ISO 17442:2019 pdf free.Financial services一Legal entity identifier (LEI).
It is applicable to legal entities, which include, but are not limited to, unique parties that are legally or financially responsible for the performance of financial transactions or have the legal right in their jurisdiction to enter independently into legal contracts, regardless of whether they are incorporated or constituted in some other way (e.g. trust, partnership, contractual). It includes governmental organizations, supranationals and individuals when acting in a business capacity1), but excludes natural persons.
The LEI is designed for automated processing. It can also be conveniently used in other media interchange when appropriate (e.g. paper document exchange).
NOTE Examples of eligible legal entities include, without limitation:
— all financial intermediaries;
— banks and finance companies;
— all entities that issue equity, debt or other securities for other capital structures;
— all entities listed on an exchange;
— all entities that trade stock or debt; investment vehicles, including mutual funds, pension funds and alternative investment vehicles constituted as corporate entities or collective investment agreements (including umbrella funds as well as funds under an umbrella structure, hedge funds, private equity funds);
— all entities under the purview of a financial regulator and their affiliates, subsidiaries and holding companies;
— sole traders (as an example of individuals acting in a business capacity);
— counterparties to financial transactions.
3.1 legal entity legal person or structure that is organized under the laws of any jurisdiction
3.2 supranational governmental or non-governmental entity that is established by international law or treaty or incorporated at an international level
3.3 address of legal formation current legal address in the jurisdiction in which the entity is established
3.4 investment vehicle mutual fund, pension fund or alternative investment fund constituted as a corporate entity or collective investment agreement
EXAMPLE Umbrella funds as well as sub-funds under an umbrella structure, hedge funds and private equity funds.
4 Structure of the LEI
This document uses the following conventions for data element representations.
a) Character representations:
— a: upper-case letters (alpha characters A—Z only);
— n: digits (numeric characters 0-9 only);
— C: upper-case alphanumeric characters (A-Z and 0—9 only).
6 LEI data record
In order to ensure an unambiguous identification of the legal entities, a set of data attributes shall be provided by any requestor. The LEI data record shall be composed of at least the following data attributes.
— 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 and the identifier of the entity in the business registry should be recorded.
— The address of the headquarters of the legal entity or the address of the fund manager.
— The address of legal formation, and the country in which it is located as represented in the Iso 3166 series.
— The legal form of the entity as represented in ISO 20275.
— The date of the first LEI assignment.
— The date of last update of the LEI data record.
— The date of expiry of the LEI and reason for expiry, if applicable. For entities with a date of expiry, if applicable, the LEI of the entity or entities that acquired the expired entity should also be recorded.ISO 17442 pdf download.