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[ d,|E| . Public Relationship Record Common Data File format V1.1 Final V1.1 2017-03-16 (@)X (( y o — g |‘ | °©

] Relationship Record Common Data File format V1.1 @ LE| Contents Lo INEFOTUCTION ittt ettt et sab e e st e e sabe e e st te et e e s abae e abeeesubeeessaessaneeesseesnanees D

1.1. Status Of this dOCUMENT ....ccoiiii ettt st ee s st e e st ee et e sabbeeneeee e D 1.2. Terminology and Typographical CoONVENTIONS........ccccccviiiiiiicie et etree e ette e eree e e seeee e e siaees D 1.3, CardiN@liti®s ..ueeeeiieiiiiie ettt ettt ettt st e st st e e bt aeeantee s sbbeesaseesnbeessseeees © 1.4, BUSINESS RUIES ... .eieiiiie ettt ettt ettt et s sh e e et eesabbe e s bt eesneeeesbsaeenteessubeesanseesnseesssseees © 1.5, XIMIL SYNTAX i ii ittt e e e e e e e e e e e e e eeeeeeetetetae et ae e seae st st s sssa s s aesnsnsesesaseseeseeeneneeessesenennsns O 1.5.2. XML DESIZN RUIES...ceiiieieeeiiietieceiieeee ettt ee et ee s es st ee s s staeee s sssaseeesassasnaeesssnsnneeassssnneesssssnnenees ] 1.5.2. XIMIL SCREMIA ettt ettt ettt st s st ee et e s st ee st e s sbte e et ee s sabeassnseesnbeessssaesnneeeessneasnns 1.6. REIEASE NOLES ...neeiiiiiie ettt et ettt ettt s e e et e e st te e et eesabbeesateeesubeeenseeesaneeesseeenneessusseanssees LD I ST O =T YT o e O PP PP PPPPPPTPPPPPR A1 I ST A =T YT o e O PO PPPPPPOPPPPUPR I o 1.7. Change ManagemMENTt.......ceuiicciiieeeieetieee ettt eeseesttaeessettteeessstteeesssnseeeessanssseessssssseesssnsssesssssssssesssnass LO O B g =) = Y =T €1 o I PP PUPPPPOPPPPUPR I o A Y 1 g Yo T gV A =T €1 o o PP PTPPPPOPPPPPR I o 1.7.3. MAJOT VEISION ceeeitiiitiiiitititicee e ee e e e e e e e e eeeeeeetetetetettrteee e st st s ssas s s sesasesasesaseseaeeeesesesesseseresns LO 1.7.4. Minor Version Changes to the XML SChema ........ccooviiiiiiiiiiiieiiisecie e cssieee s seeesesseens 17 1.7.5. Major Version Changes to the XML SChema.........ccoivuiiiiiiiiiiieiiisecie e seee e snee e e seens 18 2. ADSEract Data CONTENT......iieiiie ettt ettt ettt e et ee et e st ee et e e st te e etee s subeesanseesnbeesssseesnneeeesseeees LO 2.1. Relationship Data File HEAUEr.........cciiiiiiiiiiiiieie et ccsiieee st ee s seeee e s seieeeeassssseeessssnnneessssnnees 1O 2.2. Relationship RECOIT .....iiiiiiiiie ittt ee e st ee s e ee s s s ssseee s sssaneeaesssssneeesssssneeesssssnnees 20 2.2, ReltIONSIP .eviiee ettt e e s st te e s s sraeaessnnaeeessnnsnneessnnns 20 2.2.2. REGISTIAtiON .. e e e e e e e e e e eeeeeeeeeeeteae e bt e ne s nnn s e e s e ananenaes 22 2.2.3 EXEENSTION 1.ttt et e e e e s s re s reaeeeees 23 2.3. Data Element REFErENCE .. .coi ittt et

tt et et savte e see e sneeessnneesneee e 280 2.3.1. Element rr:RelationshipData ......cccccecciiiii ettt etree e eree e s eeee e s sreee e eee 2D 2.3.2. Element rr:RelationshipDataType / HEAAEN .....cccvviiiieicciie ettt eine0000 20 2.3.3. Element rr:RRHeaderType / ContentDate .......ccecuveiiiiieeceee et srte e svae e seneaeens 27 2.3.4. Element rr:RRHeaderType / OrigiNator .....icceeeeeeieciie et eree e stvae e srte s srae e erneeees 28 2.3.5. Element rr:RRHeaderType / FIleCONTENT ....cccuveeeiiiiiciie ettt s sree e eene e 29 2.3.6. Element rr:RRHeaderType / DeaSTart .....ccccceecieeeecie e ceeesitie e eeeestiteesreeesveesssaae s sveeessenesnees 31 2.3.7. Element rr:RRHeaderType / RECOrdCOUNT.......ccccuiieiiiieeciieesitieeereesttteesveeeseeeeesseaessneeesssseenens 32 Public Author: GLEIF | Version: Final | 2017-03-16 Page 2 0of 90

] Relationship Record Common Data File format V1.1 @ LE| </xs:restriction> </xs:simpleType> <xs:complexType name="RelationshipPeriodsType'"> <xs:sequence> <xs:element name="RelationshipPeriod" type="rr:RelationshipPeriodType" maxOccurs="unbounded"/> </xs:sequence> </xs:complexType> <xs:complexType name="RelationshipPeriodType"> <xs:sequence> <xs:element name="StartDate" type="rr:LEIDateTimeProfile" minOccurs="0"/> <xs:element name="EndDate" type="rr:LEIDateTimeProfile" minOccurs="0"/> <xs:element name="PeriodType" type="rr:PeriodTypeEnum"/> </xs:sequence> </xs:complexType> <xs:simpleType name="PeriodTypeEnum"> <xs:restriction base="xs:string"> <xs:enumeration value="ACCOUNTING PERIOD"/> <xs:enumeration value="RELATIONSHIP PERIOD"/> <xs:enumeration value="DOCUMENT FILING PERIOD"/> </xs:restriction> </xs:simpleType> <xs:simpleType name="RelationshipStatusEnum"> <xs:restriction base="xs:string"> <xs:enumeration value="ACTIVE"/> <xs:enumeration value="INACTIVE"/> </xs:restriction> </xs:simpleType> <xs:complexType name="RelationshipQualifiersType"> <xs:sequence> <xs:element name="RelationshipQualifier" type="rr:RelationshipQualifierType" minOccurs="0" maxOccurs="unbounded"/> </xs:sequence> Public Author: GLEIF | Version: Final | 2017-03-16 Page 11 of 90

] Relationship Record Common Data File format V1.1 @ LEI </xs:complexType> <xs:complexType name="RelationshipQualifierType'"> <xs:sequence> <xs:element name="QualifierDimension" type="rr:QualifierDimensionEnum"/> <xs:element name="QualifierCategory" type="rr:QualifierCategoryTypeEnum" minOccurs="0"/> </xs:sequence> </xs:complexType> <xs:simpleType name="QualifierDimensionEnum"> <xs:restriction base="xs:string"> <xs:enumeration value="ACCOUNTING STANDARD"/> </xs:restriction> </xs:simpleType> <xs:simpleType name="QualifierCategoryTypeEnum'"> <xs:restriction base="xs:string"> <xs:enumeration value="US_ GAARP"/> <xs:enumeration value="IFRS"/> <xs:enumeration value="OTHER ACCOUNTING STANDARD"/> </xs:restriction> </xs:simpleType> <xs:complexType name="RelationshipQuantifiersType"> <xs:sequence> <xs:element name="RelationshipQuantifier" type="rr:RelationshipQuantifierType" minOccurs="0" maxOccurs="unbounded"/> </xs:sequence> </xs:complexType> <xs:complexType name="RelationshipQuantifierType"> <xs:sequence> <xs:element name="MeasurementMethod" type="rr:MeasurementMethodTypeEnum" /> <xs:element name="QuantifierAmount" type="xs:decimal"/> <xXs:element name="QuantifierUnits" type="rr:QuantifierUnitsTypeEnum" minOccurs="0"/> </xs:sequence> </xs:complexType> <xs:simpleType name="MeasurementMethodTypeEnum'"> Public Author: GLEIF | Version: Final | 2017-03-16 Page 12 of 90

