei:ExtensionType" minOccurs="0"></xs:element> </xs:sequence> </xs:complexType> <xs:complexType name="LEIRecordType"> <xXs:sequence> <xs:element name="LEI" type="lei:LEIType"> </xs:element> <xs:element name="Entity" type="lei:EntityType"> </xs:element> <xs:element name="Registration" type="lei:RegistrationType"> </xs:element> <xs:element name="NextVersion" type="lei:LEIRecordNextVersionType" minOccurs="0"> </xs:element> <xs:element name="Extension" type="lei:ExtensionType" minOccurs="0"> </xs:element> </xs:sequence> </xs:complexType> <xs:complexType name="LEIRecordNextVersionType'"> <xXs:sequence> <xs:any minOccurs="0" maxOccurs="unbounded" processContents="lax" namespace="##targetNamespace"/> </xs:sequence> </xs:complexType> <xs:complexType name="EntityType'"> <xXs:sequence> <xs:element name="LegalName" type="lei:NameType"> </xs:element> <xs:element name="OtherEntityNames" type="lei:OtherEntityNamesType" minOccurs="0"> </xs:element> <xs:element name="TransliteratedOtherEntityNames" Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 11 of 152

LEI Common Data File format V2.1 ‘3 LEl P . An LEIl registration that has been transferred to a TRANSFERRED enumeration S different LOU as the managing LOU. An LEI registration that has been requested to be enumeration PENDING_TRANSFER transferred to another LOU. The request is being processed at the sending LOU An LEIl registration is about to be transferred to a enumeration PENDING_ARCHIVAL different LOU, after which its registration status will revert to a non-pending status. Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 101 of 152

. =" LEI Common Data File format V2.1 9 LE 2.3.67. Element lei:RegistrationType / lei:NextRenewalDate The next date by which the LEl registration should be renewed and re-certified by the legal entity. lei:LEIDateTimeProfile content simple ([T HINT*(((\d){1,31)){0,2}))(Z| +([01][O- pattern 9]]2[0-3]):([0-5][0-9]) | -([01][0-9] | 2[0-3]):([O- 5][0-9])) Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 102 of 152

] : 2y LEI Common Data File format V2.1 3 LEl 2.3.68. Element lei:RegistrationType / lei:ManagingLOU The LEI of the LOU that is responsible for administering this LEI registration. lei:LEIType content simple minLength 20 maxLength 20 pattern ([0-9A-Z]{18}[0-9]{2}) Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 103 of 152

LEI Common Data File format V2.1 ‘@ LE| \I 2.3.69. Element lei:RegistrationType / lei:ValidationSources The level of validation of the reference data provided by the registrant. lei:ValidationSourcesEnum content simple minOccurs 0 enumeration PENDING The vallda'tlon of the reference data provided by the registrant has not yet occurred. Based on the validation procedures in use by the LOU responsible for the record, the . . . th thi h enumeration ENTITY_SUPPLIED_ONLY '"iormation associated with this record has - significant reliance on the information that a submitter provided due to the unavailability of corroborating information. Based on the validation procedures in use by the LOU responsible for the record, the information supplied by the registrant can be partially corroborated by public authoritative enumeration PARTIALLY_CORROBORATED sources, while some of the record is dependent upon the information that the registrant submitted, either due to conflicts with authoritative information, or due to data unavailability. Based on the validation procedures in use by the LOU responsible for the record, there is enumeration FULLY CORROBORATED suff|C|e'nt |.nformat.|on contained in - authoritative public sources to corroborate the information that the submitter has provided for the record. Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 104 of 152

LEI Common Data File format V2.1 ‘3 LE| 4 2.3.70. Element lei:RegistrationType / lei:ValidationAuthority The (primary) registration authority used by the LOU to validate the entity data. lei:ValidationAuthorityType content complex minOccurs 0 <lei:ValidationAuthority xmlns:lei="http://www.gleif.org/data/schema/leidata/2016"> <lei:ValidationAuthorityID>{1,1}</lei:ValidationAuthorityID> <lei:OtherValidationAuthorityID>{0,1}</lei:0OtherValidation”AuthorityID> <lei:ValidationAuthorityEntityID>{0,1}</lei:ValidationAuthorityEntityID> </lei:ValidationAuthority> Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 105 of 152

=" LEI Common Data File format V2.1 9 LE

2.3.71. Element lei:ValidationAuthorityType / lei:ValidationAuthoritylD

The reference code of the registration authority, taken from the Registration Authorities List

(RAL) maintained by GLEIF.

lei:RegistrationAuthorityEnum

content simple

pattern RA\d{6} Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 106 of 152

LEI Common Data File format V2.1 ,LE| 2.3.72. Element lei:ValidationAuthorityType / lei:OtherValidationAuthoritylD A legacy / historical reference code of a registration authority which is not yet entered in the Registration Authorities List (RAL) maintained by GLEIF, or the designation of an interim register until such time as an entry from RAL can be delivered. lei:Tokenized500Type content simple minOccurs 0 minLength 1 maxLength 500 pattern \S+( \S+)* Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 107 of 152

LEI Common Data File format V2.1 3, LE|

2.3.73. Element lei:ValidationAuthorityType / lei:ValidationAuthorityEntitylD The identifier of the entity at the indicated registration authority. Typically, the identifier of the legal entity as maintained by a business registry in the jurisdiction of legal registration, or if the entity is one that is not recorded in a business registry (e.g. one of the varieties of funds registered instead with financial regulators), the identifier of the entity in the appropriate registration authority. lei:Tokenized500Type content simple minOccurs 0 minLength 1 maxLength 500 pattern \S+( \S+)*

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Author: GLEIF | Version: FINAL | 2017-03-21 Page 108 of 152

LEI Common Data File format V2.1 ‘; 3 LEl N’ 2.3.74. Element lei:RegistrationType / lei:OtherValidationAuthorities An optional list of additional registration authorities used by the LEI Issuer to validate the entity data. lei:OtherValidationAuthoritiesType content complex minOccurs 0 <lei:OtherValidationAuthorities xmlns:lei="http://www.gleif.org/data/schema/leidata/2016"> <lei:OtherValidationAuthority>{1l,unbounded}</lei:0OtherValidationAuthority> </lei:OtherValidationAuthorities> Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 109 of 152

LEI Common Data File format V2.1 ‘3 LE| 4 2.3.75. Element lei:OtherValidationAuthoritiesType / lei:OtherValidationAuthority An additional registration authority used by the LOU to validate the entity data. lei:ValidationAuthorityType content complex minOccurs 0 maxOccurs unbounded <lei:OtherValidationAuthority xmlns:lei="http://www.gleif.org/data/schema/leidata/2016"> <lei:ValidationAuthorityID>{1,1}</lei:ValidationAuthorityID> <lei:OtherValidationAuthorityID>{0,1}</lei:0OtherValidation”AuthorityID> <lei:ValidationAuthorityEntityID>{0,1}</lei:ValidationAuthorityEntityID> </lei:OtherValidationAuthority> Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 110 of 152

LEI Common Data File format V2.1 %, LE| type="lei:TransliteratedOtherEntityNamesType" minOccurs="0"> </xs:element> <xs:element name="LegalAddress" type="lei:AddressType"> </xs:element> <xs:element name="HeadquartersAddress" type="leil:AddressType"> </xs:element> <xs:element name="OtherAddresses" type="lei:OtherAddressesType" minOccurs="0"> </xs:element> <xs:element name="TransliteratedOtherAddresses" type="lei:TransliteratedOtherAddressesType" minOccurs="0"> </xs:element> <xs:element name="RegistrationAuthority" type="lei:RegistrationAuthorityType" minOccurs="0"> </xs:element> <xs:element name="LegalJurisdiction" type="lei:JurisdictionCodeType" minOccurs="0"> </xs:element> <xs:element name="EntityCategory" type="lei:EntityCategoryTypeEnum" minOccurs="0"> </xs:element> <xs:element name="LegalForm" type="lei:LegalFormType" minOccurs="0"> </xs:element> <xs:element name="AssociatedEntity" type="lei:AssociatedEntityType" minOccurs="0"> </xs:element> <xs:element name="EntityStatus" type="lei:EntityStatusEnum"> </xs:element> <xs:element name="EntityExpirationDate" type="lei:LEIDateTimeProfile" minOccurs="0"> </xs:element> <xs:element name="EntityExpirationReason" type="lei:EntityExpirationReasonEnum" minOccurs="0"> </xs:element> <xs:element name="SuccessorEntity" type="lei:SuccessorEntityType" minOccurs="0"> </xs:element> <xs:element name="NextVersion" type="lei:EntityNextVersionType" minOccurs="0"> </xs:element> </xs:sequence> </xs:complexType> <xs:complexType name="EntityNextVersionType"> <xXs:sequence> <xs:any minOccurs="0" maxOccurs="unbounded" processContents="lax" namespace="##targetNamespace"/> </xs:sequence> </xs:complexType> <xs:complexType name="RegistrationType'"> Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 12 of 152

LEI Common Data File format V2.1 ‘3 LEl N’

2.3.76. Element lei:RegistrationType / lei:NextVersion A structure for adding further elements in to the Registration section of the LElI Data Record in anticipation of a new version, by nesting a series of XML elements with this content model within the Nextversion element, one for each new minor version of the schema, postpending a serial number (1,2,3...) to the element name upon each iteration. lei:RegistrationNextVersionType content complex minOccurs 0

Public

Author: GLEIF | Version: FINAL | 2017-03-21 Page 111 of 152

LEI Common Data File format V2.1 ‘3 LEl P 2.3.77. Element lei:LEIRecordType / lei:NextVersion A structure for adding further elements in to the LEI Data Record in anticipation of a new version, by nesting a series of XML elements with this content model within the NextVersion element, one for each new minor version of the schema, postpending a serial number (1,2,3...) to the element name upon each iteration. lei:LEIRecordNextVersionType content complex minOccurs 0 Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 112 of 152

LEI Common Data File format V2.1 S LE 2.3.78. Element lei:LEIRecordType / lei:Extension This lei:Extension element may contain any additional elements required to extend the LEIRecord. lei:ExtensionType content complex minOccurs 0 Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 113 of 152

00000000000 LEI Common Data File format V2.1 ‘3' LEl 2.3.79. Simple Type lei:LEIDateTimeProfile

restriction of xs:dateTime (IA\T* AT\ ((\d){2,31){0,1})) (2| +([01][O- pattern 9]12[0-3]):([0-5][0-9]) | -([01][0-9] | 2[0-3]):([O- 5][0-9])) Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 114 of 152

=" LEI Common Data File format V2.1 S LEI 2.3.80. Simple Type lei:LEIType restriction of xs:string minLength 20 maxLength 20 pattern ([0-9A-Z]{18}{0-9]{2}) Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 115 of 152

LEI Common Data File format V2.1 ‘% LEl \l 2.3.81. Simple Type lei:FileContentEnum restriction of xs:string The file contains all LEl Data Records published by . an LOU (all LEI Data Records for which the LOU is enumeration LOU_FULL_PUBLISHED the ManagingLou) as of the date/time the file is created. The file contains those LEI Data Records published by an LOU (all LEI Data Records for which the LOU enumeration LOU_DELTA_PUBLISHED s the ManagingLou) which are new or changed since the peltastart date specified in the header, as of the date/time the file is created. The file contains all LEl Data Records published by enumeration GLEIF_FULL_PUBLISHED GLEIF (including all LEI Data Records from all LOUs) as of the date/time the file is created. The file contains those LEI Data Records published by GLEIF (including all LEI Data Records from all enumeration GLEIF_DELTA_PUBLISHED LOUs) which are new or changed since the Deltastart specified in the header, as of the date/time the file is created. enumeration QUERY_RESPONSE The fll.e cgntams records matching criteria specified in a query. Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 116 of 152

LEI Common Data File format V2.1 3, LE| 2.3.82. Complex Type lei:NameType extension of lei:Tokenized500Type Attempting to install the relevant ISO 2- and 3-letter union codes as the enumerated possible values is probably of(xs:language never going to be a realistic possibility. See RFC 3066 at xml:lang restri.ctiogn ofg ’ optional http://www.ietf.org/rfc/rfc3066.txt and the IANA xs:string) registry at http://www.iana.org/assignments/lang-tag- ) g apps.htm for further information. The union allows for the 'un-declaration' of xml:lang with the empty string. Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 117 of 152

LEI Common Data File format V2.1 3y LEI 2.3.83. Simple Type lei:Tokenized500Type An element of this type has minimum length of one character and may not contain any of: the carriage return (#xD), line feed (#xA) nor tab (#x9) characters, shall not begin or end with a space (#x20) character, or a sequence of two or more adjacent space characters. restriction of xs:string minLength 1 maxLength 500 pattern \S+( \S+)* Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 118 of 152

LEI Common Data File format V2.1 3, LE| 2.3.84. Complex Type lei:OtherEntityNameType extension of lei:NameType Attribute Type Use Annotation i I type lei:EntityNameTypeEnum required Typ.e of alternative name for the lega entity. Attempting to install the relevant ISO 2- and 3-letter codes as the enumerated possible values is probably never going to be a realistic possibility. See RFC 3066 at i : http: .ietf. fc/rf . h xml:lang unlor\ of(xs Ianguage, optional ttp //WYVW ietf.org/rfc/rfc3066.txt and the restriction of xs:string) IANA registry at http://www.iana.org/assignments/lang-tag- apps.htm for further information. The union allows for the 'un-declaration' of xml:lang with the empty string. Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 119 of 152

LEI Common Data File format V2.1 ‘3 LE| P 2.3.85. Simple Type lei:EntityNameTypeEnum restriction of xs:string Registered name of the entity in an enumeration ALTERNATIVE_LANGUAGE_LEGAL_NAME 2 /te"native language in the egal jurisdiction in which the entity is registered. enumeration PREVIOUS_LEGAL_NAME A primary legal name previously - used by this entity. A "trading as", "brand name" or "operating under" name currently enumeration TRADING_OR_OPERATING_NAME used by this entity in addition to, but not replacing, the (primary) legal, official registered name. Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 120 of 152

] LEI Common Data File format V2.1 @ LEl <xs:sequence> <xs:element name="InitialRegistrationDate" type="lei:LEIDateTimeProfile"> </xs:element> <xs:element name="LastUpdateDate" type="lei:LEIDateTimeProfile"> </xs:element> <xs:element name="RegistrationStatus" type="lei:RegistrationStatusEnum"> </xs:element> <xs:element name="NextRenewalDate" type="lei:LEIDateTimeProfile"> </xs:element> <xs:element name="ManagingLOU" type="lei:LEIType"> </xs:element> <xs:element name="ValidationSources" type="lei:ValidationSourcesEnum" minOccurs="0"> </xs:element> <xs:element name="ValidationAuthority" type="lei:ValidationAuthorityType" minOccurs="0"> </xs:element> <xs:element name="OtherValidationAuthorities" type="lei:OthervValidationAuthoritiesType" minOccurs="0"> </xs:element> <xs:element name="NextVersion" type="lei:RegistrationNextVersionType" minOccurs="0"

</xs:element> </xs:sequence> </xs:complexType> <xs:complexType name="RegistrationNextVersionType'"> <xs:sequence> <xs:any minOccurs="0" maxOccurs="unbounded" processContents="lax" namespace="##targetNamespace"/> </xs:sequence> </xs:complexType> <xs:complexType name="ExtensionType'"> <xs:sequence> <xs:any minOccurs="0" maxOccurs="unbounded" processContents="lax" namespace="##other"/> </xs:sequence> </xs:complexType> <xs:complexType name="AddressType'"> <xs:sequence> <xs:element name="FirstAddressLine" type="lei:Tokenized500Type"> </xs:element> Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 13 of 152