] Relationship Record Common Data File format V1.1 @ LEI <xs:restriction base="xs:string"> <xs:enumeration value="ACCOUNTING CONSOLIDATION"/> </xs:restriction> </xs:simpleType> <xs:simpleType name="QuantifierUnitsTypeEnum"> <xs:restriction base="xs:string"> <xs:enumeration value="PERCENTAGE"/> </xs:restriction> </xs:simpleType> <xs:complexType name="RegistrationContainerType'"> <xs:sequence> <xs:element name="InitialRegistrationDate" type="rr:LEIDateTimeProfile"/> <xs:element name="LastUpdateDate" type="rr:LEIDateTimeProfile"/> <xs:element name="RegistrationStatus" type="rr:RegistrationStatusEnum"/> <xs:element name="NextRenewalDate" type="rr:LEIDateTimeProfile" minOccurs="0"/> <xs:element name="ManagingLOU" type="rr:LEIType"/> <xs:element name="ValidationSources" type="rr:ValidationSourcesTypeEnum"/> <xs:element name="ValidationDocuments" type="rr:ValidationDocumentsTypeEnum"/> <xs:element name="ValidationReference" type="rr:Tokenized500Type" minOccurs="0"/> <xs:element name="NextVersion" type="rr:RegistrationNextVersionType" minOccurs="0"/> <xs:element name="Extension" type="rr:ExtensionType" minOccurs="0"/> </xs:sequence> </xs:complexType> <xs:simpleType name="RegistrationStatusEnum"> <xs:restriction base="xs:string"> <xs:enumeration value="PENDING VALIDATION"/> <xs:enumeration value="PUBLISHED"/> <xs:enumeration value="DUPLICATE"/> <xs:enumeration value="LAPSED"/> <xs:enumeration value="RETIRED"/> Public Author: GLEIF | Version: Final | 2017-03-16 Page 13 of 90

] Relationship Record Common Data File format V1.1 @ LE| <xs:enumeration value="ANNULLED"/> <xs:enumeration value="TRANSFERRED"/> <xs:enumeration value="PENDING TRANSFER"/> <xs:enumeration value="PENDING ARCHIVAL"/> </xs:restriction> </xs:simpleType> <xs:simpleType name="ValidationDocumentsTypeEnum"> <xs:restriction base="xs:string"> <xs:enumeration value="ACCOUNTS FILING"/> <xs:enumeration value="REGULATORY FILING"/> <xs:enumeration value="SUPPORTING DOCUMENTS"/> <xs:enumeration value="CONTRACTS"/> <xs:enumeration value="OTHER OFFICIAL DOCUMENTS"/> </xs:restriction> </xs:simpleType> <xs:simpleType name="ValidationSourcesTypeEnum'"> <xs:restriction base="xs:string"> <xs:enumeration value="PENDING"/> <xs:enumeration value="ENTITY SUPPLIED ONLY"/> <xs:enumeration value="PARTIALLY CORROBORATED"/> <xs:enumeration value="FULLY CORROBORATED"/> </xs:restriction> </xs:simpleType> <xs:simpleType name="LEIDateTimeProfile'"> <xs:restriction base="xs:dateTime"> <xs:pattern value=" ([".1] ([".1(. ((\Nd){1,3})){0,1})) (ZIN+([01][0-9]|2[0— 31):([0-5]110-91)1-([01]1[0-9]12[0-3]):([0-5][0-9]))" /> </xs:restriction> </xs:simpleType> <xs:complexType name="HeaderNextVersionType"> <xs:sequence> <xs:any minOccurs="0" maxOccurs="unbounded" processContents="lax" namespace="##targetNamespace"/> Public Author: GLEIF | Version: Final | 2017-03-16 Page 14 of 90

] Relationship Record Common Data File format V1.1 @ LE| </xs:sequence> </xs:complexType> <xs:complexType name="RelationshipRecordNextVersionType'"> <xs:sequence> <xs:any minOccurs="0" maxOccurs="unbounded" processContents="lax" namespace="##targetNamespace"/> </xs:sequence> </xs:complexType> <xs:complexType name="RelationshipNextVersionType"> <xs:sequence> <xs:any minOccurs="0" maxOccurs="unbounded" processContents="lax" namespace="##targetNamespace"/> </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:schema> 1.6. Release Notes 1.6.1. Version 1.1 Corrections: = Corrected elementFormDefault="unqualified" to elementFormDefault="qualified". Public Author: GLEIF | Version: Final | 2017-03-16 Page 15 of 90

Relationship Record Common Data File format V1.1 ‘@ LE| ~?

1.6.2. Version 1.0 The first release. 1.7. 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: 1.7.1. 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 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. 1.7.2. 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 1.1.3to 1.2. 1.7.3. 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

Public

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Relationship Record Common Data File format V1.1 ‘@, LE| version. 1.7.4. 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 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:

e 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.

e 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:

o Asequence of the new elements introduced in the previous version. o Asubsequent NextversionN element where N is an index number starting at 1 and incremented by 1 with each minor version. Public Author: GLEIF | Version: Final | 2017-03-16 Page 17 of 90

Relationship Record Common Data File format V1.1 ‘@ LE| \I

e 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.

e 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.

1.7.5. 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. 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.

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:

e AHeader.

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Relationship Record Common Data File format V1.1 ‘3 LEl N’ e Zero or more Relationship Records. ® [ ] rrRelationshipDataType 5 ———rr— L @e rrRelationshipDataType RelationshipRecords G + rr:RelationshipRecordsType 2.1. Relationship Data File Header The Relationship Data File Header describes the context for the Relationship 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 Relationship Record; each Relationship Record is self-contained. Public Author: GLEIF | Version: Final | 2017-03-16 Page 19 of 90

Relationship Record Common Data File format V1.1 ‘% LEl N ® [ ] rr:RRHeaderType o rr:LEIDateTimeProfile Originator ® Type | rr:LEIType (FileContent ] o (Jype | rr:FileContentEnum ) DeltaStart R — Type | rr:LEIDateTimeProfile 5 xs:nonNegativelnteger NextVersion ® Type | rr:HeaderNextVersionType Extension ® Type | rr:ExtensionType 2.2. Relationship Record An Relationship Record describes a single LEI registration. Each Relationship Record in a file conforming to this standard SHALL include data elements as described below: 2.2.1. Relationship The Relationship container element identifies the two related entities and their relationship. Public Author: GLEIF | Version: Final | 2017-03-16 Page 20 of 90

]

Relationship Record Common Data File format V1.1 @ LE| 2.3.8. Element rr:RRHeaderType / NeXtVErsiON ......cccccuiieciieeciieesctieeeceeesiteessveeesveesssaae e seeeesssneenens 33 2.3.9. Element rr:RRHeaderType / EXTENSION ......cccviieiieecceiecciie ettt e srree e e s svae s eineessvveannneeeenns 3 2.3.10. Element rr:RelationshipDataType / RelationshipRecords .........c.cccccvevviveesceriiiieeecceeesiieen. 35 2.3.11. Element rr:RelationshipRecordsType / RelationshipRecord...........cccccevvveeccveiinieeccciie e 36 2.3.12. Element rr:RelationshipRecordType / Relationship ........cccccceevecieecciiiisiiecceeeesieeeeveeeeienennn 37 2.3.13. Element rr:RelationshipContainerType / StartNOde.........ccccvvevecveecciieesiie e sie e eree e eieees 38 2.3.14. Element rr:NodeType / NOUEID ...c.cueeeiiie ettt et e e ste e s e stte e s staaesneeeesreeasnnnaeessseasnes 39 2.3.15. Element rr:NodeType / NOdeIDTYPE ..cccvieeereeeeeiectieeeeeeestie e eveesvieessrvaeenneeesnnessnnneessnneannns 40 2.3.16. Element rr:RelationshipContainerType / ENANOAE ......c.cevvvvivecceeeciieecieee e 41 2.3.17. Element rr:RelationshipContainerType / RelationshipType .....cccccccvvevcvveeccereccie e e 42 2.3.18. Element rr:RelationshipContainerType / RelationshipPeriods...........cccccvveecereivieecceeecnnnenn 43 2.3.19. Element rr:RelationshipPeriodsType / RelationshipPeriod .........cccccceeecvveeviesccceee e 44 2.3.20. Element rr:RelationshipPeriodType / StartDate.......cccccceeeeviveeeceeesiieeccree e essine e eveeessene e 45 2.3.21. Element rr:RelationshipPeriodType / ENdDate.......cccceeccveeiviieiieieciieccsivie e svie e enee e 46 2.3.22. Element rr:RelationshipPeriodType / PEriodTyPe .....cccccveeevieeiireecieescvie e svieeevee e eneann 47 2.3.23. Element rr:RelationshipContainerType / RelationshipStatus..........ccccoevvveecceveeiiieeccciee e 48 2.3.24. Element rr:RelationshipContainerType / RelationshipQualifiers...........cccceecvvvevinicccreeeenen. 49 2.3.25. Element rr:RelationshipQualifiersType / RelationshipQualifier ...........cccccecevveiiiiiccvie ... 50 2.3.26. Element rr:RelationshipQualifierType / QualifierDimension..........ccccccevvveeeereiviieeecceeesinna 51 2.3.27. Element rr:RelationshipQualifierType / QualifierCategory.......cccccecvvevveveeecereiiieeeeeeesiieanen 52 2.3.28. Element rr:RelationshipContainerType / RelationshipQuantifiers.............cccceevveeeevenennnenn. 53 2.3.29. Element rr:RelationshipQuantifiersType / RelationshipQuantifier ............cccccc

eveevvveennneen.nn. 54 2.3.30. Element rr:RelationshipQuantifierType / MeasurementMethod...............ccceevvveeeceeeeiinenn. 55 2.3.31. Element rr:RelationshipQuantifierType / QuantifierAmount..........cccccccvveecceieiiieeccciie e el 56 2.3.32. Element rr:RelationshipQuantifierType / QuantifierUnits.........cccccceveeivieecceeeiiiieececieeescennnns 57 2.3.33. Element rr:RelationshipContainerType / NeXtVEersion ........cccccceceeecieeiivieecceeesieesssreeeseeenens D8 2.3.34. Element rr:RelationshipContainerType / EXtENSION .....ccceevviiieveeciieeesivieeceeeesieeeereeeseeeeeees D9 2.3.35. Element rr:RelationshipRecordType / Registration .........cccccceeveeeeecieeiiiieeceeeesieeeeveeeeeneennn, 60 2.3.36. Element rr:RegistrationContainerType / InitialRegistrationDate .........cccceeeceveevveeeceeesiinnnnn 61 2.3.37. Element rr:RegistrationContainerType / LastUpdateDate .......cccccccvvercvveeecieriisiieecceeessineennn. 62 2.3.38. Element rr:RegistrationContainerType / RegistrationStatus..........cccceevvveeecereiiieecceeesiineennn. 63 2.3.39. Element rr:RegistrationContainerType / NextRenewalDate ..........ccccceevveeecereiiieeeceeesiineennn. 65 2.3.40. Element rr:RegistrationContainerType / ManagingLOU..........ccccceeevviivvieeceeeesieeecieeeeeeenn.. 66

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Relationship Record Common Data File format V1.1 ‘3 LE| N ® [] rr:RelationshipContainerType o o o RelationshipPeriods ® Type | rr:RelationshipPeriodsType . . o 0..0 | RelationshipQualifiers ® Type | rr:RelationshipQualifiersType 0..00 | RelationshipQuantifiers ® Type | rr:RelationshipQuantifiersType NextVersion ¢ Type | rr:RelationshipNextVersionType Extension ® Type | rr:ExtensionType 2.2.1.1. Related Entities The I1SO 17442-compliant identifiers of the legal entities related by this Relationship Record. ® (Type | rr:LEMype ) c 2.2.1.2. Relationship Attributes Attributes describing the dates, type, qualitative and quantitative aspects of the relationship itself, as required. The data is supplied by the legal entity, and recorded and published by the LOU. Public Author: GLEIF | Version: Final | 2017-03-16 Page 21 of 90

Relationship Record Common Data File format V1.1 ‘% LE| N ® [ ] rr:RelationshipPeriodsType ® [] rr:RelationshipPeriodType StartDate ® Type | rr:LEIDateTimeProfile 7 N L N AR . Type [ rLEDaeTmeprofie . ® [ rrRelationshipQualifiersType ® [] rrRelationshipQualifierType o o 0.. | RelationshipQualifier o G o Type | rr:RelationshipQualifierType | QualifierCategory e ( Type | rr:QualifierCategoryTypeEnum ® [] rr:RelationshipQuantifiersType ® [] rr:RelationshipQuantifierType . o 0..0 | RelationshipQuantifier o ® ' Type | rr:RelationshipQuantifierType m QuantifierUnits ® Type | rr:QuantifierUnitsTypeEnum 2.2.2. Registration Attributes describing the registration of this relationship information with an LOU. The Registration datais maintained by the LOU. Public Author: GLEIF | Version: Final | 2017-03-16 Page 22 of 90

Relationship Record Common Data File format V1.1 ‘3 LE| N’ [©] [] rr:RegistrationContainerType o 5 o NextRenewalDate ® Type | rr:LEIDateTimeProfile o Simm— O e (Valgatonsources ) (Valdaiombocsmens ). ValidationReference ® Type | rr:-Tokenized500Type NextVersion ® Type | rr:RegistrationNextVersionType Extension ® Type | rr:ExtensionType 2.2.3. Extension The optional Extension section of a Relationship 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: 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. Public Author: GLEIF | Version: Final | 2017-03-16 Page 23 of 90

Relationship Record Common Data File format V1.1 ‘@ LEI \l

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

The following pages describe all individual data elements, attributes and datatypes, one per page.

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Relationship Record Common Data File format V1.1 ‘3 LE| N 2.3.1. Element rr:RelationshipData Contains the file structure for the whole relationship records file as specified in the XML datatypes below. rr:RelationshipDataType content complex <rr:RelationshipData xmlns:rr="http://www.gleif.org/data/schema/rr/2016">

<RelationshipRecords>{1l,1}</RelationshipRecords> </rr:RelationshipData> Public Author: GLEIF | Version: Final | 2017-03-16 Page 25 of 90

Relationship Record Common Data File format V1.1 ‘% LE| N 2.3.2. Element rr:RelationshipDataType / Header Contains the file upload information for this RelationshipData file. rr:RRHeaderType content complex

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Relationship Record Common Data File format V1.1 ‘; 3' LEl 2.3.3. Element rr:RRHeaderType / ContentDate The date and time as of which the data contained in the file is valid. rr:LEIDateTimeProfile content simple (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 | 2017-03-16 Page 27 of 90

Relationship Record Common Data File format V1.1 ‘3 LE| N 2.3.4. Element rr:RRHeaderType / Originator The LEI of the entity that created the content of this file. rr:LEIType content simple minOccurs 0 minLength 20 maxLength 20 pattern ([0-9A-Z]{18}[0-9]{2}) Public Author: GLEIF | Version: Final | 2017-03-16 Page 28 of 90

Relationship Record Common Data File format V1.1 ‘@ LE| ~? 2.3.5. Element rr:RRHeaderType / FileContent A code describing the content of this relationship record file. rr:FileContentEnum content simple The file contains all relationship records created for internal use by an LOU (all internal enumeration LOU_FULL_INTERNAL relationship records for which the LOU is the ManagingLoU) as of the date/time the file is created. The file contains those relationship records created by an LOU for internal use (all internal enumeration LOU DELTA INTERNAL relationship recor.ds for which the LOU is the - - ManagingLou) which are new or changed since the Deltastart specified in the Header, as of the date/time the file is created. The file contains all relationship records published . by an LOU (all relationship records for which the enumeration LOU_FULL_PUBLISHED LOU is the ManagingLou) as of the date/time the file is created. The file contains those relationship records published by an LOU (all relationship records for enumeration LOU_DELTA_PUBLISHED which the LOU is the ManagingLou) which are new or changed since the peltastart specified in the Header, as of the date/time the file is created The file contains all relationship records GLEIF enumeration GLEIE FULL INTERNAL manages mtgrnallY to the GLEIS (including all - - internal relationship records from all LOUs) as of the date/time the file is created. enumeration GLEIF DELTA INTERNAL The file contains those relationship records GLEIF - - manages internally to the GLEIS (including all Public Author: GLEIF | Version: Final | 2017-03-16 Page 29 of 90

Relationship Record Common Data File format V1.1 ‘6 LE| P internal relationship records from all LOUs) 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 relationship records published enumeration GLEIF_FULL_PUBLISHED by GLEIF (including all relationship records from all LOUs) as of the date/time the file is created. The file contains those relationship records published by GLEIF (including all relationship enumeration GLEIF_DELTA_PUBLISHED records from all LOUs) which are new or changed since the peltastart date 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 | 2017-03-16 Page 30 of 90

]