LEI Common Data File format V2.1 ‘3, LE| 2.3.86. Complex Type lei:TransliteratedOtherEntityNameType extension of lei:TransliteratedNameType Attr;but Type Use Annotation tvpe lei:TransliteratedEntityNameTypeE require Type of alternative name for the P num d legal entity. Attempting to install the relevant ISO 2- and 3-letter codes as the enumerated possible values is probably never going to be a realistic possibility. See RFC 3066 at xml:lan union of(xs:language, restriction of optiona http://www.ietf.org/rfc/rfc3066.txt g xs:string) I and the IANA registry at http://www.iana.org/assignments/I ang-tag-apps.htm for further information. The union allows for the 'un-declaration' of xml:lang with the empty string. Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 121 of 152

LEI Common Data File format V2.1 3, LE| 2.3.87. Complex Type lei:TransliteratedNameType extension of lei:TransliteratedStringType Attribute Type Use Annotation Attempting to install the relevant ISO 2- and 3-letter . codes as the enumerated possible values is probably union . . - of(xs:language never going to be a realistic possibility. See RFC 3066 at xml:lang restri.ction of " optional http://www.ietf.org/rfc/rfc3066.txt and the IANA . registry at http://www.iana.org/assignments/lang-tag- Xs:string) . . . apps.htm for further information. The union allows for the 'un-declaration' of xml:lang with the empty string. Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 122 of 152

LEI Common Data File format V2.1 ‘@ LEl ~? 2.3.88. Simple Type lei:TransliteratedStringType Character Codes Allowed in ASCII Transliterated Names A TransliteratedotherEntityName instance of type PREFERRED ASCII TRANSLITERATED LEGAL NAME Or AUTO ASCII TRANSLITERATED LEGAL_NAME, can only contain non-control characters drawn from the “invariant subset” of ISO 646. These characters are enumerated below. The “Hex Value” column indicates the code point value (expressed in hexadecimal) for each character in both ISO 646 and ISO 10646. This is enforced by the XML schema. Graphic Hex Graphic Hex Symbol Value Symbol Value Exclamation 21 Capital Letter | 4D Mark M - o . o N % Percent Sign 25 Capital Letter | 4F @) -- e P Apostrophe 27 Capital Letter |51 Q o . S R Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 123 of 152

] LEI Common Data File format V2.1 @ I_E| S S O T e T = S o O T e S o O e I O T = I e O O = S e O ey S o O T =y R

Sign R e O e S ey O T e S ey O et S e O T e SR e O T = S e o T ey Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 125 of 152

LEI Common Data File format V2.1 ‘@ LE| P restriction of lei:-Tokenized500Type minLength 1 maxLength 500 (\S+(\S+)) & (" [% | &I"INUIN) IN[+], - pattern I.-17101212[3]4|5]|6]|7|8]91:|;|1<|=]>|\?|A[B|CIDI|E|FIG|H[I[J|K]L]| IMIN|O|P|QIR|SITIUIVIWIX]|Y|Z| _|albl|cld]|e|f|glhliljlk]I[m]|n lolplalr|sitiulviw]x]y|z)+) Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 126 of 152

LEI Common Data File format V2.1 3, LE| 2.3.89. Simple Type lei:TransliteratedEntityNameTypeEnum restriction of xs:token Legal name of the entity transliterated to ASCII enumeration PREFERRED_ASCII_TRANSLITERATED_LEGAL_NAME characters, provided by the entity for this purpose. Legal name of the entity transliterated to ASCII enumeration AUTO_ASCII_TRANSLITERATED_LEGAL_NAME characters, auto- transliterated by the managing LOU. Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 127 of 152

LEI Common Data File format V2.1 3, LE| 2.3.90. Complex Type lei:AddressType Attempting to install the relevant ISO 2- and 3-letter . codes as the enumerated possible values is probably union . . - of(xs:language never going to be a realistic possibility. See RFC 3066 at xml:lang restri.ction of "’ optional http://www.ietf.org/rfc/rfc3066.txt and the IANA . registry at http://www.iana.org/assignments/lang-tag- Xs:string) . . . apps.htm for further information. The union allows for the 'un-declaration' of xml:lang with the empty string. Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 128 of 152

LEl Common Data File format V2.1 ; ,LE| 2.3.91. Simple Type lei:RegionCodeType A 4- to 6-character ISO 3166-2 region code of the region. Please note that the XML schema validates for all countrycode values consisting of 2 upper-case Latin letters; some possible combinations may not be valid ISO 3166 entries. restriction of xs:string minLength 4 maxLength 6 pattern ([A-Z]{2}-[A-Z0-9]{1,3}) Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 129 of 152

LEI Common Data File format V2.1 3, LE|

2.3.92. Simple Type lei:CountryCodeType A 2-character country code conforming to ISO 3166-1 alpha-2. Please note that the XML schema validates for all countrycode values consisting of 2 upper-case Latin letters; some possible combinations may not be valid ISO 3166 entries. A current code from the ISO- approved list must be used used. See http://www.iso.org/iso/home/standards/country_codes.htm for more details. restriction of xs:string minLength 2 maxLength 2 pattern ([A-Z]{2})

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Author: GLEIF | Version: FINAL | 2017-03-21 Page 130 of 152

LEI Common Data File format V2.1 %, LEI <xs:element name="AddressNumber" type="lei:Tokenized500Type" minOccurs="0"> </xs:element> <xs:element name="AddressNumberWithinBuilding" type="1lei:Tokenized500Type" minOccurs="0"> </xs:element> <xs:element name="MailRouting" type="lei:Tokenized500Type" minOccurs="0"> </xs:element> <xs:element name="AdditionalAddressLine" type="lei:Tokenized500Type" minOccurs="0" maxOccurs="3"> </xs:element> <xs:element name="City" type="lei:Tokenized500Type"> </xs:element> <xs:element name="Region" type="lei:RegionCodeType" minOccurs="0"> </xs:element> <xs:element name="Country" type="lei:CountryCodeType"> </xs:element> <xs:element name="PostalCode" type="lei:Tokenized500Type" minOccurs="0"> </xs:element> </xs:sequence> <xs:attribute ref="xml:lang" use="optional"> </xs:attribute> </xs:complexType> <xs:complexType name="TransliteratedAddressType'"> <xXs:sequence> <xs:element name="FirstAddressLine" type="lei:TransliteratedStringType"> </xs:element> <xs:element name="AddressNumber" type="lei:TransliteratedStringType" minOccurs="0"> </xs:element> <xs:element name="AddressNumberWithinBuilding" type="lei:TransliteratedStringType" minOccurs="0"> </xs:element> <xs:element name="MailRouting" type="lei:TransliteratedStringType" minOccurs="0"> </xs:element> <xs:element name="AdditionalAddressLine" type="lei:TransliteratedStringType" minOccurs="0" maxOccurs="3"> </xs:element> <xs:element name="City" type="lei:TransliteratedStringType"> </xs:element> Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 14 of 152

LEI Common Data File format V2.1 ‘3, LEI 2.3.93. Complex Type lei:OtherAddressType extension of lei:AddressType Attribute Type Use Annotation Th f hi type lei:AddressTypeEnum required etype o add.ress represented by this OtherAddress Instance. Attempting to install the relevant ISO 2- and 3- letter codes as the enumerated possible values is probably never going to be a realistic nion of(xs:language possibility. See RFC 3066 at union omxs: guage, . http://www.ietf.org/rfc/rfc3066.txt and the xml:lang restriction of optional . xs:string) IANA registry at ) g http://www.iana.org/assignments/lang-tag- apps.htm for further information. The union allows for the 'un-declaration' of xml:lang with the empty string. Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 131 of 152

LEI Common Data File format V2.1 3, LE| 2.3.94. Simple Type lei:AddressTypeEnum restriction of xs:string Registered address of the entity in the legal enumeration ALTERNATIVE_LANGUAGE_LEGAL_ADDRESS Jurisdiction, in an = alternative language used in the legal jurisdiction. Address of the headquarters of the . entity, in an enumeration ALTERNATIVE_LANGUAGE_HEADQUARTERS_ADDRESS . alternative language used in the legal jurisdiction. Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 132 of 152

LEI Common Data File format V2.1 ‘3 LE| N’ 2.3.95. Complex Type lei:TransliteratedOtherAddressType extension of lei:TransliteratedAddressType Attr;but Type Use Annotation tvpe lei:TransliteratedAddressTypeEnu require Type of alternative name for the legal P m d entity. Attempting to install the relevant ISO 2- and 3-letter codes as the enumerated possible values is probably never going to be a realistic possibility. See RFC 3066 at «ml:lan union of(xs:language, restriction optiona http://www.ietf.org/rfc/rfc3066.txt Hang of xs:string) I and the IANA registry at http://www.iana.org/assignments/la ng-tag-apps.htm for further information. The union allows for the 'un-declaration’ of xml:lang with the empty string. Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 133 of 152

LEI Common Data File format V2.1 3, LE| 2.3.96. Complex Type lei:TransliteratedAddressType Attribute Type Use Annotation Attempting to install the relevant ISO 2- and 3-letter union codes as the enumerated possible values is probably of(xs:language never going to be a realistic possibility. See RFC 3066 at xml:lang restri.ctiogn ofg " optional http://www.ietf.org/rfc/rfc3066.txt and the IANA xs:string) registry at http://www.iana.org/assignments/lang-tag- ) g apps.htm for further information. The union allows for the 'un-declaration' of xml:lang with the empty string. Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 134 of 152

LEI Common Data File format V2.1 ‘%, LEI 2.3.97. Simple Type lei:TransliteratedAddressTypeEnum restriction of xs:string Registered address of the entity in the legal jurisdiction, enumeration AUTO_ASCII_TRANSLITERATED_LEGAL_ADDRESS transliterated to ASCII characters, auto- transliterated by the managing LOU. Address of the headquarters of the enumeration AUTO_ASCII_TRANSLITERATED_HEADQUARTERS_ADDRESS entity, transliterated to ASCII characters, auto- transliterated by the managing LOU. Registered address of the entity in the legal jurisdiction, enumeration PREFERRED_ASCII_TRANSLITERATED_LEGAL_ADDRESS transliterated to ASCII characters, provided by the entity for this purpose. Address of the headquarters of the . i enumeration PREFERRED_ASCIl_TRANSLITERATED_HEADQUARTERS_ADDREss i/t transliterated to ASCII characters, provided by the entity for this purpose. Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 135 of 152

LElI Common Data File format V2.1 3y LEI 2.3.98. Simple Type lei:RegistrationAuthorityEnum restriction of xs:string pattern RA\d{6} Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 136 of 152

=" LEI Common Data File format V2.1 B LE 2.3.99. Simple Type lei:JurisdictionCodeType union of(lei:CountryCodeType, lei:RegionCodeType) Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 137 of 152

LEI Common Data File format V2.1 3y LEI 2.3.100. Simple Type lei:EntityCategoryTypeEnum restriction of xs:token enumeration BRANCH The legal entity is a branch of another legal entity. enumeration EUND The Iegal. entity is a fund managed by another legal entity. enumeration SOLE_PROPRIETOR The.legal entltY is an individual acting in a business capacity. Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 138 of 152

LEI Common Data File format V2.1 3, LE| 2.3.101. Simple Type lei:LegalFormEnum Please note that the XML schema validates for all LegalForm values conforming to the ISO 20275 standard (section "Code Structure"); four uppercase alphanumeric characters in any combination except for purely numeric codes. Some possible combinations may not be valid Entity Legal Form (ELF) entries. restriction of xs:string ((IA-z][A-Z0-9]{3}| [A-ZO- 9][A-Z][A-20-9){2}| [A-ZO- tt pattem 91{2}[A-Z][A-20-9] | [A-ZO- 91{3}[A-Z]))[(9999) | (8888) Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 139 of 152

LEI Common Data File format V2.1 S LE

2.3.102. Complex Type lei:AssociatedEntityType

Attribute Type Use Annotation

. . . . The type of association represented

type lei:AssociatedEntityTypeEnum required by this AssociatedEntity instance. Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 140 of 152

] LEI Common Data File format V2.1 @ LEl <xs:element name="Region" type="lei:RegionCodeType" minOccurs="0"> </xs:element> <xs:element name="Country" type="lei:CountryCodeType"> </xs:element> <xs:element name="PostalCode" type="lei:TransliteratedStringType" minOccurs="0"> </xs:element> </xs:sequence> <xs:attribute ref="xml:lang" use="optional"> </xs:attribute> </xs:complexType> <xs:complexType name="AssociatedEntityType"> <xs:choice> <xs:element name="AssociatedLEI" type="lei:LEIType"> </xs:element> <xs:element name="AssociatedEntityName" type="lei:NameType'"> </xs:element> </xs:choice> <xs:attribute name="type" type="lei:AssociatedEntityTypeEnum" use="required"> </xs:attribute> </xs:complexType> <xs:complexType name="RegistrationAuthorityType'"> <xs:sequence> <xs:element name="RegistrationAuthorityID" type="lei:RegistrationAuthorityEnum"> </xs:element> <xs:element name="OtherRegistrationAuthorityID" type="1lei:Tokenized500Type" minOccurs="0"> </xs:element> <xs:element name="RegistrationAuthorityEntityID" type="1lei:Tokenized500Type" minOccurs="0"

</xs:element> </xs:sequence> </xs:complexType> <xs:complexType name="OtherValidationAuthoritiesType"> <xs:sequence> <xs:element name="OtherValidationAuthority" type="lei:ValidationAuthorityType" minOccurs="1" maxOccurs="unbounded"> </xs:element> </xs:sequence> </xs:complexType> <xs:complexType name="ValidationAuthorityType'"> Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 15 of 152

LEI Common Data File format V2.1 B LE

2.3.103. Simple Type lei:AssociatedEntityTypeEnum

restriction of xs:string

enumeration FUND_FAMILY Thg Iegal entity is a fund, and the associated

entity is the manager of the fund.

Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 141 of 152

LEI Common Data File format V2.1 ‘3 LE| N’ 2.3.104. Simple Type lei:EntityStatusEnum restriction of xs:string As of the last report or update, the legal entity enumeration ACTIVE reported that it was legally registered and operating. It has been determined that the entity that was assigned the LEl is no longer legally registered enumeration INACTIVE and/or operating, whether as a result of business closure, acquisition by or merger with another (or new) entity, or determination of illegitimacy. Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 142 of 152

LEI Common Data File format V2.1 ,LE| 2.3.105. Simple Type lei:EntityExpirationReasonEnum restriction of xs:string enumeration DISSOLVED The entity ceased to operate. enumeration CORPORATE ACTION Thg entity was acquired or merged with another - entity. . The reason for expiry is neither of bT1ssoLvED nor enumeration OTHER CORPORATE_ACTTON Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 143 of 152

LEI Common Data File format V2.1 @ LEl \I 2.3.106. Simple Type lei:RegistrationStatusEnum Type restriction of xs:string An application for an LEI that has been enumeration PENDING_VALIDATION submitted and which is being processed and validated. An LEI Registration that has been validated . e ifi . enumeration ISSUED and issued, and Wh'ICh identi |e§ an entity that was an operating legal entity as of the last update. An LEI Registration that has been determined to be a duplicate registration of the same . legal entity as another LEI Registration; the enumeration DUPLICATE DUPLICATE status is assigned to the non- surviving registration (i.e. the LEI that should no longer be used). An LEl registration that has not been Facets enumeration LAPSED renewed by tht.a NextRenewalDate and is not known by public sources to have ceased operation. An LEIl registration for an entity that has been enumeration MERGED mt.arged into ?nother legal er'\tlty, such that this legal entity no longer exists as an operating entity. An LEIl registration for an entity that has enumeration RETIRED ceased operation, without having been merged into another entity. enumeration ANNULLED An LEI reglstrgtlon'that wa's marlfed as erroneous or invalid after it was issued . ion th . enumeration CANCELLED An'LEI registration that was abandoned prior to issuance of an LEI Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 144 of 152

LEI Common Data File format V2.1 ‘3 LE| N’ . An LEl registration that has been transferred enumeration TRANSFERRED " on to a different LOU as the managing LOU. An LEI registration that has been requested enumeration PENDING TRANSFER to be tra.nsfe.rred to another LOU. The. - request is being processed at the sending LOU An LEIl registration is about to be transferred enumeration PENDING_ARCHIvAL '° @ different LOU, after which its - registration status will revert to a non- pending status. Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 145 of 152

LEl Common Data File format V2.1 ‘@ LE| \I 2.3.107. Simple Type lei:ValidationSourcesEnum Type restriction of xs:string The validation of the reference data enumeration PENDING provided by the registrant has not yet occurred. Based on the validation procedures in use by the LOU responsible for the record, the information associated with enumeration ENTITY_SUPPLIED_ONLY this record has significant reliance on the information that a submitter provided due to the unavailability of corroborating information. Based on the validation procedures in use by the LOU responsible for the Facets record, the information supplied by the registrant can be partially corroborated enumeration PARTIALLY_CORROBORATED CY Public authoritative sources, while - some of the record is dependent upon the information that the registrant submitted, either due to conflicts with authoritative information, or due to data unavailability. Based on the validation procedures in use by the LOU responsible for the enumeration FULLY_CORROBORATED ~ccord: there is sufficient information - contained in authoritative public sources to corroborate the information that the submitter has provided for the record. Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 146 of 152

LEI Common Data File format V2.1 3, LE| 2.3.108. Attribute lei:OtherEntityNameType / @type Type of alternative name for the legal entity. lei:EntityNameTypeEnum use required Registered name of the entity in an enumeration ALTERNATIVE_LANGUAGE_LEGAL_NAME >/ 1e"native language in the legal jurisdiction in which the entity is registered. enumeration PREVIOUS_LEGAL_NAME A primary legal name previously - used by this entity. A "trading as", "brand name" or "operating under" name currently enumeration TRADING_OR_OPERATING_NAME used by this entity in addition to, but not replacing, the (primary) legal, official registered name. Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 147 of 152

LEI Common Data File format V2.1 3, LE| 2.3.109. Attribute lei:TransliteratedOtherEntityNameType / @type Type of alternative name for the legal entity. lei:TransliteratedEntityNameTypeEnum use required Legal name of the entity transliterated to ASCII enumeration PREFERRED_ASCII_TRANSLITERATED_LEGAL_NAME characters, provided by the entity for this purpose. Legal name of the entity transliterated to ASCII enumeration AUTO_ASCII_TRANSLITERATED_LEGAL_NAME characters, auto- transliterated by the managing LOU. Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 148 of 152

LEI Common Data File format V2.1 S LE 2.3.110. Attribute lei:OtherAddressType / @type The type of address represented by this otheraddress instance. lei:AddressTypeEnum use required Registered address of the entity in the legal enumeration ALTERNATIVE_LANGUAGE_LEGAL_ADDRESS Jurisdiction, in an - alternative language used in the legal jurisdiction. Address of the headquarters of the . entity, in an enumeration ALTERNATIVE_LANGUAGE_HEADQUARTERS_ADDRESS . alternative language used in the legal jurisdiction. Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 149 of 152

000_00000] LElI Common Data File format V2.1 @ LEl 2.3.111. Attribute lei:TransliteratedOtherAddressType / @type

Type of alternative name for the legal entity.

lei:TransliteratedAddressTypeEnum

use required Registered address of the entity in the legal jurisdiction,

enumeratio transliterate

N AUTO_ASCII_TRANSLITERATED_LEGAL_ADDRESS d to ASCII characters, auto- transliterate d by the managing LOU. Address of the headquarter s of the entity,

enumeratio transliterate

N AUTO_ASCII_TRANSLITERATED_HEADQUARTERS_ADDRESS d to ASCII characters, auto- transliterate d by the managing LOU.

Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 150 of 152

] LEI Common Data File format V2.1 @ LEl <xXs:sequence> <xs:element name="ValidationAuthorityID" type="lei:RegistrationAuthorityEnum"> </xs:element> <xs:element name="OtherValidationAuthorityID" type="1lei:Tokenized500Type" minOccurs="0"> </xs:element> <xs:element name="ValidationAuthorityEntityID" type="1lei:Tokenized500Type" minOccurs="0"

</xs:element> </xs:sequence> </xs:complexType> <xs:simpleType name="JurisdictionCodeType"> <xs:union memberTypes="1lei:CountryCodeType lei:RegionCodeType"/> </xs:simpleType> <xs:complexType name="OtherAddressType"> <xs:complexContent> <xs:extension base="lei:AddressType"> <xs:attribute name="type" type="lei:AddressTypeEnum" use="required"> </xs:attribute> </xs:extension> </xs:complexContent> </xs:complexType> <xs:complexType name="OtherAddressesType'"> <xXs:sequence> <xs:element name="OtherAddress" type="lei:OtherAddressType" maxOccurs="unbounded" </xs:element> </xs:sequence> </xs:complexType> <xs:complexType name="TransliteratedOtherAddressesType'"> <xXs:sequence> <xs:element name="TransliteratedOtherAddress" type="lei:TransliteratedOtherAddressType" maxOccurs="unbounded"> </xs:element> </xs:sequence> </xs:complexType> Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 16 of 152
000_00000] . ="

LElI Common Data File format V2.1 3 LEl Registered address of the entity in the legal

enumeratio jurisdiction,

N PREFERRED_ASCII_TRANSLITERATED_LEGAL_ADDRESS transliterate d to ASCII characters, provided by the entity for this purpose. Address of the headquarter s of the

enumeratio PREFERRED_ASCII_TRANSLITERATED_HEADQUARTERS_ADDRE entlty.,

N ss transliterate d to ASCII characters, provided by the entity for this purpose.

Public

Author: GLEIF | Version: FINAL | 2017-03-21 Page 151 of 152

LEI Common Data File format V2.1 ,LE| 2.3.112. Attribute lei:AssociatedEntityType / @type The type of association represented by this AssociatedEntity instance. lei:AssociatedEntityTypeEnum use required enumeration EUND EAMILY Thg Iegal entity is a fund, and the associated - entity is the manager of the fund. Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 152 of 152

] LEI Common Data File format V2.1 @ LEl <xs:complexType name="TransliteratedOtherAddressType"> <xs:complexContent> <xs:extension base="lei:TransliteratedAddressType"> <xs:attribute name="type" type="lei:TransliteratedAddressTypeEnum" use="required"

</xs:attribute> </xs:extension> </xs:complexContent> </xs:complexType> <xs:complexType name="OtherEntityNamesType"> <xXs:sequence> <xs:element name="OtherEntityName" type="lei:OtherEntityNameType" maxOccurs="unbounded" </xs:element> </xs:sequence> </xs:complexType> <xs:complexType name="TransliteratedOtherEntityNamesType"> <xXs:sequence> <xs:element name="TransliteratedOtherEntityName" type="lei:TransliteratedOtherEntityNameType" maxOccurs="unbounded" /> </xs:sequence> </xs:complexType> <xs:complexType name="OtherEntityNameType"> <xs:complexContent> <xs:extension base="lei:NameType'"> <xs:attribute name="type" type="lei:EntityNameTypeEnum" use="required"> </xs:attribute> </xs:extension> </xs:complexContent> </xs:complexType> <xs:complexType name="SuccessorEntityType"> Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 17 of 152

] LEI Common Data File format V2.1 @ LEl <xs:choice> <xs:element name="SuccessorLEI" type="lei:LEIType"> </xs:element> <xs:element name="SuccessorEntityName" type="lei:NameType"> </xs:element> </xs:choice> </xs:complexType> <xs:simpleType name="CountryCodeType"> <xs:restriction base="xs:string"> <xs:minLength value="2"/> <xs:maxLength value="2"/> <xs:pattern value="([A-Z]{2})"/> </xs:restriction> </xs:simpleType> <xs:simpleType name="RegionCodeType'"> <xs:restriction base="xs:string"> <xs:minLength value="4"/> <xs:maxLength value="6"/> <xs:pattern value="([A-Z]{2}-[RA-Z0-9]1{1,3})"/> </xs:restriction> </xs:simpleType> <xs:simpleType name="LEIType'"> <xs:restriction base="xs:string"> <xs:minLength value="20"/> <xs:maxLength value="20"/> <xs:pattern value="([0-9A-Z]{18}[0-9]1{2})"/> </xs:restriction> </xs:simpleType> <xs:simpleType name="Tokenized500Type"> <xs:restriction base="xs:string"> <xs:maxLength value="500"/> <xs:minLength value="1"/> <xs:pattern value="\S+( \S+)*"/> Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 18 of 152

LEI Common Data File format V2.1 3' LEl </xs:restriction> </xs:simpleType> <xs:simpleType name="FileContentEnum"> <xs:restriction base="xs:string"> <xs:enumeration value="LOU FULL PUBLISHED"> </xs:enumeration> <xs:enumeration value="LOU DELTA PUBLISHED"> </xs:enumeration> <xs:enumeration value="GLEIF FULL PUBLISHED"> </xs:enumeration> <xs:enumeration value="GLEIF DELTA PUBLISHED"> </xs:enumeration> <xs:enumeration value="QUERY RESPONSE"> </xs:enumeration> </xs:restriction> </xs:simpleType> <xs:simpleType name="RegistrationAuthorityEnum'"> <xs:restriction base="xs:string"> <xs:pattern value="RA\d{6}"/> </xs:restriction> </xs:simpleType> <xs:simpleType name="EntityCategoryTypeEnum"> <xs:restriction base="xs:token"> <xXs:enumeration value="BRANCH"> </xs:enumeration> <xXs:enumeration value="FUND"> </xs:enumeration> <xs:enumeration value="SOLE PROPRIETOR"> </xs:enumeration> </xs:restriction> </xs:simpleType> <xs:complexType name="LegalFormType"> <xs:sequence> <xs:element name="EntityLegalFormCode" type="lei:LegalFormEnum"> </xs:element> <xs:element name="OtherLegalForm" type="lei:Tokenized500Type" minOccurs="0"> </xs:element> </xs:sequence> Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 19 of 152

LEI Common Data File format V2.1 3' LE| </xs:complexType> <xs:simpleType name="LegalFormEnum'"> <xs:restriction base="xs:string"> <xs:pattern value="([A-Z] [A-Z0-9] {3} | [A-Z20-9] [A-Z] [A-Z0-9] {2} | [A-Z0-9] {2} [A~ Z]1 [A-20-9]1| [A-20-9]1 {3} [A-Z2])"/> <xs:pattern value="9999"/> <xs:pattern value="8888"/> </xs:restriction> </xs:simpleType> <xs:simpleType name="EntityNameTypeEnum'"> <xs:restriction base="xs:string"> <xs:enumeration value="ALTERNATIVE LANGUAGE LEGAL_ NAME"> </xs:enumeration> <xs:enumeration value="PREVIOUS LEGAL NAME"> </xs:enumeration> <xs:enumeration value="TRADING OR OPERATING NAME"> </xs:enumeration> </xs:restriction> </xs:simpleType> <xs:simpleType name="AddressTypeEnum"> <xs:restriction base="xs:string"> <xs:enumeration value="ALTERNATIVE LANGUAGE LEGAL ADDRESS"> </xs:enumeration> <xs:enumeration value="ALTERNATIVE LANGUAGE HEADQUARTERS ADDRESS"> </xs:enumeration> </xs:restriction> </xs:simpleType> <xs:simpleType name="TransliteratedAddressTypeEnum"> <xs:restriction base="xs:string"> Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 20 of 152

]

LEI Common Data File format V2.1 @ I_E| 2.3.5. Element lei:LEIHeaderType / 1ei:FileCONTENT......c..eevviieecciie ettt se e eree e eeee s 38 2.3.6. Element lei:LEIHeaderType / lei:DeltaStart ........ccccevieeeceeeesieerceee e eecesivie e eeste s seree e eeeeeeee 39 2.3.7. Element lei:LEIHeaderType / lei:RecordCount .........ccceeecveeeiiiieiccieeecieccsivieeeeeesvneessnee e eeneennn 40 2.3.8. Element lei:LEIHeaderType / Iei:NeXtVersion........cccccceeeceeeiciieeeceee e eceeeeeieeessine e seeesneneanen 41 2.3.9. Element lei:LEIHeaderType / Iei:EXtENSION .....ccccviieciie et sie e rae e sve e nnne e 82 2.3.10. Element lei:LEIData / |€i:LEIRECOIS .....vvveveeiiieiiiiiieeiietiee e eeevierveee e e ee e e s ssnnenneneeee 43 2.3.11. Element lei:LEIRecordsType / 1€i:LEIRECOId .......oeeceeeeviiiceeie et 84 2.3.12. Element lei:LEIRecordsType / 1ei:EXtENSION.......ueeiciee et ettt rvee e eeeeesene e 45 2.3.13. Element lei:LEIRECOrdTYPE / I€I:LEl ...cccvvieeie ettt stte s srae e eene e B0 2.3.14. Element lei:LEIRecordType / [€1:ENtity.....cccceeeceeiiiie ettt e sree e eene e B 2.3.15. Element lei:EntityType / lei:LegalName.......ccccccuviieiiee et eree e 48 2.3.16. Element lei:EntityType / lei:OtherEntityNames.......ccccccveeevieercceee e eevee e 49 2.3.17. Element lei:OtherEntityNamesType / lei:OtherEntityName..........cccceevvveecceeeesiieeeeceeeeenenn 50 2.3.18. Element lei:EntityType / lei:TransliteratedOtherEntityNames ........ccccccecevveeeeeccveeeceeceeneeenn 51 2.3.19. Element lei:TransliteratedOtherEntityNamesType / lei:TransliteratedOtherEntityName ....52 2.3.20. Element lei:EntityType / 1ei:LegalAddress ........ccceevieeceeieiciecceeeestieecreeeeeeesstae e eeeesseaeaeees D3 2.3.21. Element lei:AddressType / lei:FirstAddressLing ........cccccveeecveeeciireiiieeeceieeesieeeeeessvveasveeenns D4 2.3.22. Element lei:AddressType / lei:AddressNUMbBETr.........cccccveiiiieeeieiescieeccreee e esstee e eeeessiae e DD 2.3.23. Element lei:AddressType / lei:AddressNumberWithinBuilding ...........cccccooeeeeeeeiieeeecciinen.n.. 56 2.3.24. Element lei:AddressType / 1€i:MailROUTING ......c..ceevieeeciieiiieeceee e esivee e e svte e ssvaeeseeeaeees D7 2.3.25. Element lei:AddressType / lei:Additional AddressLing.........cccceeeeeeevieeececcieeeeccciieeeeeeciiieee e 38 2.3.26. Element lei:AddressType / 1€1:City ... .cciviiiiiciee ettt ee s s stv e eveeestte s sraeesvneaenes DO 2.3.27. Element lei:AddressType / 18i1:REZION ......cccuveeecieeiicie et svvee e e srte e srae e

eeeeeenns B0 2.3.28. Element lei:AddressType / 1€1:COUNTIY .....cccvieiiieeciie et eeeectie e sve e e s srae s eeeeesseaeenns O 2.3.29. Element lei:AddressType / 1€i:POStalCode .......ccuuiiivieecciieiiie e rtae e ee e seae s B2 2.3.30. Element lei:EntityType / lei:HeadquartersAddress........cccceeeveeeeeeeceveeeeeecceieeeeeceeeeeeeeeeneeeennn 63 2.3.31. Element lei:EntityType / 1€i:0therAddresses......cccvvieiiieecceieceieessree e e esite e eeeeestveaseeeeenns B4 2.3.32. Element lei:OtherAddressesType / |ei:0therAddress.........ccceeecceeesiieecciveeeceeessieeeeeeessiee e 65 2.3.33. Element lei:EntityType / lei:TransliteratedOtherAddresses .......ccccoveeeeeecveeeeccciveeeececvvveeen... 66 2.3.34. Element lei:TransliteratedOtherAddressesType / lei:TransliteratedOtherAddress...............67 2.3.35. Element lei:TransliteratedAddressType / lei:FirstAddressLine........cccccccvveeeveeeiiieeccceeeeeenenn.. 69 2.3.36. Element lei:TransliteratedAddressType / lei:AddressNumber ..........cccccveeeceveeviieecccveeeennnn. 70 2.3.37. Element lei:TransliteratedAddressType / lei:AddressNumberWithinBuilding ...................... 71