Relationship Record Common Data File format V1.1 @ LE| 2.3.41. Element rr:RegistrationContainerType / ValidationSources..........cccccevvvieeceeeesieesecveessnnnnnn 67 2.3.42. Element rr:RegistrationContainerType / ValidationDocuments...........cccceeeveeerveeeicveeeennennn.. 68 2.3.43. Element rr:RegistrationContainerType / ValidationReference........cccccccvveevvveiieiccciee ... 69 2.3.44. Element rr:RegistrationContainerType / NeXtVersion.........cccceeevveeeveeesvieeccneeesieesssveessnnannn 70 2.3.45. Element rr:RegistrationContainerType / EXtENSION ......ceeevvvieerceeesiieecreie e ecsiie e eeeessineanenn 71 2.3.46. Element rr:RelationshipRecordType / NeXtVersion........ccccueeeceeeesvieeicreeesieeesseneeseneeesssneanens 72 2.3.47. Element rr:RelationshipRecordType / EXLENSION .......ccccveeiiiieecceeeciie e eieeesrvee e eeeessiae e 73 2.3.48. Simple Type rr:LEIDateTimeEProfile .....ccciicciiiie et ee s sseveeeessvnneeeanens 1D 2.3.49. SIMPIE TYPE ITiLEITYPE wevriiiieiieie ettt ette e ertte e e ette e e s stee e e stee e e e sanreeaassnsenessssens 7D 2.3.50. Simple Type rr:FileContentENUM ......c.coiii ittt eette e eesreeeeessaneeeeeens 0 2.3.51. Simple Type rr:NOdelDTYPEENUM.......ciii ittt ceiie e eerie e eeerrae e s ssraeeeessaeeeeessaneeeenns 1O 2.3.52. Simple Type rr:RelationshipTYPEENUM .....c.uviii ittt seiee e sveeeesseaneeeeeees 7D 2.3.53. Simple Type rr:PeriodTYPEENUM ....cc.viiii ittt eeree e e sreeeeesraeeee e SO 2.3.54. Simple Type rr:RelationshipStatUSENUM .........cccciiiiiiiiiiie et seeee e S 2.3.55. Simple Type rr:QualifierDimenSioNENUM .......ccccciiiiriiiiie et eree e eree e seeee e eeee 82 2.3.56. Simple Type rr:QualifierCategoryTYPEENUM .. ...oviiiiiiieie ettt 83 2.3.57. Simple Type rr:MeasurementMethodTypPeENUM .......ccvieiiiiiiiiiriiiiieee et sviieee e 88 2.3.58. Simple Type rr:QuantifierUnitSTYPEENUM ....cciiciieie ettt eree et sreee e eeee 8D 2.3.59. Simple Type rr:RegistrationStatUSENUM ......uiiiiiiiiiir ettt e srre e staae e s SO 2.3.60. Simple Type rr:ValidationSourcesTYPEENUM ....c..uviieiicciieie et ctie et srre e e sraae e e 88 2.3.61. Simple Type rr:ValidationDocumentsTYPEENUM .......cccveeeiiciiieieeeciiieee e ceiieee e seieeeeeseeeeeee e 89 2.3.62. Simple Type rr:ToKenized500TYPE ...uuvveiicciiiieeeeciiieeeeeiieeeesestieeeeserneeesessseeeessssseeeesssssssesesnees 90

Public

Author: GLEIF | Version: Final | 2017-03-16 Page 4 of 90

Relationship Record Common Data File format V1.1 ‘3 LEl N’ 2.3.6. Element rr:RRHeaderType / DeltaStart The date and time of the baseline relative to which this file contains new or changed Relationship Records. rr: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 | 2017-03-16 Page 31 of 90

Relationship Record Common Data File format V1.1 ‘% LE| N 2.3.7. Element rr:RRHeaderType / RecordCount The number of relationship records in the file. xs:nonNegativelnteger content simple Public Author: GLEIF | Version: Final | 2017-03-16 Page 32 of 90

Relationship Record Common Data File format V1.1 ‘3 LE| P 2.3.8. Element rr:RRHeaderType / 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. rr:HeaderNextVersionType content complex minOccurs 0 Public Author: GLEIF | Version: Final | 2017-03-16 Page 33 of 90

Relationship Record Common Data File format V1.1 ‘3 LE| N 2.3.9. Element rr:RRHeaderType / Extension This Extension element may contain any additional elements required to extend the Header container element. rr:ExtensionType content complex minOccurs 0 Public Author: GLEIF | Version: Final | 2017-03-16 Page 34 of 90

Relationship Record Common Data File format V1.1 ‘% LE| N 2.3.10. Element rr:RelationshipDataType / RelationshipRecords Container for all of the RelationshipRecord container elements submitted with this file. rr:RelationshipRecordsType content complex <RelationshipRecords> <RelationshipRecord>{0,unbounded}</RelationshipRecord> </RelationshipRecords> Public Author: GLEIF | Version: Final | 2017-03-16 Page 35 of 90

Relationship Record Common Data File format V1.1 ‘3 LE| N’ 2.3.11. Element rr:RelationshipRecordsType / RelationshipRecord Contains all relationship information including identifiers referring to the related entities, the specific type and other attributes of the relationship itself, and details of the relationship's registration with the ManagingLou. rr:RelationshipRecordType content complex minOccurs 0 maxOccurs unbounded <RelationshipRecord> <Relationship>{1l,1}</Relationship> <Registration>{1l,1}</Registration> <NextVersion>{0,1}</NextVersion> <Extension>{0,1l}</Extension> </RelationshipRecord> Public Author: GLEIF | Version: Final | 2017-03-16 Page 36 of 90

Relationship Record Common Data File format V1.1 ‘3' LE| 2.3.12. Element rr:RelationshipRecordType / Relationship The rRelationship container element contains the identifiers of the two entities related by the reported relationship, as well as the type of relationship, dates related to the relationship and other relationship quantifiers and qualifiers. rr:RelationshipContainerType content complex <Relationship> <StartNode>{1l,1}</StartNode> <EndNode>{1, 1}</EndNode> <RelationshipType>{1l,1}</RelationshipType> <RelationshipPeriods>{0,1}</RelationshipPeriods> <RelationshipStatus>{1,1}</RelationshipStatus> <RelationshipQualifiers>{0,unbounded}</RelationshipQualifiers> <RelationshipQuantifiers>{0,unbounded}</RelationshipQuantifiers> <NextVersion>{0,1}</NextVersion> <Extension>{0,1l}</Extension> </Relationship> Public Author: GLEIF | Version: Final | 2017-03-16 Page 37 of 90

Relationship Record Common Data File format V1.1 ‘3 LE| N 2.3.13. Element rr:RelationshipContainerType / StartNode An LEl or ISO 17442-compatible ID for the entity at the "start" of a directional relationship. rr:NodeType content complex <StartNode> <NodeID>{1l,1}</NodeID> <NodeIDType>{1l, 1}</NodeIDType> </StartNode> Public Author: GLEIF | Version: Final | 2017-03-16 Page 38 of 90

Relationship Record Common Data File format V1.1 ‘3 LE| N 2.3.14. Element rr:NodeType / NodelD The identifier for the entity designated by this node. rr:LEIType content simple minLength 20 maxLength 20 pattern ([0-9A-Z]{18}[0-9]{2}) Public Author: GLEIF | Version: Final | 2017-03-16 Page 39 of 90

Relationship Record Common Data File format V1.1 ‘% LE| P 2.3.15. Element rr:NodeType / NodelDType The type of identifier used to designate this node's entity. rr:NodelDTypeEnum content simple enumeration LEI An LEI code taken from the LEl issuing prefix namespace of a GLEIS LOU. . An ISO 17442-compatible code, not taken from enumeration IS0_17442_COMPATIBLE the LEl issuing prefix namespace of a GLEIS LOU. Public Author: GLEIF | Version: Final | 2017-03-16 Page 40 of 90

Relationship Record Common Data File format V1.1 ‘@ LE| \I 1. Introduction Documentation updated: 2017-03-16 This XML schema defines a reporting format for relationship records for Global Legal Entity Identifier System (GLEIS) Local Operating Units (LOUs) to report relationships between two legal entities (one relationship per relationship record). Types of relationship supported: e LEl to LEl relationships. e LEI to (GLEIS-internal) Provisional Node Identifier (PNI) for reporting parent entities which do not yet have an LEI. 1.1. 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 the policy document published by the LEI ROC entitled "Collecting data on direct and ultimate parents of legal entities in the Global LEI System — Phase 1” (10 March 2016; available from www.leiroc.org). 1.2. Terminology and Typographical Conventions The following typographical conventions are used throughout the document: o ALL CAPS type is used for the special terms enumerated above. o Monospace type is used to denote programming language, UML, and XML identifiers, as well as for the text of XML documents. Public Author: GLEIF | Version: Final | 2017-03-16 Page 5 of 90

Relationship Record Common Data File format V1.1 ‘3 LE| N 2.3.16. Element rr:RelationshipContainerType / EndNode An LEl or ISO 17442-compatible ID for the entity at the "end" of a directional relationship. rr:NodeType content complex <EndNode> <NodeID>{1l,1}</NodeID> <NodeIDType>{1l, 1}</NodeIDType> </EndNode> Public Author: GLEIF | Version: Final | 2017-03-16 Page 41 of 90

Relationship Record Common Data File format V1.1 ‘@ LEI \I 2.3.17. Element rr:RelationshipContainerType / RelationshipType A unique code designating the specific category of a directional relationship between two legal entities. rr:RelationshipTypeEnum content simple StartNode is directly consolidated by EndNode. The startNode "child" entity has its accounts fully consolidated by the EndNode "parent" entity, in the sense given by the accounting enumeration IS_DIRECTLY_CONSOLIDATED_BY standard(s) specified in RelationshipQualifiers; the EndNode entity is the closest fully consolidating parent to the startNode entity in any applicable hierarchical ownership structure. StartNode is ultimately consolidated by EndNode. The startNode "child" entity has its accounts fully consolidated by the EndNode "parent" entity, in the sense given by the accounting enumeration IS_ULTIMATELY_CONSOLIDATED_BY standard(s) specified in RelationshipQualifiers; the EndNode entity is the most distant fully consolidating parent from the StartNode entity in any applicable hierarchical ownership structure. StartNode is an international branch of the legal entity designated by EndNode enumeration IS_INTERNATIONAL_BRANCH_OF (in jurisdiction country of startNode). The EndNode is the Head Office and MUST be an LEI. Public Author: GLEIF | Version: Final | 2017-03-16 Page 42 of 90

Relationship Record Common Data File format V1.1 ‘3 LE| N’ 2.3.18. Element rr:RelationshipContainerType / RelationshipPeriods A collection of paired beginning and end dates relating to: the relationship itself, periods (e.g. accounting cycles) covered by documents demonstrating the relationship, or the filing date(s) of those documents. rr:RelationshipPeriodsType content complex minOccurs 0 <RelationshipPeriods> <RelationshipPeriod>{1,unbounded}</RelationshipPeriod> </RelationshipPeriods> Public Author: GLEIF | Version: Final | 2017-03-16 Page 43 of 90

Relationship Record Common Data File format V1.1 ‘3 LE| N’ 2.3.19. Element rr:RelationshipPeriodsType / RelationshipPeriod Contains one set of start and end dates for a particular type of period, for example, the duration of the relationship itself, the filing or validity period of any documents demonstrating the relationship, or the accounting period they refer to. rr:RelationshipPeriodType content complex maxOccurs unbounded <RelationshipPeriod> <StartDate>{0,1}</StartDate> <EndDate>{0,1}</EndDate> <PeriodType>{1l,1}</PeriodType> </RelationshipPeriod> Public Author: GLEIF | Version: Final | 2017-03-16 Page 44 of 90

Relationship Record Common Data File format V1.1 ‘; 3' LEl 2.3.20. Element rr:RelationshipPeriodType / StartDate The start date for a particular period relevant to the relationship. rr: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 | 2017-03-16 Page 45 of 90

Relationship Record Common Data File format V1.1 ‘; 3' LEl 2.3.21. Element rr:RelationshipPeriodType / EndDate The end date for a particular period relevant to the relationship. rr: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 | 2017-03-16 Page 46 of 90

Relationship Record Common Data File format V1.1 ‘@ LEI \l 2.3.22. Element rr:RelationshipPeriodType / PeriodType The particular type of period, for example, the duration of the relationship itself, the filing or validity period of any documents demonstrating the relationship, or the accounting period they refer to. rr:PeriodTypeEnum content simple The dates in this instance of enumeration ACCOUNTING PERIOD Rel'ationshipPeriod indicate the acc'oun.tlng - period covered by the most recent validation documents for this relationship. The dates in this instance of enumeration RELATIONSHIP PERIOD Rel'a'tionshipPeri'od |n.cI|<.:ate the dl.,lra'tlon of - validity of the relationship itself, as distinct from any administrative or reporting aspects. The dates in this instance of RelationshipPeriod indicate the validity enumeration DOCUMENT_FILING_PERIOD period of a regulatory filing, accounting document, or other document demonstrating the relationship's validity. Public Author: GLEIF | Version: Final | 2017-03-16 Page 47 of 90

Relationship Record Common Data File format V1.1 ‘3 LE| N’ 2.3.23. Element rr:RelationshipContainerType / RelationshipStatus The status of the legal entities' relationship itself: AcTIVE or INACTIVE. rr:RelationshipStatusEnum content simple As of the last report or update, the reporting legal enumeration ACTIVE entity reported thatitis Iegal!y reg.lstered.and./or operating, AND that the relationship detailed in this RelationshipRecord is still valid. It has been determined that the relationship ended, e.g. because entity that reported this enumeration INACTIVE relationship is no longer legally registered and/or operating; or the relationship is no longer valid for other reasons. Public Author: GLEIF | Version: Final | 2017-03-16 Page 48 of 90

Relationship Record Common Data File format V1.1 ‘3 LE| N 2.3.24. Element rr:RelationshipContainerType / RelationshipQualifiers Any additional qualitative attributes that help to categorize the relationship. rr:RelationshipQualifiersType content complex minOccurs 0 maxOccurs unbounded <RelationshipQualifiers> <RelationshipQualifier>{1, unbounded}</RelationshipQualifier> </RelationshipQualifiers> Public Author: GLEIF | Version: Final | 2017-03-16 Page 49 of 90

Relationship Record Common Data File format V1.1 ‘3 LE| N 2.3.25. Element rr:RelationshipQualifiersType / RelationshipQualifier Container for all sets of relationship qualifier information. rr:RelationshipQualifierType content complex minOccurs 1 maxOccurs unbounded <RelationshipQualifier> <QualifierDimension>{1l,1}</QualifierDimension> <QualifierCategory>{0,1}</QualifierCategory> </RelationshipQualifier> Public Author: GLEIF | Version: Final | 2017-03-16 Page 50 of 90

Relationship Record Common Data File format V1.1 ‘@ LE| ~? 1.3. Cardinalities

o 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.

Please note:

o 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.

o 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.

o 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.

1.4. 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. 1.5. XML Syntax This section specifies the XML schema for an LEI data file conforming to this standard. Public Author: GLEIF | Version: Final | 2017-03-16 Page 6 of 90

Relationship Record Common Data File format V1.1 ‘3 LE| N’ 2.3.26. Element rr:RelationshipQualifierType / QualifierDimension Designates the optional list of additional qualitative attributes that help to categorize the relationship. rr:QualifierDimensionEnum content simple The accounting standard applied to determine the definition of e.g. ultimate or direct accounting enumeration ACCOUNTING STANDARD f:ons.olldatmg parent for the relationship detailed - in this RelationshipRecord. The relevant accounting standard is that applicable to the EndNode (the "parent" entity). Public Author: GLEIF | Version: Final | 2017-03-16 Page 51 of 90

Relationship Record Common Data File format V1.1 ‘3' LE| 2.3.27. Element rr:RelationshipQualifierType / QualifierCategory Specifies the additional qualitative attributes that help to categorize the relationship. rr:QualifierCategoryTypeEnum content simple minOccurs 0 i - ly A enumeration US_GAAP United S.tates .Ge.nera y Accepted Accounting Principles. International Financial Reporting Standard . (developed by the International IFR enumeration IFRS Accounting Standards Board — IASB see http://www.ifrs.org). A financial reporting (accounting) enumeration OTHER_ACCOUNTING_STANDARD °t2"dard not otherwise listed in the latest - version of the relationship data file format. Public Author: GLEIF | Version: Final | 2017-03-16 Page 52 of 90

Relationship Record Common Data File format V1.1 ‘; e LEl N’ 2.3.28. Element rr:RelationshipContainerType / RelationshipQuantifiers Any additional quantitative attributes that help to categorize the relationship. rr:RelationshipQuantifiersType content complex minOccurs 0 maxOccurs unbounded <RelationshipQuantifiers> <RelationshipQuantifier>{1,unbounded}</RelationshipQuantifier> </RelationshipQuantifiers> Public Author: GLEIF | Version: Final | 2017-03-16 Page 53 of 90

Relationship Record Common Data File format V1.1 ‘% LE| N’ 2.3.29. Element rr:RelationshipQuantifiersType / RelationshipQuantifier Specifies one additional quantitative attribute of the relationship, according to a particular measurement method. rr:RelationshipQuantifierType content complex minOccurs 1 maxOccurs unbounded <RelationshipQuantifier> <MeasurementMethod>{1, 1}</MeasurementMethod> <QuantifierAmount>{1, 1}</QuantifierAmount> <QuantifierUnits>{0,1}</QuantifierUnits> </RelationshipQuantifier> Public Author: GLEIF | Version: Final | 2017-03-16 Page 54 of 90

Relationship Record Common Data File format V1.1 ‘3 LE| N’ 2.3.30. Element rr:RelationshipQuantifierType / MeasurementMethod Specifies the method of measurement (or set of rules) used to quantitatively categorize the relationship. rr:MeasurementMethodTypeEnum content simple Accounting consolidation holds when "[in the] financial statements of a group [...] the assets, liabilities, equity, income, expenses and cash enumeratio ACCOUNTING_CONSOLIDATIO flows of the parent and its subsidiaries are n N presented as those of a single economic entity (please see http://www.iasplus.com/en/standards/ias/ias 27-2011). Public Author: GLEIF | Version: Final | 2017-03-16 Page 55 of 90

Relationship Record Common Data File format V1.1 ‘% LE| N 2.3.31. Element rr:RelationshipQuantifierType / QuantifierAmount Specifies the quantity measured as a decimal (positive or negative) number, using a . as the decimal point, with no spaces, and without thousand delimiters (e.g. , ). xs:decimal content simple Public Author: GLEIF | Version: Final | 2017-03-16 Page 56 of 90