Public

Author: GLEIF | Version: FINAL | 2017-03-21 Page 3 of 152

LEI Common Data File format V2.1 3' LE| <xs:enumeration value="AUTO ASCII TRANSLITERATED LEGAL ADDRESS"> </xs:enumeration> <xs:enumeration Value="AUTO_ASCI I TRANSLITERATED HEADQUARTERS ADDRESS "> </xs:enumeration> <xs:enumeration value="PREFERRED ASCII TRANSLITERATED LEGAL ADDRESS"> </xs:enumeration> <xs:enumeration value="PRE FERRED ASCI I_TRANSLITERATED_HEADQUARTERS_ADDRESS"> </xs:enumeration> </xs:restriction> </xs:simpleType> <xs:simpleType name="AssociatedEntityTypeEnum'"> <xs:restriction base="xs:string"> <xs:enumeration value="FUND FAMILY"> </xs:enumeration> </xs:restriction> </xs:simpleType> <xs:simpleType name="EntityStatusEnum"> <xs:restriction base="xs:string"> <xXs:enumeration value="ACTIVE"> </xs:enumeration> <xXs:enumeration value="INACTIVE"> </xXs:enumeration> </xs:restriction> </xs:simpleType> <xs:simpleType name="EntityExpirationReasonEnum'"> <xs:restriction base="xs:string"> <xXs:enumeration value="DISSOLVED"> </xs:enumeration> <xs:enumeration value="CORPORATE ACTION"> </xs:enumeration> <xXs:enumeration value="OTHER"> </xs:enumeration> Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 21 of 152

] LEI Common Data File format V2.1 @ LEl </xs:restriction> </xs:simpleType> <xs:simpleType name="RegistrationStatusEnum"> <xs:restriction base="xs:string"> <xs:enumeration value="PENDING VALIDATION"> </xs:enumeration> <xs:enumeration value="ISSUED"> </xs:enumeration> <xs:enumeration value="DUPLICATE"> </xs:enumeration> <xs:enumeration value="LAPSED"> </xs:enumeration> <xs:enumeration value="MERGED"> </xs:enumeration> <xs:enumeration value="RETIRED"> </xs:enumeration> <xs:enumeration value="ANNULLED"> </xs:enumeration> <xs:enumeration value="CANCELLED"> </xs:enumeration> <xs:enumeration value="TRANSFERRED"> </xs:enumeration> <xs:enumeration value="PENDING TRANSFER"> </xs:enumeration> <xs:enumeration value="PENDING ARCHIVAL"> </xs:enumeration> </xs:restriction> </xs:simpleType> <xs:simpleType name="ValidationSourcesEnum"> <xs:restriction base="xs:string"> <xs:enumeration value="PENDING"> </xs:enumeration> <xs:enumeration value="ENTITY SUPPLIED ONLY"> </xs:enumeration> <xs:enumeration value="PARTIALLY CORROBORATED"> </xs:enumeration> <xs:enumeration value="FULLY CORROBORATED"> </xs:enumeration> </xs:restriction> </xs:simpleType> <xs:complexType name="NameType'"> <xs:simpleContent> <xs:extension base="lei:Tokenized500Type"> <xs:attribute ref="xml:lang" use="optional"> </xs:attribute> </xs:extension> </xs:simpleContent> </xs:complexType> <xs:simpleType name="TransliteratedStringType'"> Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 22 of 152

</xs:attribute> </xs:extension> </xs:complexContent> </xs:complexType> <xs:simpleType name="TransliteratedEntityNameTypeEnum'"> <xs:restriction base="xs:token"> <xs:enumeration value="PREFERRED ASCII TRANSLITERATED LEGAL NAME"> </xs:enumeration> <xs:enumeration value="AUTO ASCII TRANSLITERATED LEGAL NAME"> </xs:enumeration> </xs:restriction> </xs:simpleType> <xs:complexType name="TransliteratedNameType"> <xs:simpleContent> <xs:extension base="lei:TransliteratedStringType"> <xs:attribute ref="xml:lang" use="optional"> </xs:attribute> </xs:extension> </xs:simpleContent> </xs:complexType> <xs:simpleType name="LEIDateTimeProfile'"> <xs:restriction base="xs:dateTime"> <xs:pattern Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 23 of 152

LEI Common Data File format V2.1 ‘6' LEl value=" ([".I| ([.I(. ((\d){1,3})){0,1})) (ZI+([01]1[0-9]]2[0- 3]): ([0-5]100-9]) |- ([01][0-9]|2[0-3]): ([0-5][0-9]))" /> </xs:restriction> </xs:simpleType> </xs:schema> 1.7. Release Notes 1.7.1. Version 2.1 ® Cardinality changes: OtherValidationAuthority was {0,1} andisnow {1,1}. * Corrections / Bug fixes: = Missing Extension added (back) to LETHeader. = New or changed elements: = Additional optional Extension added to LEIRecords. = Documentation notes: * Replaced "RACL" by "RAL" in documentation. * Replaced "Registration Authorities Code List" by "Registration Authorities List" in documentation. Version 2.0 ® Cardinality changes: " Header wWas {0,1} andisnow {1,1}. " ContentDate was {0,1} andisnow {1,1}. " FileContent was {0,1} andisnow {1,1}. " RecordCount wWas {0,1} andisnow {1,1}. = New or changed elements: = Added otherRegistrationAuthorityID element to capture interim free-text registration authority information in the process of transition to a RAL entry. * Added otherLegalForm element to capture interim free-text legal form information in the process of transition to an ELF standard code. Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 24 of 152

] LEI Common Data File format V2.1 @ I_E| = Added TransliteratedotherEntityNames and TransliteratedOtherAddresses. These contain the name and address types dealing with transliteration, and their character content is now validated by the XML schema.

= Added EntityCategory.

= AddedvalidationAuthority

= Added othervalidationAuthorities.

u BusinessRegisterEntityIDrepbcedbyRegistrationAuthority

" Token500Type replaced by Tokenized500Type, has minimum length of one character and may not contain any of: the carriage return (#xD), line feed (#xA) nor tab (#x9) characters, shall not begin or end with a space (#x20) character, or a sequence of two or more adjacent space characters.

= All elements in the 1ei: namespace with base datatype xs:dateTime now strictly validate according to the LEIDateTimeProfile datatype. This enforces the restrictions specified in the LEI-CDF V1.0 documentation.

= Added optional addressNumber.

Added optional rddressNumberWithinBuilding.

= Added optional MailRouting address field; an optional free text address line to hold content from other address lines containing explicit routing information (presence indicates that this address is a routing / "care of" address).

" Replaced Linel by FirstAaddressLine and Line2 etc. by AdditionalAddressLine. The order of the content of these elements follows the order specified by the XML representation.

= The value of Recordcount can now only be equal to or greater than zero.

= New or changed attributes:

® Updated xm1:1ang to specify use of the latest RFC from IETF BCP 47 (previously RFC

4646; now RFC 5646 at last schema update). * New or changed enumerated values:

Following enumerations now validate strongly (only the specified values are allowed at a schema validation level; one element with a non-standard value cause the whole LEI data to fail validation): ® FileContentEnum.

" EntityStatusEnum. " EntityExpirationReasonEnum. ® RegistrationStatusEnum. ¥ EntityNameTypeEnumn. " AddressTypeEnum. " AssocilatedEntityTypeEnumn. ® vValidationSourcesEnum. Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 25 of 152

LEI Common Data File format V2.1 ‘@, LE| * Following enumeration elements now validate by format (only values with the correct pattern of characters are accepted; conversely, however, some schema-valid character combinations may not be registered allowed values): " RegistrationAuthority. " LegalForm. " BusinessRegisterEnum replaced by RegistrationAuthorityEnum. " COU DELTA PUBLISHED replaced by GLEIF DELTA PUBLISHED. " COU_FULL PUBLISHED replaced by GLEIF FULL PUBLISHED. * OTHER_LEGAL replaced by ALTERNATIVE LANGUAGE LEGAL NAME. * Added PREVIOUS LEGAL NAME OtherEntityName type. * Added TRADING OR OPERATING NAME OtherEntityName type. = Added TransliteratedOtherEntityNames types: PREFERRED ASCII TRANSLITERATED LEGAL NAME, AUTO ASCII TRANSLITERATED LEGAL NAME. = Added TransliteratedotherAddress types: AUTO ASCII TRANSLITERATED LEGAL ADDRESS, AUTO ASCII TRANSLITERATED HEADQUARTERS ADDRESS, PREFERRED ASCII TRANSLITERATED LEGAIL ADDRESS, PREFERRED ASCII TRANSLITERATED HEADQUARTERS ADDRESS. = Documentation notes: = Replaced "pre-LOU" by "LOU" in documentation. = Renamed all enumeration elements, updating suffix "Enum1. 0" to "Enum", indicating that these are the definitive enumerated values. 1.7.3. Version 1.0 The first release. Please find the published specification of LEI-CDF V1.0 at https://www.gleif.org/content/2-about-lei/5-common-data-file-format/lou-20140620.pdf 1.8. Change Management Changes to this standard that affect the data schema SHALL be made by approval and publication of a new version of this document. A new version SHALL be one of the following: 1.8.1. Errata Version An errata version makes corrections to the normative content of the standard (excluding corrections which would change the data schema) and/or makes changes to non-normative content such as explanatory material. An errata version does not change the XML schema definitions, only the documentation parts, and so does not affect the interoperability of Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 26 of 152

LEI Common Data File format V2.1 ‘@ LE| ~?

systems implementing the standard. An errata version is indicated by incrementing the third version number; e.g., 1.0t0 1.0.1, or 1.0.1 to 1.0.2. 1.8.2. Minor Version A minor version may include all changes permitted in an errata version, and in addition adds one or more data elements and/or adds one or more codes to a code list (“enum” data type). A minor version changes the XML schema. Minor version changes to schema MUST provide for forward and backward compatibility. This allows existing implementations to continue to interoperate even if they are using different minor versions. A minor version is indicated by incrementing the second version number; e.g., 1.0to 1.1 or 1.1.3 to 1.2. 1.8.3. Major Version A major version may make any change at all, including incompatible changes to the XML schema. Major version changes to schema require that the new version uses a different XML namespace. This requires existing implementations to separately understand both the old and new versions during a period of transition. A major version is indicated by incrementing the first version number; e.g., 1.1 to 2.0. The release of a new minor or major version shall always be accompanied by a transition plan for LOUs and GLEIF, to ensure a smooth and time-bounded migration to the new version. 1.8.4. Minor Version Changes to the XML Schema A minor version may introduce new XML elements and/or adds one or more codes to a code list (“enum” data type). Minor version changes to schema SHALL be made as specified below, in order to achieve forward and backward compatibility. Forward compatibility means that an LEI Data File which is valid according to the older version’s schema is also valid according to the newer version’s schema. Backward compatibility means that an LEI Data File which is valid according to the newer version’s schema is also valid according to the older version’s schema. New data elements may be added at pre-defined extension points within the schema, each with an optional XML element NextVersion. New data elements are always added within a

Public

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] LEI Common Data File format V2.1 @ LEl

NextVersion element. When a minor version adds a new data element to a Nextversion

element, a new Nextversion element is also added inside the previously added

NextVersion element, to accommodate additional data elements in subsequent minor

versions. Each successive NextVersion element set is contained directly within the previous

minor version's NextVersion set.

As can be seen from the full XML schema presented here, the following rules SHALL be

observed to ensure forward and backward compatibility:

= The initial XSD declaration for a Nextversion element SHALL use the element name "NextVersion", XML data type "lei:NextVersion1Type" and cardinality optional, unique {0,1}. The XML data type allows a sequence of any elements, each of cardinality optional, repeatable (unbounded) and with lax content processing, but in the target namespace.

= The minOccurs declaration on the Nextversion element allows it to be omitted in files conforming to the first minor version. The schema wildcard xsd:any allows for forward compatibility: a file conforming to a new minor version still validates in the old version because the wildcard matches any new elements introduced in the new minor version.

New elements SHALL be introduced in a subsequent minor version by modifying the declaration for the above type declaration as follows:
Asequence of the new elements introduced in the previous version.

" Asubsequent NextversionN element where N is an index number starting at 1 and incremented by 1 with each minor version.

Each new element SHALL be declared minOccurs="0", to ensure backward compatibility: a file conforming to the old version still validates in the new version because the new schema does not require the presence of elements not defined in the old version. If a new element is mandatory for conformance to the new version, this MUST be enforced outside schema validation.

= The new definition of the Nextversion element SHALL include a declaration of an inner NextVersion element, as illustrated above, to provide for additional elements in subsequent minor versions. The nesting of Nextversion elements is required to satisfy the “unique particle attribution” constraint of XSD 1.0.

Each code list (Enum types) is implemented in the XML schema simply as the XSD string data type. This provides for forward compatibility because the schema for an older minor version will validate any string, including codes defined in

newer minor versions. The schema for each minor version includes the list of valid codes for that minor version as a documentation annotation to the type declaration for each Enum type.

1.8.5. Major Version Changes to the XML Schema

A major version may make any change to the XML schema whatsoever, including

incompatible changes.

A schema introduced in a new major version SHALL use an XML namespace URI that is

different from the XML namespace URI defined in any other major version of this standard.

Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 28 of 152

LEI Common Data File format V2.1 ‘@ LE| \I The namespace URI for a new major version SHOULD be the same as the namespace URI specified in this standard, with the year at the end changed to the year in which the new major version is introduced. If more than one major version is introduced in the same year, a letter “a”, “b”, “c”, etc., may be appended to the year as needed. A new major version MUST be accompanied by an implementation plan which explains how implementations will make the transition from the old major version to the new major version. Generally speaking, such a plan typically provides for a period of transition in which an implementation capable of receiving the new major version is required to also receive the old major version. 2. Abstract Data Content This section specifies the abstract data content of a data file conforming to this standard. A data file conforming to this standard SHALL consist of: = An LEIHeader. = Zero or more LElI Data Records. © [] lei:LEIData o . . @ o 2.1. LEI File Header The LEI File Header describes the context for the LEI Data Records contained in the main body of the file. The header exists to answer such questions as where the data came from, when it was collected into this file, etc. The content of the header SHALL NOT be required to interpret the data content of any LEI Data Record; each LEI Data Record is self-contained. Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 29 of 152

LEI Common Data File format V2.1 ‘3 LE| N’ (Contemwate ) (Type [ leitEateTmeprofie ) Originator ® Type | lei:LEIType FileContent | (Type [1eiFieConentenum ) DeltaStart o Type | lei:LEIDateTimeProfile © (Type [ xs monNegativeinteger ) NextVersion ® Type | lei:LEIHeaderNextVersionType Extension @ Type | lei:ExtensionType 2.2. LEI Data Record An LEI Data Record describes a single LEI registration. Each LEI Data record in a file conforming to this standard SHALL include data elements as described below: ® [ ] lei:LEIRecordType R S (Type | lei-LEType © © & © NextVersion ® Type | lei:LEIRecordNextVersionType Extension ® Type | lei:ExtensionType 2.2.1. LEI The I1SO 17442-compliant LEI of the legal entity described by this LElI Data Record. The LEl is assigned by the LOU. A value of type LEIType in a file conforming to this standard SHALL be a 20-character Legal Entity Identifier conforming to ISO 17422. Conformance to 1SO17442 includes having correct check digits. Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 30 of 152

]

LEI Common Data File format V2.1 @ I_E| 2.3.38. Element lei:TransliteratedAddressType / lei:MailRoUting........ccccevcvveevciveeccereicie e eiie e 72 2.3.39. Element lei:TransliteratedAddressType / lei:AdditionalAddressLine .........cccccevveeecveeennnnn. 73 2.3.40. Element lei:TransliteratedAddressType / 1€i:City ..cceevviieecceiecieeeeee e e, 74 2.3.41. Element lei:TransliteratedAddressType / I€i:REgION ......ccoevvveeeeeeciieeiieieceeecvie e eeee e 75 2.3.42. Element lei:TransliteratedAddressType / 1ei:CouNtry ........ccceeeeveeeciieisiieeceee e eereeeeieenn 70 2.3.43. Element lei:TransliteratedAddressType / lei:PostalCode .......cccceeecuveeevivieeceeeesieececeeeeeennnnn 77 2.3.44. Element lei:EntityType / lei:RegistrationAuthority.........ccccevveeeeiciiiieee e 78 2.3.45. Element lei:RegistrationAuthorityType / lei:RegistrationAuthorityID ........cc.cccccvveeecrveeenen. 79 2.3.46. Element lei:RegistrationAuthorityType / lei:OtherRegistrationAuthorityID.......................... 80 2.3.47. Element lei:RegistrationAuthorityType / lei:RegistrationAuthorityEntityID.......................... 81 2.3.48. Element lei:EntityType / lei:LegalJurisdiCtion .........ccccecceieiiiieecceee e 82 2.3.49. Element lei:EntityType / 1ei:EntityCategOry....cccuiiivie e cctie et sste et rrae e e seee e 83 2.3.50. Element lei:EntityType / 1€i:LegalFOrm .......cccoovvieeceie et s O 2.3.51. Element lei:LegalFormType / lei:EntityLegalFormCode.......cc.c..cceecvvreieecicieeeeccciieeceeceeee e 85 2.3.52. Element lei:LegalFormType / lei:OtherLegalForm ........cccceeviieecciieccieeeccrie et e, 80 2.3.53. Element lei:EntityType / lei:AssoCiatedENtity.......ccccvveecieeiiiiciceie e eree e 87 2.3.54. Element lei:AssociatedEntityType / lei:AssociatedLEl .........cccccceveeeeiiiiiiieeceeesieeeceee e, 88 2.3.55. Element lei:AssociatedEntityType / lei:AssociatedEntityName.........ccccceeveeeeeecineeeececiinee.n.. 89 2.3.56. Element lei:EntityType / 1ei:EntityStatus ...ccceeeevieieiieeciee e eeeeesite e enee e eeeeeee 90 2.3.57. Element lei:EntityType / lei:EntityExpirationDate .......c.ccccececvveeeeecivieeeeeceie e eeeeeee e 91 2.3.58. Element lei:EntityType / lei:EntityEXpiratioNREASON ........coeevveiieeciiieeeceie e eeeee e 92 2.3.59. Element lei:EntityType / 1€i:SUCCESSOrENLILY ..occccvviieiiiiie e eeeee e 93 2.3.60. Element lei:SuccessorEntityType / 1€i:SUCCeSSOILEl ........cccovveecuriiiiivieeceececie e eceeeeciie e ennn. 94 2.3.61. Element lei:SuccessorEntityType / lei:SuccessorE

ntityName.......ccccceeeeeccvveeeeecceeeececccieee e 95 2.3.62. Element lei:EntityType / 1ei:NeXTVErsioN .......ccccviiiiieeceie et e stvee e stte s srae e eene e 90 2.3.63. Element lei:LEIRecordType / [ei:Registration .........cccceeceeeeeiiieicciee e csirie e eevee e eneeeen 97 2.3.64. Element lei:RegistrationType / lei:InitialRegistrationDate ........c.ccccovvrevveeecceeeesiieeeccree e, 98 2.3.65. Element lei:RegistrationType / lei:LastUpdateDate ........cccccvvevceeeeciieensiiie e e eeeee e 99 2.3.66. Element lei:RegistrationType / lei:RegistrationStatus........cccceeeeeecivreeecccciieeeeecciieeeeceeee.... 100 2.3.67. Element lei:RegistrationType / lei:NextRenewalDate ........cccccccveeviieercrreescieecsieeeeeee e 102 2.3.68. Element lei:RegistrationType / lei:ManagingLOU.........ccccevvveeeceeesciieeciceeeeieeecsieeeeeeee e 103 2.3.69. Element lei:RegistrationType / lei:ValidationSources.........c.cccccovevvveeccceeessieeecceeeesieaneen... 104 2.3.70. Element lei:RegistrationType / lei:ValidationAuthority.........ccccocevviieiiiiecciiiciie e 105

Public

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LEI Common Data File format V2.1 ‘%' LEl 2.2.2. Entity Attributes describing the legal entity itself. The Entity data is supplied by the legal entity, and recorded and published by the LOU. © [] lei:EntityType © OtherEntityNames ® Type | lei:OtherEntityNamesType TransliteratedOtherEntityNames ® Type | lei:TransliteratedOtherEntityNamesType o o OtherAddresses ® . Type | lei:OtherAddressesType © [] lei:AddressType TransliteratedOtherAddresses ® ® @ Attributes Type | lei:TransliteratedOtherAddressesType R, . (Frdgresstine ) Type [ leiRegistrationAuthorityType | @ 5 Legaljurisdiction ® AddressNumber ® Type | leijJurisdictionCodeType Type | lei:Tokenized500Type EntityCategory ® AddressNumberWithinBuilding B Cemie TType [ leiTokenizeds00Type | LegalForm ® Type | lei:LegalFormType MailRouting ® Type | lei:Tokenized500Type AssociatedEntity ® Type | lei:AssociatedEntity Type o 0..3 | AdditionalAddressLine ® Type | lei:Tokenized500Type (Evsaws o | (ciy ] ® Enivraiondme | Type | lei:LEIDateTimeProfile Region ® EntityExpirationReason ® Type | lei:RegionCodeType Type | lei:EntityExpirationReasonEnum o ey (Type | lei:CountryCodeType ) Sl wSocsssortntiyiyss) O Type | leizCountryCodeType NextVersion ® PostalCode ® Type | lei:EntityNextVersionType Type | lei:Tokenized500Type Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 31 of 152

LEI Common Data File format V2.1 ‘3 LEl N’ 2.2.3. Registration Attributes describing the registration of this LEI with an LOU. The Registration datais maintained by the LOU. © [ ] lei:RegistrationType o o o o © ® &) aype [eitermype ValidationSources ® Type | lei:ValidationSourcesEnum ValidationAuthority ® Type | lei:ValidationAuthorityType OtherValidationAuthorities ® Type | lei:OtherValidationAuthoritiesType NextVersion ® Type | lei:RegistrationNextVersionType 2.2.4. Extension The optional Extension section of an LEI record may be used to include additional data not defined in this standard. This may include data specific to an LOU, data specific to a publisher of LE|l data, and so on. For example, an LOU may use Extension to publish additional data elements it collects as part of registration. The following rules MUST be observed: Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 32 of 152

] LEI Common Data File format V2.1 @ LEl

e Each XML element included in the content of the Extension element SHALL be in an XML namespace that is not null and not equal to the XML namespace of the LEI Data File as specified in this standard.

e The XML namespace for an Extension element SHALL be a namespace which the creator of the extension element exclusively or jointly controls, or from which the creator re-uses existing elements and their definitions, e.g. a namespace derived from the Internet Domain Name of the creator, a namespace agreed upon by a group of trading partners, etc.

e AnExtension element SHALL NOT be defined in such a way as to require the recipient of the file to recognize the Extension element in order to interpret the data elements specified in this standard. A recipient of the file MUST be able to ignore all Extension elements and still interpret the standard content correctly.

e Arecipient of a data file conforming to this standard SHALL NOT reject a file solely because it contains extensions not understood by the recipient. A recipient MUST be prepared to accept a file containing extensions and ignore any it does not understand, provided that the file complies to this standard.

2.3. Data Element Reference

On the following pages, the data elements, attributes and datatypes are listed, one per page. Public

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LEI Common Data File format V2.1 ‘% LE| N 2.3.1. Element lei:LEIData Contains the file structure for the whole LEI data records file as specified in the XML datatypes below. lei:LEIData content complex <lei:LEIData xmlns:lei="http://www.gleif.org/data/schema/leidata/2016"> <lei:LEIHeader>{1l,1}</lei:LEIHeader> <lei:LEIRecords>{1,1}</lei:LEIRecords> </lei:LEIData> Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 34 of 152

LEI Common Data File format V2.1 ‘; 3' LEl 2.3.2. Element lei:LEIData / lei:LEIHeader Contains the file upload information for this LEI data file. lei:LEIHeaderType content complex <lei:LEIHeader xmlns:lei="http://www.gleif.org/data/schema/leidata/2016"> <lei:ContentDate>{1,1}</lei:ContentDate> <lei:Originator>{0,1}</lei:Originator> <lei:FileContent>{1,1}</lei:FileContent> <lei:DeltaStart>{0,1}</lei:DeltaStart> <lei:RecordCount>{1,1}</lei:RecordCount> <lei:NextVersion>{0,1}</lei:NextVersion> <lei:Extension>{0,1}</lei:Extension> </lei:LEIHeader> Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 35 of 152

LEl Common Data File format V2.1 ‘; 3' LEl 2.3.3. Element lei:LEIHeaderType / lei:ContentDate The date and time as of which the data contained in the file is valid. lei:LEIDateTimeProfile content simple (AM\T* HIANT*(((\d){1,31){0,1}))(Z] +([01][O- pattern 9]|2[0-3]):([0-5][0-9]) | -([01][0-9] | 2[0-3]):([O- 5][(0-9])) Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 36 of 152

] : 2y LEI Common Data File format V2.1 @ LEl 2.3.4. Element lei:LEIHeaderType / lei:Originator The LEI of the entity that created the content of this file. lei:LEIType content simple minOccurs 0 minLength 20 maxLength 20 pattern ([0-9A-Z]{18}[0-9]{2}) Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 37 of 152

LEI Common Data File format V2.1 ‘@ LEl \I 2.3.5. Element lei:LEIHeaderType / lei:FileContent A code describing the content of this LEI data file. lei:FileContentEnum content simple The file contains all LEl Data Records published by . an LOU (all LEI Data Records for which the LOU is ED enumeration LOU_FULL_PUBLISH the ManagingLou) as of the date/time the file is created. The file contains those LEI Data Records published by an LOU (all LEI Data Records for which the LOU enumeration LOU_DELTA_PUBLISHED s the ManagingLou) which are new or changed since the peltastart date specified in the header, as of the date/time the file is created. The file contains all LEl Data Records published by enumeration GLEIF_FULL_PUBLISHED GLEIF (including all LEI Data Records from all LOUs) as of the date/time the file is created. The file contains those LEI Data Records published by GLEIF (including all LEI Data Records from all enumeration GLEIF_DELTA_PUBLISHED LOUs) which are new or changed since the Deltastart specified in the header, as of the date/time the file is created. enumeration QUERY_RESPONSE The fll.e cgntams records matching criteria specified in a query. Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 38 of 152

=" LEI Common Data File format V2.1 9 LE 2.3.6. Element lei:LEIHeaderType / lei:DeltaStart The date and time of the baseline relative to which this file contains new or changed LEI data records. lei:LEIDateTimeProfile content simple minOccurs 0 (IA\T* AT\ ((\d){2,31){0,1})) (2| +([01][O- pattern 9]]2[0-3]):([0-5][0-9]) | -([01][0-9] | 2[0-3]):([O- 5][0-9])) Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 39 of 152

LEI Common Data File format V2.1 S LE 2.3.7. Element lei:LEIHeaderType / lei:RecordCount The number of LEI data records in the file. Can be a positive whole (integer) number, or zero (0). xs:nonNegativelnteger content simple Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 40 of 152

]

LEI Common Data File format V2.1 @ I_E| 2.3.71. Element lei:ValidationAuthorityType / lei:ValidationAuthorityID ...........cccccceeevireennenn... 106 2.3.72. Element lei:ValidationAuthorityType / lei:OtherValidationAuthorityID.............................. 107 2.3.73. Element lei:ValidationAuthorityType / lei:ValidationAuthorityEntityID.............................. 108 2.3.74. Element lei:RegistrationType / lei:OtherValidationAuthorities...........cccccoeeeeeecrieeeecnneee..... 109 2.3.75. Element lei:OtherValidationAuthoritiesType / lei:OtherValidationAuthority ..................... 110 2.3.76. Element lei:RegistrationType / lei:NexXtVersion.........cccccceeevieeecceeesciieessieeeseeessineeseeeesnnean 111 2.3.77. Element lei:LEIRecordType / [ei:NeXtVersion .........cccceecceeeiiieeecceeessieeeseeeesieeessveeeseeeesnenean 112 2.3.78. Element lei:LEIRecordType / [€i:EXLENSION .....cccuvveiivieeciiiecciieceeeesstieeeeeeeeieeessvee e seeeeeneneen 113 2.3.79. Simple Type lei:LEIDateTimeProfile ........ccciuiirieiiieieeiiieeeecesiieeeeccsriieeessssiieee s ssseveeeesnsvnneeeens 114 2.3.80. SIMple TYPE IQI:LEITYPE wovriiieeiieie ettt ettt e e ette e e etee e e s setee e s sseeaessnneesssssneeseassss 11D 2.3.81. Simple Type lei:FileContentENUM .......cccoveiiiiii et eseieeeeeseeeeeeessveeeee e L 16 2.3.82. Complex TYPe [€I:NAMETYPE . .uuiii et ettt s eetieee s eestieeeesesveteeesssseeeessssseessssssnneeesss L 17 2.3.83. Simple Type 1ei:ToKenized500TYPE ...ueveiecciirieeieciiieeeeeciieeeesectieeeesesvneeesseesseeeessesseeeessssseneeeens 118 2.3.84. Complex Type lei:OtherEntityNameTYPe .....cceecccieeriecciieeeeeeciiieeesecviieesseesveeeessesveeesssssseneneees 119 2.3.85. Simple Type lei:EntityNameTypPeENUM ......c..uiiiiceciiie et cctvie e ceivieeeseieeee s seeeeesseeeneneees 120 2.3.86. Complex Type lei:TransliteratedOtherEntityNameType......ccccvevvccivieieccccieeeeeeiee e 1211 2.3.87. Complex Type lei:TransliteratedNameTyPe .....ccccveveeiciiieieeiiee e cctie e etee e e seee e e s seeeeaeees 122 2.3.88. Simple Type lei:TransliteratedStringTyYPe ....uuiv e ccieie e ceiie e civie e eree e e eeee e e e seeeeeeees 123 2.3.89. Simple Type lei:TransliteratedEntityNameTypeEnumM ........cccovvvevvcciieiricccieeen e ceiinenn. 127 2.3.90. Complex TYPe |ei: AdAreSSTYPE .uii i ciieeeeccrieeeeecctiieee s eetieeeesesteeeeesesteteessessaeeessssseeesssnsssseeeens L 28 2.3.91. Simple Type [ei:RegioNCOUETYPE......uuiiiieeciiiiieecciiieeeectieeeesestieeeesetreeeseesteeeessesse