Relationship Record Common Data File format V1.1 ‘% LE| N 2.3.32. Element rr:RelationshipQuantifierType / QuantifierUnits Specifies the units, where applicable, of a measurement made on a relationship. rr:QuantifierUnitsTypeEnum content simple minOccurs 0 enumeration PERCENTAGE Public Author: GLEIF | Version: Final | 2017-03-16 Page 57 of 90

Relationship Record Common Data File format V1.1 ‘3 LE| N’

2.3.33. Element rr:RelationshipContainerType / NextVersion A structure for adding further elements in to the rRegistration section of the Relationship 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. rr:RelationshipNextVersionType content complex minOccurs 0

Public

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Relationship Record Common Data File format V1.1 ‘3 LEl N 2.3.34. Element rr:RelationshipContainerType / Extension This Extension element may contain any additional elements required to extend the Relationship container element. rr:ExtensionType content complex minOccurs 0 Public Author: GLEIF | Version: Final | 2017-03-16 Page 59 of 90

Relationship Record Common Data File format V1.1 3' LE| 2.3.35. Element rr:RelationshipRecordType / Registration The rRegistration container element contains information specifying the LOU's administration of the relationship report. rr:RegistrationContainerType content complex <Registration> <InitialRegistrationDate>{1l,1}</InitialRegistrationDate> <LastUpdateDate>{1,1}</LastUpdateDate> <RegistrationStatus>{1,1}</RegistrationStatus> <NextRenewalDate>{0,1}</NextRenewalDate> <ManagingLOU>{1,1}</ManagingLOU> <ValidationSources>{1l,1}</ValidationSources> <ValidationDocuments>{1l,1}</ValidationDocuments> <ValidationReference>{0,1}</ValidationReference> <NextVersion>{0,1}</NextVersion> <Extension>{0,1l}</Extension> </Registration> Public Author: GLEIF | Version: Final | 2017-03-16 Page 60 of 90

] Relationship Record Common Data File format V1.1 @ LE| 1.5.1. XML Design Rules

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

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

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

o Al XML attributes are in the null namespace (attribute form = unqualified), with the exception of xm1:1ang.

o Element names are upper camel case.

o Attribute name are lower camel case.

o XSD type names are upper camel case.

o Enumeration code list values are all caps with underscores.

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

o 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.

1.5.2. XML Schema An XML file conforming to this standard is valid according to the following XSD 1.0 schema.

<xs:schema xmlns:xs="http://www.w3.0rg/2001/XMLSchema" xmlns:rr="http://www.gleif.org/data/schema/rr/2016" elementFormDefault="qualified" attributeFormDefault="unqualified" targetNamespace="http://www.gleif.org/data/schema/rr/2016"> <xs:import namespace="http://www.w3.0rg/xXML/1998/namespace" schemaLocation="http://www.w3.0rg/2001/xml.xsd"/> <xs:element name="RelationshipData" type="rr:RelationshipDataType"/> <xs:complexType name="RelationshipDataType"> <Xs: sequence> <xs:element name="Header" type="rr:RRHeaderType"/> Public Author: GLEIF | Version: Final | 2017-03-16 Page 7 of 90

Relationship Record Common Data File format V1.1 ‘3 LE| P 2.3.36. Element rr:RegistrationContainerType / InitialRegistrationDate The date at which the relationship information was first collected by the ManagingLou. rr: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 | 2017-03-16 Page 61 of 90

Relationship Record Common Data File format V1.1 ‘3 LE| P 2.3.37. Element rr:RegistrationContainerType / LastUpdateDate The date at which the information was most recently updated by the ManagingLou. rr: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 | 2017-03-16 Page 62 of 90

Relationship Record Common Data File format V1.1 ‘@ LE| \I 2.3.38. Element rr:RegistrationContainerType / RegistrationStatus The status of the legal entity's relationship record registration with the ManagingLou. rr:RegistrationStatusEnum content simple A relationship data report that has been enumeration PENDING_VALIDATION submitted to the LOU and which is being processed and validated, prior to publication. A relationship data report that has been validated enumeration PUBLISHED and published, and'whlch is reported by an entity that was an operating legal entity as of the last update. A relationship data report that has been determined to be a duplicate registration of the same relationship. In many cases this will mean i .8. 2 i enumeration DUPLICATE more than one repprt w!th e.g. the sa.me entity IDs, the same relationship type, certain status values and the same relationship date(s), but this determination will depend on the relationship type in question. enumeration LAPSED A relationship data report that has not been renewed by the NextRenewalDate. The relationship is considered to have ended, but enumeration RETIRED the relationship report is kept in publication for historical audit trail purposes. A relationship data report that was marked as erroneous or invalid after it was published. The enumeration ANNULLED relationship report is kept in publication for historical audit trail purposes only (so that data recipients can correct their local data). Public Author: GLEIF | Version: Final | 2017-03-16 Page 63 of 90

Relationship Record Common Data File format V1.1 ‘@, LEI A relationship data report that has been transferred to a different LOU as the

enumeration TRANSFERRED ManagingLoU. A record in this state is not published, but may be used internally by the prior LOU for audit trail purposes. A relationship data report for which a transfer to another LOU has been requested. The request is . being processed at the sending LOU. When the PENDING_TRANSFER enumeration G- S receiving LOU is ready, the status will be changed to PENDING ARCHIVAL by the sending LOU prior to completion of the transfer. This relationship data report is about to be transferred to a different LOU, after which its registration status will revert to a non-pending enumeration PENDING_ARCHIVAL status. The PENDING ARCHIVAL status serves to inform recipients of LOU-provided data files that a relationship record will be removed from that LOU’s published file after the transfer is complete Public Author: GLEIF | Version: Final | 2017-03-16 Page 64 of 90

Relationship Record Common Data File format V1.1 ‘3 LEl P 2.3.39. Element rr:RegistrationContainerType / NextRenewalDate The next date by which the relationship information must be renewed and re-certified by the legal entity. rr: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 | 2017-03-16 Page 65 of 90

Relationship Record Common Data File format V1.1 ‘% LEl N 2.3.40. Element rr:RegistrationContainerType / ManagingLOU The LEI of the LOU that is responsible for administering this relationship record. rr:LEIType content simple minLength 20 maxLength 20 pattern ([0-9A-Z]{18}[0-9]{2}) Public Author: GLEIF | Version: Final | 2017-03-16 Page 66 of 90

Relationship Record Common Data File format V1.1 ‘@, LE| 2.3.41. Element rr:RegistrationContainerType / ValidationSources Level of relationship validation. rr:ValidationSourcesTypeEnum content simple The validation of the relationship data provided . by the registrant has not yet occurred. Records enumeration PENDING with this validationSources value MUST not be published. Based on the validation procedures in use by the LOU responsible for the record, the enumeration ENTITY_SUPPLIED_ONLY |r.\fo.rr'nat|on a'ssoaated Wlt'h this resord 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 submitter can be partially corroborated by supporting sources enumeration PARTIALLY_CORROBORATED (e.g. financial statements with other definitions of the relevant relationship type; quarterly or annual regulatory filings, contracts and other documents used in preparing financial statements). The relationship data provided by the registrant . . lici enumeration FULLY_CORROBORATED 1'2s been validated against an explicit - relationship statement found in key sources (e.g. consolidated financial statements). Public Author: GLEIF | Version: Final | 2017-03-16 Page 67 of 90

Relationship Record Common Data File format V1.1 ‘% LEI P 2.3.42. Element rr:RegistrationContainerType / ValidationDocuments Type of source document(s) used for validating the relationship. rr:ValidationDocumentsTypeEnum content simple A consolidated financial (accounting) enumeration ACCOUNTS_FILING statement, prepared and submitted to the relevant authority. enumeration REGULATORY_FILING An annual regulatory filing providing public - information on parent relationships. enumeration SUPPORTING_DOCUMENTs OLne" documents supporting the preparation of consolidated financial statements. enumeration CONTRACTS Cont.ract(s') attesting to the validity of the relationship. enumeration OTHER_OFFICIAL_DOCUMENTs Other official document(s) attesting to the - - validity of the relationship. Public Author: GLEIF | Version: Final | 2017-03-16 Page 68 of 90

Relationship Record Common Data File format V1.1 ‘3 LE| N 2.3.43. Element rr:RegistrationContainerType / ValidationReference A reference to a specfic document or other source used as the basis of relationship validation for this relationship record. rr:Tokenized500Type content simple minOccurs 0 minLength 1 maxLength 500 pattern \S+( \S+)* Public Author: GLEIF | Version: Final | 2017-03-16 Page 69 of 90

Relationship Record Common Data File format V1.1 ‘3 LE| N’

2.3.44. Element rr:RegistrationContainerType / NextVersion A structure for adding further elements in to the Registration section of the Relationship 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. rr:RegistrationNextVersionType content complex minOccurs 0