eeessssseseeeens 129 2.3.92. Simple Type [ei:CountryCoOdETYPE .....uiiiiicciiieeeeciiieeeeeiieeeesestreeeesereeeessessseessessssseesssssseneesens 130 2.3.93. Complex Type lei:OtherAddreSSTYPE ...cccccvvieieieciiieeeeeiiie e e e eetrieesseeeeeeeeeeeaessseeessesneenesenes 131 2.3.94. Simple Type lei:AddressTYPEENUM ........ccccviiiiiiciiieie et cteie e eree e e s seee e e s seeeeaeees 132 2.3.95. Complex Type lei:TransliteratedOtherAddressTYPe.....ccocvveeeeeeeeeeeeicciiiiieieeeeeeeeeeeeesesnenenn. 133 2.3.96. Complex Type lei:TransliteratedAddressTYPE ......coccevcivvieeieeeeeeeecccccieieeie e e e e eeeescsvinneeneeeen. 134 2.3.97. Simple Type lei:TransliteratedAddressTYPEENUM .........ccevveeeeeeeeeeeiiciciieieeeeeeeeeeeeesiivsnenens. 135 2.3.98. Simple Type lei:RegistrationAuthorityENUM ......ccveeiiiciiiiei e eieeeee . 136 2.3.99. Simple Type lei:JurisdictioNCOdETYPE ..ccccvirieeicciiieie ettt ee e ccctiie e settieeeeeeeeeee s ssveeeessnvaneeeees 137 2.3.100. Simple Type lei:EntityCategoryTYPEENUM ..cciiccciiieeeccciieee s cctiee e sectieeeeeiieee s seveeeeeseeeeeeeees 138 2.3.101. Simple Type lei:LegalFOrmMENUM .......cccoicciiiiereiciiieeeeciieeeesestieeeesetreeeesssieeeessssseeesssssseseeeees 139 2.3.102. Complex Type lei:AssociatedENtity TYPE ....ueeveeecieericcciieee e cciiieeesciiieeeseeiieeesseeneeeeseveneeeees D40 2.3.103. Simple Type lei:AssociatedEntity TYPEENUM .......cceviviciiiiiiciieeeecciie e ceie e seee e e seeee e 141

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LEI Common Data File format V2.1 ‘3 LEl P 2.3.8. Element lei:LEIHeaderType / lei:NextVersion A structure for adding further elements in to the LEI data file header in anticipation of a new version, by nesting a series of XML elements with this content model within the NextVersion element, one for each new minor version of the schema, postpending a serial number (1,2,3...) to the element name upon each iteration. lei:HeaderNextVersionType content complex minOccurs 0 Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 41 of 152

LEI Common Data File format V2.1 S LE

2.3.9. Element lei:LEIHeaderType / lei:Extension

This lei:Extension element may contain any additional elements required to extend the

Header.

lei:ExtensionType

content complex

minOccurs 0 Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 42 of 152

LEI Common Data File format V2.1 ‘% LE| N 2.3.10. Element lei:LEIData / lei:LEIRecords Container for all of the LEIRecord elements submitted with this file. lei:LEIRecordsType content complex <lei:LEIRecords xmlns:lei="http://www.gleif.org/data/schema/leidata/2016"> <lei:LEIRecord>{0,unbounded}</lei:LEIRecord> <lei:Extension>{0,1}</lei:Extension> </lei:LEIRecords> Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 43 of 152

LEI Common Data File format V2.1 ‘; 3 LEl 4 2.3.11. Element lei:LEIRecordsType / lei:LEIRecord Contains all LEI reference data including details of the LEI's registration with the ManagingLOU. lei:LEIRecordType content complex minOccurs 0 maxOccurs unbounded <lei:LEIRecord xmlns:lei="http://www.gleif.org/data/schema/leidata/2016"> <lei:LEI>{1,1}</lei:LEI> <lei:Entity>{1,1}</lei:Entity> <lei:Registration>{1,1}</lei:Registration> <lei:NextVersion>{0,1}</lei:NextVersion> <lei:Extension>{0,1}</lei:Extension> </lei:LEIRecord> Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 44 of 152

LEI Common Data File format V2.1 S LE

2.3.12. Element lei:LEIRecordsType / lei:Extension

This lei:Extension element may contain any additional elements required to extend the LEIRecords container.

lei:ExtensionType

content complex

minOccurs 0 Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 45 of 152

] : 2y LEI Common Data File format V2.1 @ LEl 2.3.13. Element lei:LEIRecordType / lei:LEIl The I1SO 17442 compatible identifier for the legal entity described in the Entity section. lei:LEIType content simple minLength 20 maxLength 20 pattern ([0-9A-Z]{18}[0-9]{2}) Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 46 of 152

LEI Common Data File format V2.1 3' LE| 2.3.14. Element lei:LEIRecordType / lei:Entity The Entity container element contains the legal entity's reference data, enabling identification. lei:EntityType content complex <lei:Entity xmlns:lei="http://www.gleif.org/data/schema/leidata/2016"> <lei:LegalName xml:lang="">{1,1}</lei:LegalName> <lei:OtherEntityNames>{0,1}</lei:OtherEntityNames> <lei:TransliteratedOtherEntityNames>{0,1}</lei:TransliteratedOtherEntityNa mes> <lei:LegalAddress xml:lang="">{1,1}</lei:LegalAddress> <lei:HeadquartersAddress xml:lang="">{1,1}</lei:HeadquartersAddress> <lei:OtherAddresses>{0,1}</lei:0OtherAddresses> <lei:TransliteratedOtherAddresses>{0,1}</lei:TransliteratedOtherAddresses> <lei:RegistrationAuthority>{0,1}</lei:RegistrationAuthority> <lei:Legaldurisdiction>{0,1}</lei:Legaldurisdiction> <lei:EntityCategory>{0,1}</lei:EntityCategory> <lei:LegalForm>{0,1}</lei:LegalForm> <lei:AssociatedEntity type="">{0,1}</lei:AssociatedEntity> <lei:EntityStatus>{1,1}</lei:EntityStatus> <lei:EntityExpirationDate>{0,1}</lei:EntityExpirationDate> <lei:EntityExpirationReason>{0,1}</lei:EntityExpirationReason> <lei:SuccessorEntity>{0,1}</lei:SuccessorEntity> <lei:NextVersion>{0,1}</lei:NextVersion> </lei:Entity> Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 47 of 152

LEI Common Data File format V2.1 S LE 2.3.15. Element lei:EntityType / lei:LegalName The legal name of the entity. lei:NameType content complex Attribute Type Use Annotation Attempting to install the relevant ISO 2- and 3-letter union codes as the enumerated possible values is probably of(xs:language never going to be a realistic possibility. See RFC 3066 at xml:lang restri.ctiogn ofg " optional http://www.ietf.org/rfc/rfc3066.txt and the IANA . registry at http://www.iana.org/assignments/lang-tag- Xs:string) . . . apps.htm for further information. The union allows for the 'un-declaration' of xml:lang with the empty string. Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 48 of 152

LEI Common Data File format V2.1 ‘a LE| N 2.3.16. Element lei:EntityType / lei:OtherEntityNames An optional list of other names (excluding transliterations) for the legal entity. lei:OtherEntityNamesType content complex minOccurs 0 <lei:OtherEntityNames xmlns:lei="http://www.gleif.org/data/schema/leidata/2016"> <lei:OtherEntityName xml:lang="" type="">{1,unbounded}</lei:OtherEntityName> </lei:OtherEntityNames> Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 49 of 152

LEI Common Data File format V2.1 ‘%, LE| 2.3.17. Element lei:OtherEntityNamesType / lei:OtherEntityName An alternative name or representation of a name for the legal entity, excluding transliterations. lei:OtherEntityNameType content complex maxOccurs unbounded Attribute Type Use Annotation i legal type lei:EntityNameTypeEnum required Typ.e of alternative name for the lega entity. Attempting to install the relevant ISO 2- and 3-letter codes as the enumerated possible values is probably never going to be a realistic possibility. See RFC 3066 at i : : .ietf. . h xml:lang unlor\ of(xs Ianguage, optional http //WYVW ietf.org/rfc/rfc3066.txt and the restriction of xs:string) IANA registry at http://www.iana.org/assignments/lang-tag- apps.htm for further information. The union allows for the 'un-declaration' of xml:lang with the empty string. Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 50 of 152

]

LEI Common Data File format V2.1 @ LEl 2.3.104. Simple Type lei:EntityStatuUSENUM ......oocciviiii et etie e eeee e seeee e L2 2.3.105. Simple Type lei:EntityExpirationReasonENUM .........ccccveeiiiciiiiirciiiie e e eiee e e seeee e 143 2.3.106. Simple Type lei:RegistrationStatUSENUM ......ccccviieeiiiiieeeeccsiiecee e ssssiieee s sseveeeesssvnneeeens 144 2.3.107. Simple Type lei:ValidationSOUrceSENUM ........ccciuieiiicciieieiicciieeeecccciie e ccciieee s seieeeeeseveeeee e 146 2.3.108. Attribute lei:OtherEntityNameType / @TYPE ....ceevveeeceeeeiieerrieciieeestvieeeeeesineessveeesennans 147 2.3.109. Attribute lei:TransliteratedOtherEntityNameType / @type......cccccceevvveeecveeesieesccveeenne... 148 2.3.110. Attribute lei:OtherAddressType / @TYPE ....eeccveeevieeecieeeciieerecreeeeieeesvvaeeieeeesseeesnseeesenenns 149 2.3.111. Attribute lei:TransliteratedOtherAddressType / @type......cccceveeecveersivieeceeeesieeseceeeeeenenn. 150 2.3.112. Attribute lei:AssociatedEntityTYpe / @TYPEe .....ueeevvveeeceeeiiiieeeieeeestieescreeesveeessvaeeseneeesnsneans 152

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LEI Common Data File format V2.1 ‘3 LE| N 2.3.18. Element lei:EntityType / lei:TransliteratedOtherEntityNames An optional list of ASClI-transliterated (i.e. Latin- or Romanized) representations of names for the legal entity. lei:TransliteratedOtherEntityNamesType content complex minOccurs 0 <lei:TransliteratedOtherEntityNames xmlns:lei="http://www.gleif.org/data/schema/leidata/2016"> <lei:TransliteratedOtherEntityName xml:lang="" type="">{1,unbounded}</lei:TransliteratedOtherEntityName> </lei:TransliteratedOtherEntityNames> Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 51 of 152

LEI Common Data File format V2.1 ‘% LE| P 2.3.19. Element lei:TransliteratedOtherEntityNamesType / lei:TransliteratedOtherEntityName lei:TransliteratedOtherEntityNameType content complex maxOccurs unbounded Attr;but Type Use Annotation tvoe lei:TransliteratedEntityNameTypeE require Type of alternative name for the P num d legal entity. Attempting to install the relevant ISO 2- and 3-letter codes as the enumerated possible values is probably never going to be a realistic possibility. See RFC 3066 at xml:lan union of(xs:language, restriction of optiona http://www.ietf.org/rfc/rfc3066.txt g xs:string) I and the IANA registry at http://www.iana.org/assignments/I ang-tag-apps.htm for further information. The union allows for the 'un-declaration' of xml:lang with the empty string. Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 52 of 152

LEI Common Data File format V2.1 ‘@ LEI \l 2.3.20. Element lei:EntityType / lei:LegalAddress The address of the entity as recorded in the registration of the entity in its legal jurisdiction. lei:AddressType content complex <lei:LegalAddress xml:lang="" xmlns:lei="http://www.gleif.org/data/schema/leidata/2016"> <lei:FirstAddressLine>{1l,1}</lei:FirstAddressLine> <lei:AddressNumber>{0,1}</lei:AddressNumber> <lei:AddressNumberWithinBuilding>{0,1}</lei:AddressNumberWithinBuilding> <lei:MailRouting>{0,1}</lei:MailRouting> <lei:AdditionalAddressLine>{0,3}</lei:AdditionalAddressLine> <lei:City>{1l,1}</lei:City> <lei:Region>{0,1}</lei:Region> <lei:Country>{1l,1}</lei:Country> <lei:PostalCode>{0,1}</lei:PostalCode> </lei:LegalAddress> Attribute Type Use Annotation Attempting to install the relevant ISO 2- and 3-letter union codes as the enumerated possible values is probably of(xs:language never going to be a realistic possibility. See RFC 3066 at xml:lang restri.ctiogn ofg " optional http://www.ietf.org/rfc/rfc3066.txt and the IANA . registry at http://www.iana.org/assignments/lang-tag- xs:string) . . . apps.htm for further information. The union allows for the 'un-declaration' of xml:lang with the empty string. Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 53 of 152

] : F 28 LEI Common Data File format V2.1 3 LEl 2.3.21. Element lei:AddressType / lei:FirstAddressLine The mandatory first address line element. lei:Tokenized500Type content simple minLength 1 maxLength 500 pattern \S+( \S+)* Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 54 of 152

LEl Common Data File format V2.1 ; ‘3, LE| 2.3.22. Element lei:AddressType / lei:AddressNumber Optional, additional structured version of an external house number, or range of numbers, contained in one of the address line elements. This could be a numeral, a letter or code made up of mixed characters (e.g. 221B). lei:Tokenized500Type content simple minOccurs 0 minLength 1 maxLength 500 pattern \S+( \S+)* Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 55 of 152

LEl Common Data File format V2.1 ‘3, LE| 2.3.23. Element lei:AddressType / lei:AddressNumberWithinBuilding Optional, additional structured version of an internal location number, or range of numbers, contained in one of the address line elements.This could be a numeral, a letter or code made up of mixed characters (e.g. 13) of a floor, suite or apartment within a building identified e.g. by an AddressNumber element. lei:Tokenized500Type content simple minOccurs 0 minLength 1 maxLength 500 pattern \S+( \S+)* Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 56 of 152

LEI Common Data File format V2.1 ,LE| 2.3.24. Element lei:AddressType / lei:MailRouting Optional free text address line to hold content from other address lines containing explicit routing information (this element's presence indicates that this address is a routing / "care of" address. lei:Tokenized500Type content simple minOccurs 0 minLength 1 maxLength 500 pattern \S+( \S+)* Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 57 of 152

] : F 28 LEI Common Data File format V2.1 3 LEl 2.3.25. Element lei:AddressType / lei:AdditionalAddressLine One to three optional additional address line elements. lei:Tokenized500Type content simple minOccurs 0 maxOccurs 3 minLength 1 maxLength 500 pattern \S+( \S+)* Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 58 of 152

] : F 28 LEI Common Data File format V2.1 3 LE' 2.3.26. Element lei:AddressType / lei:City The mandatory name of the city. lei:Tokenized500Type content simple minLength 1 maxLength 500 pattern \S+( \S+)* Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 59 of 152

] : F 28 LEI Common Data File format V2.1 3 LEl 2.3.27. Element lei:AddressType / lei:Region The (optional) 4- to 6-character ISO 3166-2 region code of the region. lei:RegionCodeType content simple minOccurs 0 minLength 4 maxLength 6 pattern ([A-z]{2}-[A-20-9]{1,3}) Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 60 of 152

LEI Common Data File format V2.1 ‘@ LE| ~? LEI-CDF Version 2.1 Documentation last updated: 2017-03-21 1. Introduction As the Global LEI System (GLEIS) High Level Principles stipulate, the GLEIS should uniquely and unambiguously identify participants to financial transactions. The ISO 17442 Legal Entity Identifier (LEI) standard defines the following set of attributes as the most essential elements of identification: = The official name of the legal entity as recorded in the business registry, or with the fund manager for collective investment vehicles, or otherwise in the entity’s constituting documents. = Where applicable, the name of the business registry in which the entity was formed. = The identifier of the entity in the business registry. = The address of the headquarters of the legal entity or the address of the fund manager. = The address and the country of legal formation as represented in ISO 3166. = The date of the first LEl assignment. = The date of last update of the LEl set of information. = The date of expiry, where applicable. = The reason for expiry, if applicable. = For entities with a date of expiry, where applicable, the LEI of the entity or entities that acquired the expired entity. The LEI Common Data File format (LEI-CDF) was proposed by the Legal Entity Identifier Regulatory Oversight Committee (LEI ROC) as the additional standard necessary to support the GLEIS in maintaining exclusive assignment of LEls (one LEI per entity) and identifying, remediating data quality issues, and supporting use of the data. It is maintained and developed as a technical standard by the Global LEI Foundation (GLEIF) with the collaboration and oversight of the LEI ROC. The LEI-CDF specifies in more detail: = The semantic content (definitions) of the ISO 17442 attributes. = Some additional elements, such an indication of the status of the information, necessary for effective use of the data. = The form the information takes at any given LOU, such that it can be made to conform to a common standard. All LOUs use this file format to publish LEls and their reference data. Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 7 of 152

] : 2y LEI Common Data File format V2.1 3 LEl 2.3.28. Element lei:AddressType / lei:Country The 2-character ISO 3166-1 country code of the country. lei:CountryCodeType content simple minLength 2 maxLength 2 pattern ([A-Z]{2}) Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 61 of 152

] : F 28 LEI Common Data File format V2.1 3 LEl 2.3.29. Element lei:AddressType / lei:PostalCode The (optional) postal code of this address as specified by the local postal service. lei:Tokenized500Type content simple minOccurs 0 minLength 1 maxLength 500 pattern \S+( \S+)* Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 62 of 152

LEI Common Data File format V2.1 ‘@ LEI \l 2.3.30. Element lei:EntityType / lei:HeadquartersAddress The address of the headquarters of the Entity. lei:AddressType content complex <lei:HeadquartersAddress xml:lang="" xmlns:lei="http://www.gleif.org/data/schema/leidata/2016"> <lei:FirstAddressLine>{1l,1}</lei:FirstAddressLine> <lei:AddressNumber>{0,1}</lei:AddressNumber> <lei:AddressNumberWithinBuilding>{0,1}</lei:AddressNumberWithinBuilding> <lei:MailRouting>{0,1}</lei:MailRouting> <lei:AdditionalAddressLine>{0,3}</lei:AdditionalAddressLine> <lei:City>{1l,1}</lei:City> <lei:Region>{0,1}</lei:Region> <lei:Country>{1l,1}</lei:Country> <lei:PostalCode>{0,1}</lei:PostalCode> </lei:HeadquartersAddress> Attribute Type Use Annotation Attempting to install the relevant ISO 2- and 3-letter union codes as the enumerated possible values is probably of(xs:language never going to be a realistic possibility. See RFC 3066 at xml:lang restri.ctiogn ofg " optional http://www.ietf.org/rfc/rfc3066.txt and the IANA . registry at http://www.iana.org/assignments/lang-tag- xs:string) . . . apps.htm for further information. The union allows for the 'un-declaration' of xml:lang with the empty string. Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 63 of 152

LEI Common Data File format V2.1 ‘3 LE| N 2.3.31. Element lei:EntityType / lei:OtherAddresses An optional list of other addresses for the legal entity, excluding transliterations. lei:OtherAddressesType content complex minOccurs 0 <lei:OtherAddresses xmlns:lei="http://www.gleif.org/data/schema/leidata/2016"> <lei:OtherAddress xml:lang="" type="">{1,unbounded}</lei:OtherAddress> </lei:OtherAddresses> Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 64 of 152

LEI Common Data File format V2.1 ‘@ LE| \l 2.3.32. Element lei:OtherAddressesType / lei:OtherAddress An alternative address for the legal entity excluding transliterations. lei:OtherAddressType content complex maxOccurs unbounded <lei:OtherAddress xml:lang="" type="" xmlns:lei="http://www.gleif.org/data/schema/leidata/2016"> <lei:FirstAddressLine>{1l,1}</lei:FirstAddressLine> <lei:AddressNumber>{0,1}</lei:AddressNumber> <lei:AddressNumberWithinBuilding>{0,1}</lei:AddressNumberWithinBuilding> <lei:MailRouting>{0,1}</lei:MailRouting> <lei:AdditionalAddressLine>{0,3}</lei:AdditionalAddressLine> <lei:City>{1l,1}</lei:City> <lei:Region>{0,1}</lei:Region> <lei:Country>{1l,1}</lei:Country> <lei:PostalCode>{0,1}</lei:PostalCode> </lei:OtherAddress> Attribute Type Use Annotation . . The type of address represented by this type lei:AddressTypeEnum required yp . P y OtherAddress Instance. Attempting to install the relevant ISO 2- and 3- letter codes as the enumerated possible values is probably never going to be a realistic union of(xs:language possibility. See RFC 3066 at 1 OnXstianguage, . http://www.ietf.org/rfc/rfc3066.txt and the xml:lang restriction of optional . . IANA registry at Xs:string) . . http://www.iana.org/assignments/lang-tag- apps.htm for further information. The union allows for the 'un-declaration' of xml:lang with the empty string. Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 65 of 152

LEI Common Data File format V2.1 ‘; 3 LEl 4 2.3.33. Element lei:EntityType / lei:TransliteratedOtherAddresses An optional list of transliterated addresses for the legal entity. Business rules: N/A. lei:TransliteratedOtherAddressesType content complex minOccurs 0 <lei:TransliteratedOtherAddresses xmlns:lei="http://www.gleif.org/data/schema/leidata/2016"> <lei:TransliteratedOtherAddress xml:lang="" type="">{1,unbounded}</lei:TransliteratedOtherAddress> </lei:TransliteratedOtherAddresses> Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 66 of 152

LEI Common Data File format V2.1 ‘3' LEl 2.3.34. Element lei:TransliteratedOtherAddressesType / lei:TransliteratedOtherAddress A transliterated version of one of the addresses for the legal entity. lei:TransliteratedOtherAddressType content complex maxOccurs unbounded <lei:TransliteratedOtherAddress xml:lang="" type="" xmlns:lei="http://www.gleif.org/data/schema/leidata/2016"> <lei:FirstAddressLine>{1l,1}</lei:FirstAddressLine> <lei:AddressNumber>{0,1}</lei:AddressNumber> <lei:AddressNumberWithinBuilding>{0,1}</lei:AddressNumberWithinBuilding> <lei:MailRouting>{0,1}</lei:MailRouting> <lei:AdditionalAddressLine>{0,3}</lei:AdditionalAddressLine> <lei:City>{1l,1}</lei:City> <lei:Region>{0,1}</lei:Region> <lei:Country>{1l,1}</lei:Country> <lei:PostalCode>{0,1}</lei:PostalCode> </lei:TransliteratedOtherAddress> Attribut . o Type Use Annotation tvoe lei:TransliteratedAddressTypeEnu require Type of alternative name for the legal P m d entity. Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 67 of 152

] . =" LEI Common Data File format V2.1 3 LEl Attempting to install the relevant ISO 2- and 3-letter codes as the enumerated possible values is probably never going to be a realistic possibility. See RFC 3066 at union of(xs:language, restriction optiona http://www.ietf.org/rfc/rfc3066.txt xml:lang . . of xs:string) I and the IANA registry at http://www.iana.org/assignments/la ng-tag-apps.htm for further information. The union allows for the 'un-declaration’ of xml:lang with the empty string. Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 68 of 152

LEI Common Data File format V2.1 3, LE| 2.3.35. Element lei:TransliteratedAddressType / lei:FirstAddressLine The mandatory first address line element. lei:TransliteratedStringType content simple minLength 1 maxLength 500 (\S+O\S+)) & (" 1% 1 &' INCIN) I\NI+1,1- pattern I.-17101212[3]4|5]|6]|7|8]91:|;|1<|=]>|\?|A[B|CIDI|E|FIG|H[I[J|K]L]| IMIN|O|P|QIR|SITIUIVIWIX]|Y|Z| _|alb]|cld|elf|g|hliljlk]IIm]|n lolplalrisitiulviw]x]y|z)+) Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 69 of 152

LEl Common Data File format V2.1 ‘3, LE| 2.3.36. Element lei:TransliteratedAddressType / lei:AddressNumber Optional, additional structured version of an external house number, or range of numbers, contained in one of the address line elements. lei:TransliteratedStringType content simple minOccurs 0 minLength 1 maxLength 500 (\S+(\S+)) & ("% I &' IN(IN) I\N+1, ] pattern I.1/1011]2]3[4]|5]6]|718]9]:1;|<I=1>|\?|A|B|C|D|E|F|G|H[I]J[K|L] IMIN|OIP|Q|RIS|TIU[VIWIX]|Y|Z|_|alb]|c|d]|elflg|h]iljlk[IIm]|n lolplalris|tlulv|w]x]y]|z)+) Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 70 of 152

LEI Common Data File format V2.1 ‘@ LEl ~? 1.1. Audience for this document The target audience for this standard includes: = All Local Operating Units (as well as candidate LOUs) of the GLEIS. = All users or potential users of LEI data. = All financial regulators who consume LEI data. 1.2. Status of this document This section describes the status of this document at the time of its publication. Later versions may supersede this document. The most up to date version will always be available from www.gleif.org. The file format references and honors previous completed work published by the LEI ROC in a document entitled "LEI Data File Format 1.0” (19 June 2014; available from www.leiroc.org). 1.3. Terminology and Typographical Conventions The following typographical conventions are used throughout the document: = ALL CAPS type is used for the special terms enumerated above. " Monospace type iS used to denote programming language, UML, and XML identifiers, as well as for the text of XML documents. 1.4. Cardinalities * The cardinality of each element (the number of times it MUST or MAY appear in an XML data file conforming to this schema) is expressed as a number range in the format {minimum occurrences, maximum occurrences} in the XML examples shown below the notes of its containing element. This notation is equivalent to the following explanations in words: = Mandatory, unique: {1, 1} - the element MUST appear, exactly once. * Mandatory, repeatable: {1, unbounded} - the element MUST appear at least once. It may be repeated any number of times. = QOptional, unique: {0, 1} - the element NEED NOT appear; it MAY appear once at most. = QOptional, repeatable: {0, unbounded} - the element NEED NOT appear. It MAY be repeated any number of times. Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 8 of 152

LEl Common Data File format V2.1 ‘3, LE| 2.3.37. Element lei:TransliteratedAddressType / lei:AddressNumberWithinBuilding Optional, additional structured version of an internal location number, or range of numbers, contained in one of the address line elements. lei:TransliteratedStringType content simple minOccurs 0 minLength 1 maxLength 500 (\S+(\S+)) & ("% I &' IN(IN) I\N+1, ] pattern I.1/1011]2]3[4]|5]6]|718]9]:1;|<I=1>|\?|A|B|C|D|E|F|G|H[I]J[K|L] IMINJOIP|Q|RIS|TIU[VIWIX]|Y|Z|_|albl|c|d]|elflg|h[iljlk[Im]|n] olplalr|sitiulv|w]x]|y]z)+) Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 71 of 152

LEI Common Data File format V2.1 3, LE| 2.3.38. Element lei:TransliteratedAddressType / lei:MailRouting Optional free text address line to hold content from other address lines containing explicit routing information (this element's presence indicates that this address is a routing / "care of" address. lei:TransliteratedStringType content simple minOccurs 0 minLength 1 maxLength 500 (\S+(\S+)) & (" [% | &I"INUIN) IN[+], - pattern I.-17101212[3]4|5]|6]|7|8]91:|;|1<|=]>|\?|A[B|CIDI|E|FIG|H[I[J|K]L]| IMIN|O|P|QIR|SITIUIVIWIX]|Y|Z| _|albl|cld]|e|f|glhliljlk]I[m]|n lolplalrisitiulviw]x]y|z)+) Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 72 of 152

LEI Common Data File format V2.1 3, LE| 2.3.39. Element lei:TransliteratedAddressType / lei:AdditionalAddressLine Optional additional address line elements. lei:TransliteratedStringType content simple minOccurs 0 maxOccurs 3 minLength 1 maxLength 500 (\S+(\S+)) & (" [% | &I"INUIN) IN[+], - pattern I.-17101212[3]4|5]|6]|7|8]91:|;|1<|=]>|\?|A[B|CIDI|E|FIG|H[I[J|K]L]| IMIN|O|P|QIR|SITIUIVIWIX]|Y|Z| _|alb]|cld|e|f|g|hliljlk]IIm]|n lolplalrisitiulviw]x]y|z)+) Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 73 of 152

LEI Common Data File format V2.1 3, LE| 2.3.40. Element lei:TransliteratedAddressType / lei:City The mandatory name of the city. lei:TransliteratedStringType content simple minLength 1 maxLength 500 (\S+(\S+)) & (" [% | &I"INUIN) IN[+], - pattern I.-17101212[3]4|5]|6]|7|8]91:|;|1<|=]>|\?|A[B|CIDI|E|FIG|H[I[J|K]L]| IMIN|O|P|QIR|SITIUIVIWIX]|Y|Z| _|albl|cld]|e|f|glhliljlk]I[m]|n lolplalrisitiulviw]x]y|z)+) Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 74 of 152

] : F 28 LEI Common Data File format V2.1 3 LEl 2.3.41. Element lei:TransliteratedAddressType / lei:Region The (optional) 4- to 6-character ISO 3166-2 region code of the region. lei:RegionCodeType content simple minOccurs 0 minLength 4 maxLength 6 pattern ([A-z]{2}-[A-20-9]{1,3}) Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 75 of 152

] : F 28 LEI Common Data File format V2.1 3 LEl 2.3.42. Element lei:TransliteratedAddressType / lei:Country The 2-character I1SO 3166-1 country code of the country. lei:CountryCodeType content simple minLength 2 maxLength 2 pattern ([A-Z]{2}) Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 76 of 152

LEI Common Data File format V2.1 ‘3 LE| N 2.3.44. Element lei:EntityType / lei:RegistrationAuthority An identifier for the legal entity in a business registry in the jurisdiction of legal registration, or in the appropriate registration authority. lei:RegistrationAuthorityType content complex minOccurs 0 <lei:RegistrationAuthority xmlns:lei="http://www.gleif.org/data/schema/leidata/2016"> <lei:RegistrationAuthorityID>{1,1}</lei:RegistrationfAuthorityID> <lei:OtherRegistrationAuthorityID>{0,1}</lei:OtherRegistrationAuthorityID> <lei:RegistrationAuthorityEntityID>{0,1}</lei:RegistrationAuthorityEntityI D> </lei:RegistrationAuthority> Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 78 of 152

=" LEI Common Data File format V2.1 9 LE 2.3.45. Element lei:RegistrationAuthorityType / lei:RegistrationAuthoritylD The reference code of the registration authority, taken from the Registration Authorities List maintained by GLEIF. lei:RegistrationAuthorityEnum content simple pattern RA\d{6} Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 79 of 152

LEI Common Data File format V2.1 ,LE| 2.3.46. Element lei:RegistrationAuthorityType / lei:OtherRegistrationAuthoritylD A legacy / historical reference code of a registration authority which is not yet entered in the Registration Authorities List (RAL) maintained by GLEIF, or the designation of an interim register until such time as an entry from RAL can be delivered. lei:Tokenized500Type content simple minOccurs 0 minLength 1 maxLength 500 pattern \S+( \S+)* Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 80 of 152

LEI Common Data File format V2.1 ‘@ I_E| ~?