Public

Author: GLEIF | Version: Final | 2017-03-16 Page 70 of 90

] Relationship Record Common Data File format V1.1 @ LE| <xs:element name="RelationshipRecords" type="rr:RelationshipRecordsType"/> </xs:sequence> </xs:complexType> <xs:complexType name="RRHeaderType'"> <xXs:sequence> <xs:element name="ContentDate" type="rr:LEIDateTimeProfile"/> <xs:element name="Originator" type="rr:LEIType" minOccurs="0"/> <xs:element name="FileContent" type="rr:FileContentEnum"/> <xs:element name="DeltaStart" type="rr:LEIDateTimeProfile" minOccurs="0"/> <xs:element name="RecordCount" type="xs:nonNegativelInteger"/> <xs:element name="NextVersion" type="rr:HeaderNextVersionType" minOccurs="0"/> <xs:element name="Extension" type="rr:ExtensionType" minOccurs="0"/> </xs:sequence> </xs:complexType> <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+)*"/> </xs:restriction> </xs:simpleType> <xs:simpleType name="FileContentEnum"> <xs:restriction base="xs:string"> <xs:enumeration value="LOU FULL INTERNAL"/> Public Author: GLEIF | Version: Final | 2017-03-16 Page 8 0of 90

Relationship Record Common Data File format V1.1 ‘3 LEl N 2.3.45. Element rr:RegistrationContainerType / Extension This Extension element may contain any additional elements required to extend the Registration container element. rr:ExtensionType content complex minOccurs 0 Public Author: GLEIF | Version: Final | 2017-03-16 Page 71 of 90

Relationship Record Common Data File format V1.1 ‘3 LE| N’

2.3.46. Element rr:RelationshipRecordType / NextVersion A structure for adding further elements in to the rRegistration section of the Relationship 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. rr:RelationshipRecordNextVersionType content complex minOccurs 0

Public

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Relationship Record Common Data File format V1.1 ‘3 LE| N 2.3.47. Element rr:RelationshipRecordType / Extension This Extension element may contain any additional elements required to extend the RelationshipRecord. rr:ExtensionType content complex minOccurs 0 Public Author: GLEIF | Version: Final | 2017-03-16 Page 73 of 90

_____0____000] Relationship Record Common Data File format V1.1 ‘% LE| N 2.3.48. Simple Type rr:LEIDateTimeProfile Type restriction of xs:dateTime (IA\T* AT\ ((\d){2,31){0,1})) (2| +([01][O- Facets pattern 9] 2[0-3]):([0-5][0-9]) | -([01][0-9] | 2[0-3]):([O- 5][0-9])) Public Author: GLEIF | Version: Final | 2017-03-16 Page 74 of 90

Relationship Record Common Data File format V1.1 ‘% LEl N 2.3.49. Simple Type rr:LEIType Type restriction of xs:string minLength 20 Facets maxLength 20 pattern ([0-9A-Z]{18}{0-9]{2}) Public Author: GLEIF | Version: Final | 2017-03-16 Page 75 of 90

Relationship Record Common Data File format V1.1 ‘@ LE| ~? 2.3.50. Simple Type rr:FileContentEnum restriction of xs:string The file contains all relationship records created for internal use by an LOU (all internal enumeration LOU_FULL_INTERNAL relationship records for which the LOU is the ManagingLoU) as of the date/time the file is created. The file contains those relationship records created by an LOU for internal use (all internal enumeration LOU DELTA INTERNAL relationship recor.ds for which the LOU is the - - ManagingLou) which are new or changed since the Deltastart specified in the Header, as of the date/time the file is created. The file contains all relationship records published . by an LOU (all relationship records for which the enumeration LOU_FULL_PUBLISHED LOU is the ManagingLou) as of the date/time the file is created. The file contains those relationship records published by an LOU (all relationship records for enumeration LOU_DELTA_PUBLISHED which the LOU is the ManagingLou) which are new or changed since the peltastart specified in the Header, as of the date/time the file is created The file contains all relationship records GLEIF enumeration GLEIE FULL INTERNAL manages mtgrnallY to the GLEIS (including all - - internal relationship records from all LOUs) as of the date/time the file is created. The file contains those relationship records GLEIF manages internally to the GLEIS (including all enumeration GLEIE DELTA INTERNAL internal relationship r.ecords from all LOUs) which - - are new or changed since the peltastart date specified in the Header, as of the date/time the file is created. Public Author: GLEIF | Version: Final | 2017-03-16 Page 76 of 90

Relationship Record Common Data File format V1.1 ‘3 LE| P The file contains all relationship records published enumeration GLEIF_FULL_PUBLISHED by GLEIF (including all relationship records from all LOUs) as of the date/time the file is created. The file contains those relationship records published by GLEIF (including all relationship enumeration GLEIF_DELTA_PUBLISHED records from all LOUs) which are new or changed since the peltastart date specified in the Header, as of the date/time the file is created. . . hi o enumeration QUERY_RESPONSE The fll.e cc?ntalns records matching criteria specified in a query. Public Author: GLEIF | Version: Final | 2017-03-16 Page 77 of 90

Relationship Record Common Data File format V1.1 ‘3 LE| N 2.3.51. Simple Type rr:NodelDTypeEnum restriction of xs:string enumeration LEI An LEI code taken from the LEl issuing prefix namespace of a GLEIS LOU. . An ISO 17442-compatible code, not taken from enumeration 1S0_17442_COMPATIBLE the LEl issuing prefix namespace of a GLEIS LOU. Public Author: GLEIF | Version: Final | 2017-03-16 Page 78 of 90

] Relationship Record Common Data File format V1.1 @ LE| 2.3.52. Simple Type rr:RelationshipTypeEnum

restriction of xs:string StartNode is directly consolidated by EndNode. The startNode "child" entity has its accounts fully consolidated by the EndNode "parent" entity, in the sense given by the accounting

enumeration IS_DIRECTLY_CONSOLIDATED_BY standard(s) specified in RelationshipQualifiers; the EndNode entity is the closest fully consolidating parent to the startNode entity in any applicable hierarchical ownership structure. StartNode is ultimately consolidated by EndNode. The startNode "child" entity has its accounts fully consolidated by the EndNode "parent" entity, in the sense given by the accounting

enumeration IS_ULTIMATELY_CONSOLIDATED_BY standard(s) specified in RelationshipQualifiers; the EndNode entity is the most distant fully consolidating parent from the StartNode entity in any applicable hierarchical ownership structure. StartNode is an international branch of the legal entity designated by EndNode

enumeration IS_INTERNATIONAL_BRANCH_OF (in jurisdiction country of startNode). The EndNode is the Head Office and MUST be an LEI.

Public Author: GLEIF | Version: Final | 2017-03-16 Page 79 of 90

Relationship Record Common Data File format V1.1 ‘@ LE| N’ 2.3.53. Simple Type rr:PeriodTypeEnum restriction of xs:string The dates in this instance of enumeration ACCOUNTING PERIOD Rel'ationshipPeriod indicate the acc'oun.tlng - period covered by the most recent validation documents for this relationship. The dates in this instance of enumeration RELATIONSHIP PERIOD Rel'a'tionshipPeri'od |n.cI|<.:ate the dl.,lra'tlon of - validity of the relationship itself, as distinct from any administrative or reporting aspects. The dates in this instance of RelationshipPeriod indicate the validity enumeration DOCUMENT_FILING_PERIOD period of a regulatory filing, accounting document, or other document demonstrating the relationship's validity. Public Author: GLEIF | Version: Final | 2017-03-16 Page 80 of 90

] Relationship Record Common Data File format V1.1 @ LE| <xs:enumeration value="LOU DELTA INTERNAL"/> <xs:enumeration value="LOU FULL PUBLISHED"/> <xs:enumeration value="LOU DELTA PUBLISHED"/> <xs:enumeration value="GLEIF FULL INTERNAL"/> <xs:enumeration value="GLEIF DELTA INTERNAL"/> <xs:enumeration value="GLEIF FULL PUBLISHED"/> <xs:enumeration value="GLEIF DELTA PUBLISHED"/> <Xs:enumeration value="QUERY_RESPONSE"/> </xs:restriction> </xs:simpleType> <xs:complexType name="ExtensionType'"> <xXs:sequence> <xs:any minOccurs="0" maxOccurs="unbounded" processContents="lax" namespace="##other"/> </xs:sequence> </xs:complexType> <xs:complexType name="RelationshipRecordsType'"> <xXs:sequence> <xs:element name="RelationshipRecord" type="rr:RelationshipRecordType" minOccurs="0" maxOccurs="unbounded" /> </xs:sequence> </xs:complexType> <xs:complexType name="RelationshipRecordType"> <xXs:sequence> <xs:element name="Relationship" type="rr:RelationshipContainerType"/> <xs:element name="Registration" type="rr:RegistrationContainerType"/> <xs:element name="NextVersion" type="rr:RelationshipRecordNextVersionType" minOccurs="0"/> <xs:element name="Extension" type="rr:ExtensionType" minOccurs="0"/> </xs:sequence> </xs:complexType> <xs:complexType name="RelationshipContainerType'"> <xXs:sequence> Public Author: GLEIF | Version: Final | 2017-03-16 Page 9 of 90