Please note:

The default cardinality is {1,1} (mandatory, unique). This document highlights when an element differs from this either by its minoccurs (minimum occurrences) or maxoccurs (maximum occurrences) value, or both.

= XML cardinalities apply in the context of any containing elements. This means that a contained element may have a cardinality of one or more even if its containing element may be omitted, because the contained element is mandatory given the presence of the container.

= XML cardinalities enforce a minimum data quality and standards conformance. Other business rules (as explained below) and data quality checks applied by GLEIF may encourage stricter cardinalities in live implementations.

1.5. Business Rules

The accompanying documentation in addition to this Technical Specification specifies

business rules where applicable for each element. These are rules that are not enforced by

validating against the XML schema, but are still mandatory for all Common Data File (CDF) format files.

1.6. XML Syntax

This section specifies the XML schema for an LEI data file conforming to this standard.

1.6.1. XML Design Rules

= The XSD schema conforms to W3C's XML Schema specification, version 1.0.

The XML namespace is "http://www.gleif.org/data/schema/leidata/2016".

= Allinterior XML elements are namespace-qualified (element form = qualified).

= All XML attributes are in the null namespace (attribute form = unqualified), with the exception of xml:1lang.

Element names are upper camel case.

= Attribute name are lower camel case.

= XSD type names are upper camel case.

= Enumeration code list values are all caps with underscores.

= Elements are used in preference to attributes except for language and type qualifiers.

" For a data element specified as having unbounded cardinality, the XML includes a single container element whose subelements are one or more instances of the data element whose cardinality is unbounded. The name of the container element is formed as the plural of the name of the contained elements.

Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 9 of 152

LEI Common Data File format V2.1 3, LE| 2.3.47. Element lei:RegistrationAuthorityType / lei:RegistrationAuthorityEntityID The identifier of the entity at the indicated registration authority. Typically, the identifier of the legal entity as maintained by a business registry in the jurisdiction of legal registration, or if the entity is one that is not recorded in a business registry (e.g. one of the varieties of funds registered instead with financial regulators), the identifier of the entity in the appropriate registration authority. lei:Tokenized500Type content simple minOccurs 0 minLength 1 maxLength 500 pattern \S+( \S+)* Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 81 of 152

LEI Common Data File format V2.1 B LE 2.3.48. Element lei:EntityType / lei:Legallurisdiction The jurisdiction of legal formation and registration of the entity (and upon which the LegalForm data element is also dependent). Please note that the XML schema validates the format of LegalJurisdiction codes but not the specific codes conforming to the ISO standards it reequires. lei:JurisdictionCodeType content simple minOccurs 0 Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 82 of 152

LEI Common Data File format V2.1 3, LE| 2.3.49. Element lei:EntityType / lei:EntityCategory Indicates (where applicable) the category of entity identified by this LEl data record, as a more specific category within the broad definition given in ISO 17442. These categories are based on use cases specified in LEI-ROC policies, found at http://www.leiroc.org/list/leiroc_gls/index.htm lei:EntityCategoryTypeEnum content simple minOccurs 0 enumeration BRANCH The legal entity is a branch of another legal entity. enumeration FUND The Iegal. entity is a fund managed by another legal entity. enumeration SOLE_PROPRIETOR The.legal entltY is an individual acting in a business capacity. Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 83 of 152

LEI Common Data File format V2.1 ‘3 LEl N’ 2.3.50. Element lei:EntityType / lei:LegalForm The legal form of the entity, taken from the ISO Entity Legal Form (ELF) code list maintained by GLEIF. Please note that the XML schema validates the format of LegalForm codes but not the specific codes conforming to the ISO standard it reequires. lei:LegalFormType content complex minOccurs 0 <lei:LegalForm xmlns:lei="http://www.gleif.org/data/schema/leidata/2016"> <lei:EntityLegalFormCode>{1l,1}</lei:EntityLegalFormCode> <lei:OtherLegalForm>{0,1}</lei:OtherLegalForm> </lei:LegalForm> Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 84 of 152

LEI Common Data File format V2.1 3, LE| 2.3.51. Element lei:LegalFormType / lei:EntityLegalFormCode A current code from the GLEIF-maintained list MUST be used. Values of the LegalFormEnum code list are maintained by I1SO / GLEIF through the Entity Legal Form (ELF), available from http://www.gleif.org. lei:LegalFormEnum content simple (([A-Z][A-z0-9]{3}| [A-ZO- 9][A-Z][A-Z0-9]{2}| [A-ZO- pattern 9J{2}[A-Z][A-Z0-9] | [A-ZO- 91{3}[A-Z]))[(9999) | (8888) Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 85 of 152

LEI Common Data File format V2.1 ,LE| 2.3.52. Element lei:LegalFormType / lei: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. lei:Tokenized500Type content simple minOccurs 0 minLength 1 maxLength 500 pattern \S+( \S+)* Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 86 of 152

LEI Common Data File format V2.1 ‘3 LE| N’ 2.3.53. Element lei:EntityType / lei:AssociatedEntity Another entity associated with this entity if needed to fully identify this entity or to place it in an appropriate context. lei:AssociatedEntityType content complex minOccurs 0 <lei:AssociatedEntity type="" xmlns:lei="http://www.gleif.org/data/schema/leidata/2016"> <lei:AssoclatedLEI>{1,1}</lei:AssociatedLEI> <lei:AssociatedEntityName xml:lang="">{1,1}</lei:AssociatedEntityName> </lei:AssociatedEntity> Attribute Type Use Annotation . . . . The type of association represented type lei:AssociatedEntityTypeEnum required ) . o P yiyp 9 by this AssociatedEntity instance. Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 87 of 152

] : F 28 LEI Common Data File format V2.1 @ LEl 2.3.54. Element lei:AssociatedEntityType / lei:AssociatedLEl The LEI of an entity associated with the LEI of this registration. lei:LEIType content simple minLength 20 maxLength 20 pattern ([0-9A-Z]{18}[0-9]{2}) Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 88 of 152

LEI Common Data File format V2.1 3, LEI 2.3.55. Element lei:AssociatedEntityType / lei:AssociatedEntityName The name of an entity associated with the LEI of this registration. lei:NameType content complex Attribute Type Use Annotation Attempting to install the relevant ISO 2- and 3-letter union codes as the enumerated possible values is probably of(xs:language never going to be a realistic possibility. See RFC 3066 at xml:lang restri.ctiogn ofg " optional http://www.ietf.org/rfc/rfc3066.txt and the IANA xs:string) registry at http://www.iana.org/assignments/lang-tag- ) g apps.htm for further information. The union allows for the 'un-declaration' of xml:lang with the empty string. Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 89 of 152

LEI Common Data File format V2.1 ‘3 LE| N’ 2.3.56. Element lei:EntityType / lei:EntityStatus The operational and/or legal registration status of the entity (may be AcTIVE or INACTIVE). lei:EntityStatusEnum content simple As of the last report or update, the legal entity enumeration ACTIVE reported that it was legally registered and operating. It has been determined that the entity that was assigned the LEl is no longer legally registered enumeration INACTIVE and/or operating, whether as a result of business closure, acquisition by or merger with another (or new) entity, or determination of illegitimacy. Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 90 of 152

] LEI Common Data File format V2.1 @ LEl 1.6.2. XML Schema An XML file conforming to this standard SHALL be valid according to the following XSD 1.0 schema.

<xs:schema xmlns:xs="http://www.w3.0rg/2001/XMLSchema" xmlns:lei="http://www.gleif.org/data/schema/leidata/2016" elementFormDefault="qualified" targetNamespace="http://www.gleif.org/data/schema/leidata/2016"> <xs:import namespace="http://www.w3.0rg/xXML/1998/namespace" schemaLocation="http://www.w3.0rg/2001/xml.xsd"/> <xs:element name="LEIData" type="lei:LEIData"> </xs:element> <xs:complexType name="LEIData"> <xs:sequence> <xs:element name="LEIHeader" type="lei:LEIHeaderType"> </xs:element> <xs:element name="LEIRecords" type="lei:LEIRecordsType'"> </xs:element> </xs:sequence> </xs:complexType> <xs:complexType name="LEIHeaderType"> <xs:sequence> <xs:element name="ContentDate" type="lei:LEIDateTimeProfile'"> </xs:element> <xs:element name="Originator" type="lei:LEIType" minOccurs="0"> </xs:element> <xs:element name="FileContent" type="lei:FileContentEnum"> </xs:element> <xs:element name="DeltaStart" type="lei:LEIDateTimeProfile" minOccurs="0"> </xs:element> <xs:element name="RecordCount" type="xs:nonNegativeInteger"> </xs:element> <xs:element name="NextVersion" type="leil:HeaderNextVersionType" minOccurs="0"> </xs:element> <xs:element name="Extension" type="lei:ExtensionType" minOccurs="0"></xs:element> </xs:sequence> </xs:complexType> <xs:complexType name="HeaderNextVersionType"> <xs:sequence> Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 10 of 152

. =" LEI Common Data File format V2.1 9 LE 2.3.57. Element lei:EntityType / lei:EntityExpirationDate The date that the legal entity ceased to operate, whether due to dissolution, merger or acquisition. lei:LEIDateTimeProfile content simple minOccurs 0 ([T HINT*(((\d){1,31)){0,2}))(Z| +([01][O- pattern 9]]2[0-3]):([0-5][0-9]) | -([01][0-9] | 2[0-3]):([O- 5][0-9])) Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 91 of 152

LEI Common Data File format V2.1 ‘3 LE| P 2.3.58. Element lei:EntityType / lei:EntityExpirationReason The reason that a legal entity ceased to exist and/or operate. lei:EntityExpirationReasonEnum content simple minOccurs 0 enumeration DISSOLVED The entity ceased to operate. enumeration CORPORATE_ACTION Thg entity was acquired or merged with another entity. . The reason for expiry is neither of bT1ssoLvED nor enumeration OTHER CORPORATE_ACTION Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 92 of 152

LEI Common Data File format V2.1 ‘a LE| N 4 2.3.59. Element lei:EntityType / lei:SuccessorEntity The surviving/new legal entity which continues/replaces this registration. lei:SuccessorEntityType content complex minOccurs 0 <lei:SuccessorEntity xmlns:lei="http://www.gleif.org/data/schema/leidata/2016"> <lei:SuccessorLEI>{1,1}</lei:SuccessorLEI> <lei:SuccessorEntityName xml:lang="">{1,1}</lei:SuccessorEntityName> </lei:SuccessorEntity> Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 93 of 152

] : 2y LEI Common Data File format V2.1 3 LEl 2.3.60. Element lei:SuccessorEntityType / lei:SuccessorLEl The LEI of the successor entity. lei:LEIType content simple minLength 20 maxLength 20 pattern ([0-9A-Z]{18}[0-9]{2}) Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 94 of 152

LEI Common Data File format V2.1 3, LEI 2.3.61. Element lei:SuccessorEntityType / lei:SuccessorEntityName The name of the successor entity. lei:NameType content complex Attribute Type Use Annotation Attempting to install the relevant ISO 2- and 3-letter union codes as the enumerated possible values is probably of(xs:language never going to be a realistic possibility. See RFC 3066 at xml:lang restri.ctiogn ofg " optional http://www.ietf.org/rfc/rfc3066.txt and the IANA xs:string) registry at http://www.iana.org/assignments/lang-tag- ) g apps.htm for further information. The union allows for the 'un-declaration' of xml:lang with the empty string. Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 95 of 152

LEI Common Data File format V2.1 ‘3 LEl N’

2.3.62. Element lei:EntityType / lei:NextVersion A structure for adding further elements in to the entity section of the LEl data record in anticipation of a new version, by nesting a series of XML elements with this content model within the Nextversion element, one for each new minor version of the schema, postpending a serial number (1,2,3...) to the element name upon each iteration. lei:EntityNextVersionType content complex minOccurs 0

Public

Author: GLEIF | Version: FINAL | 2017-03-21 Page 96 of 152

LEI Common Data File format V2.1 3' LE| 2.3.63. Element lei:LEIRecordType / lei:Registration The Registration container element contains all information on the legal entity's LEI registration with the ManagingLou. lei:RegistrationType content complex <lei:Registration xmlns:lei="http://www.gleif.org/data/schema/leidata/2016"> <lei:InitialRegistrationDate>{1,1}</lei:InitialRegistrationDate> <lei:LastUpdateDate>{1,1}</lei:LastUpdateDate> <lei:RegistrationStatus>{1,1}</lei:RegistrationStatus> <lei:NextRenewalDate>{1l,1}</lei:NextRenewalDate> <lei:ManagingLOU>{1,1}</lei:ManagingLOU> <lei:ValidationSources>{0,1}</lei:ValidationSources> <lei:ValidationAuthority>{0,1}</lei:ValidationAuthority> <lei:OtherValidationAuthorities>{0,1}</lei:OthervValidationAuthorities> <lei:NextVersion>{0,1}</lei:NextVersion> </lei:Registration> Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 97 of 152

00000000000 LEI Common Data File format V2.1 3' LEl 2.3.64. Element lei:RegistrationType / lei:InitialRegistrationDate

Date/time the LEI record was created. lei:LEIDateTimeProfile content simple (IA\T* HIMNT*(((){2,31)){0,2}))(Z | +([01][0- pattern 9]12[0-3]):([0-5][0-9]) | -([01][0-9] | 2[0-3]):([O- 5][0-9])) Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 98 of 152

_____0____000] LEI Common Data File format V2.1 3' LEl 2.3.65. Element lei:RegistrationType / lei:LastUpdateDate

Date/time the LEI record was most recently updated. lei:LEIDateTimeProfile content simple (IA\T* AT\ ((\d){2,31){0,1})) (2| +([01][O- pattern 9]]2[0-3]):([0-5][0-9]) | -([01][0-9] | 2[0-3]):([O- 5][0-9])) Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 99 of 152

LEI Common Data File format V2.1 ‘@ LEl \I 2.3.66. Element lei:RegistrationType / lei:RegistrationStatus The status of the legal entity's LEl registration with the ManagingroU. lei:RegistrationStatusEnum content simple enumeration PENDING VALIDATION An appl'lcat.lon for an LEl that has begn submitted - and which is being processed and validated. An LEI Registration that has been validated and enumeration ISSUED issued, and which identifies an entity that was an operating legal entity as of the last update. An LEI Registration that has been determined to be a duplicate registration of the same legal entity enumeration DUPLICATE as another LEI Registration; the DUPLICATE status is assigned to the non-surviving registration (i.e. the LEI that should no longer be used). An LEI registration that has not been renewed by enumeration LAPSED the NextRenewalDate and is not known by public sources to have ceased operation. An LEI registration for an entity that has been enumeration MERGED merged into another legal entity, such that this legal entity no longer exists as an operating entity. An LEl registration for an entity that has ceased enumeration RETIRED operation, without having been merged into another entity. . . K enumeration ANNULLED An'LEI r'eglstratl'on tha.t was marked as erroneous or invalid after it was issued enumeration CANCELLED An LEl registration that was abandoned prior to issuance of an LEI Public Author: GLEIF | Version: FINAL | 2017-03-21 Page 100 of 152

Gleif website, https://www.gleif.org/about-lei/common-data-file-format/previous-versions/2017-03-21_lei-cdf-v2-1.pdf, published under GLEIF's website terms (CC0 unless a document is marked otherwise). Found through KERISSE. The abstract, the level and the labels on the catalog entry are the KERISuite Knowledge Base's own, CC BY 4.0.