Relationship Record Common Data File format V1.1 ‘3 LE| N’ 2.3.54. Simple Type rr:RelationshipStatusEnum restriction of xs:string As of the last report or update, the reporting legal . entity reported that it is legally registered and/or ACTIVE enumeration AC operating, AND that the relationship detailed in this RelationshipRecord is still valid. It has been determined that the relationship ended, e.g. because entity that reported this enumeration INACTIVE relationship is no longer legally registered and/or operating; or the relationship is no longer valid for other reasons. Public Author: GLEIF | Version: Final | 2017-03-16 Page 81 of 90

Relationship Record Common Data File format V1.1 ‘3 LE| N’ 2.3.55. Simple Type rr:QualifierDimensionEnum restriction of xs:string The accounting standard applied to determine the definition of e.g. ultimate or direct accounting enumeration ACCOUNTING_STANDARD f:ons.olldatmg parenf for the relationship detailed in this RelationshipRecord. The relevant accounting standard is that applicable to the EndNode (the "parent" entity). Public Author: GLEIF | Version: Final | 2017-03-16 Page 82 of 90

Relationship Record Common Data File format V1.1 ‘3' LE| 2.3.56. Simple Type rr:QualifierCategoryTypeEnum restriction of xs:string enumeration US_GAAP United S.tates—.Ge.neraIIy Accepted Accounting Principles. International Financial Reporting Standard . (developed by the International IFR enumeration IFRS Accounting Standards Board — IASB see http://www.ifrs.org). A financial reporting (accounting) enumeration OTHER_ACCOUNTING_STANDARD °tandard not otherwise listed in the latest = - version of the relationship data file format. Public Author: GLEIF | Version: Final | 2017-03-16 Page 83 of 90

Relationship Record Common Data File format V1.1 ‘3 LEl N’ 2.3.57. Simple Type rr:MeasurementMethodTypeEnum restriction of xs:string Accounting consolidation holds when "[in the] financial statements of a group [...] the assets, liabilities, equity, income, expenses and cash enumeratio ACCOUNTING_CONSOLIDATIO flows of the parent and its subsidiaries are n N presented as those of a single economic entity (please see http://www.iasplus.com/en/standards/ias/ias 27-2011). Public Author: GLEIF | Version: Final | 2017-03-16 Page 84 of 90

Relationship Record Common Data File format V1.1 ‘% LE| N 2.3.58. Simple Type rr:QuantifierUnitsTypeEnum restriction of xs:string enumeration PERCENTAGE Public Author: GLEIF | Version: Final | 2017-03-16 Page 85 of 90

Relationship Record Common Data File format V1.1 ‘@ LE| ~? 2.3.59. Simple Type rr:RegistrationStatusEnum restriction of xs:string A relationship data report that has been enumeration PENDING_VALIDATION submitted to the LOU and which is being processed and validated, prior to publication. A relationship data report that has been validated enumeration PUBLISHED and published, and'whlch is reported by an entity that was an operating legal entity as of the last update. A relationship data report that has been determined to be a duplicate registration of the same relationship. In many cases this will mean enumeration DUPLICATE more than one repprt w!th e.g. the sa.me 2 entity IDs, the same relationship type, certain status values and the same relationship date(s), but this determination will depend on the relationship type in question. i i hat h enumeration LAPSED A relationship data report that has not been renewed by the NextRenewalDate. The relationship is considered to have ended, but enumeration RETIRED the relationship report is kept in publication for historical audit trail purposes. A relationship data report that was marked as erroneous or invalid after it was published. The enumeration ANNULLED relationship report is kept in publication for historical audit trail purposes only (so that data recipients can correct their local data). A relationship data report that has been enumeration TRANSFERRED transferred to a different LOU as the ManagingLoU. A record in this state is not Public Author: GLEIF | Version: Final | 2017-03-16 Page 86 of 90

Relationship Record Common Data File format V1.1 ‘3' LEI published, but may be used internally by the prior LOU for audit trail purposes. A relationship data report for which a transfer to another LOU has been requested. The request is . being processed at the sending LOU. When the enumeration PENDING_TRANSFER receiving LOU is ready, the status will be changed to PENDING ARCHIVAL by the sending LOU prior to completion of the transfer. This relationship data report is about to be transferred to a different LOU, after which its registration status will revert to a non-pending enumeration PENDING_ARCHIVAL status. The PENDING ARCHIVAL status serves to inform recipients of LOU-provided data files that a relationship record will be removed from that LOU’s published file after the transfer is complete Public Author: GLEIF | Version: Final | 2017-03-16 Page 87 of 90

Relationship Record Common Data File format V1.1 ‘@ LE| \I 2.3.60. Simple Type rr:ValidationSourcesTypeEnum restriction of xs:string The validation of the relationship data provided . by the registrant has not yet occurred. Records enumeration PENDING with this validationSources value MUST not be published. Based on the validation procedures in use by the LOU responsible for the record, the enumeration ENTITY SUPPLIED ONLY |r.\fo.rr'nat|on a'ssoaated Wlt'h this resord 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 submitter can be partially corroborated by supporting sources enumeration PARTIALLY_CORROBORATED (e.g. financial statements with other definitions of the relevant relationship type; quarterly or annual regulatory filings, contracts and other documents used in preparing financial statements). The relationship data provided by the registrant enumeration FULLY_CORROBORATED 1'2s been validated against an explicit relationship statement found in key sources (e.g. consolidated financial statements). Public Author: GLEIF | Version: Final | 2017-03-16 Page 88 of 90

Relationship Record Common Data File format V1.1 ‘@ LE| P 2.3.61. Simple Type rr:ValidationDocumentsTypeEnum restriction of xs:string A consolidated financial (accounting) enumeration ACCOUNTS_FILING statement, prepared and submitted to the relevant authority. enumeration REGULATORY FILING An annua?l regulatory filing Prowc!mg public - information on parent relationships. enumeration SUPPORTING_DOCUMENTs OLne" documents supporting the preparation - of consolidated financial statements. enumeration CONTRACTS Cont.ract(s') attesting to the validity of the relationship. enumeration OTHER_OFFICIAL_DOCUMENTs Other official document(s) attesting to the - - validity of the relationship. Public Author: GLEIF | Version: Final | 2017-03-16 Page 89 of 90

Relationship Record Common Data File format V1.1 ‘3 LE| N’ 2.3.62. Simple Type rr: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 | 2017-03-16 Page 90 of 90

] Relationship Record Common Data File format V1.1 @ LEI <xs:element name="StartNode" type="rr:NodeType"/> <xs:element name="EndNode" type="rr:NodeType"/> <xs:element name="RelationshipType" type="rr:RelationshipTypeEnum"/> <xs:element name="RelationshipPeriods" type="rr:RelationshipPeriodsType" minOccurs="0"/> <xs:element name="RelationshipStatus" type="rr:RelationshipStatusEnum"/> <xs:element name="RelationshipQualifiers" type="rr:RelationshipQualifiersType" minOccurs="0" maxOccurs="unbounded"/> <xs:element name="RelationshipQuantifiers" type="rr:RelationshipQuantifiersType" minOccurs="0" maxOccurs="unbounded"/> <xs:element name="NextVersion" type="rr:RelationshipNextVersionType" minOccurs="0"/> <xs:element name="Extension" type="rr:ExtensionType" minOccurs="0"/> </xs:sequence> </xs:complexType> <xs:complexType name="NodeType'"> <xXs:sequence> <xs:element name="NodeID" type="rr:LEIType"/> <xs:element name="NodeIDType" type="rr:NodeIDTypeEnum"/> </xs:sequence> </xs:complexType> <xs:simpleType name="NodeIDTypeEnum'"> <xs:restriction base="xs:string"> <xs:enumeration value="LEI"/> <xs:enumeration value="ISO 17442 COMPATIBLE"/> </xs:restriction> </xs:simpleType> <xs:simpleType name="RelationshipTypeEnum"> <xs:restriction base="xs:string"> <xs:enumeration value="IS DIRECTLY CONSOLIDATED BY"/> <xs:enumeration value="IS ULTIMATELY CONSOLIDATED BY"/> <xs:enumeration value="IS INTERNATIONAL BRANCH OF"/> Public Author: GLEIF | Version: Final | 2017-03-16 Page 10 of 90

Gleif website, https://www.gleif.org/about-lei/common-data-file-format/previous-versions/2017-03-16_rr-cdf-v1-1.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.