BS ISO 17442-2012 Financial services Legal Entity Identifier (LEI)《金融服务 法人实体识别符(LEI)》.pdf

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1、raising standards worldwideNO COPYING WITHOUT BSI PERMISSION EXCEPT AS PERMITTED BY COPYRIGHT LAWBSI Standards PublicationBS ISO 17442:2012Financial services LegalEntity Identifier (LEI)BS ISO 17442:2012 BRITISH STANDARDNational forewordThis British Standard is the UK implementation of ISO 17442:201

2、2.The UK participation in its preparation was entrusted to TechnicalCommittee IST/12, Financial services.A list of organizations represented on this committee can beobtained on request to its secretary.This publication does not purport to include all the necessaryprovisions of a contract. Users are

3、responsible for its correctapplication. The British Standards Institution 2012. Published by BSI StandardsLimited 2012ISBN 978 0 580 76091 4ICS 03.060Compliance with a British Standard cannot confer immunity fromlegal obligations.This British Standard was published under the authority of theStandard

4、s Policy and Strategy Committee on 30 June 2012.Amendments issued since publicationDate Text affectedBS ISO 17442:2012 ISO 2012Financial services Legal Entity Identifier (LEI)Services financiers Schma didentifiant dentit lgale (IEL)INTERNATIONAL STANDARDISO17442First edition2012-06-01Reference numbe

5、rISO 17442:2012(E)BS ISO 17442:2012ISO 17442:2012(E)ii ISO 2012 All rights reservedCOPYRIGHT PROTECTED DOCUMENT ISO 2012All rights reserved. Unless otherwise specified, no part of this publication may be reproduced or utilized in any form or by any means, electronic or mechanical, including photocop

6、ying and microfilm, without permission in writing from either ISO at the address below or ISOs member body in the country of the requester.ISO copyright officeCase postale 56 CH-1211 Geneva 20Tel. + 41 22 749 01 11Fax + 41 22 749 09 47E-mail copyrightiso.orgWeb www.iso.orgPublished in SwitzerlandBS

7、ISO 17442:2012ISO 17442:2012(E)ForewordISO (the International Organization for Standardization) is a worldwide federation of national standards bodies (ISO member bodies). The work of preparing International Standards is normally carried out through ISO technical committees. Each member body interes

8、ted in a subject for which a technical committee has been established has the right to be represented on that committee. International organizations, governmental and non-governmental, in liaison with ISO, also take part in the work. ISO collaborates closely with the International Electrotechnical C

9、ommission (IEC) on all matters of electrotechnical standardization.International Standards are drafted in accordance with the rules given in the ISO/IEC Directives, Part 2.The main task of technical committees is to prepare International Standards. Draft International Standards adopted by the techni

10、cal committees are circulated to the member bodies for voting. Publication as an International Standard requires approval by at least 75 % of the member bodies casting a vote.Attention is drawn to the possibility that some of the elements of this document may be the subject of patent rights. ISO sha

11、ll not be held responsible for identifying any or all such patent rights.ISO 17442 was prepared by Technical Committee ISO/TC 68, Financial services. ISO 2012 All rights reserved iiiBS ISO 17442:2012ISO 17442:2012(E)IntroductionLegal entity identification is an integrated and necessary component of

12、financial services transactions. Entering into business relationships requires “Know Your Customer” processes to be initiated and maintained for the duration of these relationships and any longer term data retention requirements to be addressed. Parties involved in financial transactions need to be

13、identified within these transactions. Then the risk of each party and the resulting concentration risk also need to be measured. All of this is to be achieved while the support for straight through processing (STP) is maintained.Following the global financial crisis, the need for regulators to ident

14、ify legal entities, both nationally and across the global markets, has been raised as a critical need. More specifically, regulators are asking for standards to be used within the solutions they are developing to address the data collection and analysis needs resulting from the crisis. This Internat

15、ional Standard fulfils the need for legal entity identification of the global financial services industry and the regulatory community. Its key provisions are that it enables unique identification globally of entities requiring a legal entity identifier (LEI), defines a LEI code that contains no emb

16、edded intelligence, defines a LEI code that is interoperable with other standards and existing reference data and can be applied globally to support the financial services industry, leverages the expertise of ISO/TC 68 in defining and maintaining identifier standards, defines a LEI scheme that is re

17、liable and a LEI code that is persistent, and defines a LEI scheme that is extensible and free from limitation on use and redistribution.iv ISO 2012 All rights reservedBS ISO 17442:2012Financial services Legal Entity Identifier (LEI)1 ScopeThis International Standard specifies the elements of an una

18、mbiguous legal entity identifier (LEI) scheme to identify the legal entities relevant to any financial transaction.The term “legal entities” includes, but is not limited to, unique parties that are legally or financially responsible for the performance of financial transactions or have the legal rig

19、ht 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 excludes natural persons, but includes governmental organizations and supranationals.The LEI is designed for a

20、utomated processing. It may 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 ot

21、her 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 umbr

22、ella funds as well as funds under an umbrella structure, hedge funds, private equity funds, etc.); all entities under the purview of a financial regulator and their affiliates, subsidiaries and holding companies; counterparties to financial transactions.2 Normative referencesThe following referenced

23、 documents are indispensable for the application of this document. For dated references, only the edition cited applies. For undated references, the latest edition of the referenced document (including any amendments) applies.ISO 3166 (all parts), Codes for the representation of names of countries a

24、nd their subdivisionsISO/IEC 7064, Information technology Security techniques Check character systems3 Terms and definitionsFor the purposes of this document, the following terms and definitions apply.3.1legal entitylegal person or structure that is organized under the laws of any jurisdiction3.2sup

25、ranationalgovernmental or non-governmental entity that is established by international law or treaty or incorporated at an international levelINTERNATIONAL STANDARD ISO 17442:2012(E) ISO 2012 All rights reserved 1BS ISO 17442:2012ISO 17442:2012(E)3.3address of legal formationcurrent address of legal

26、 formation in the jurisdiction in which the entity is established3.4investment vehiclemutual fund, pension fund or alternative investment fund constituted as a corporate entity or collective investment agreement (including umbrella funds as well as sub-funds under an umbrella structure, hedge funds,

27、 private equity funds, etc.)4 Structure of the LEIThis International Standard uses the following conventions for data element representations1).a) Character representations: n: digits (numeric characters 0 to 9 only); a: uppercase letters (alpha character, AZ only, without “special” characters such

28、as blanks, separators or punctuation).b) Length indications: nn!: fixed length; nn: maximum length.The format of the LEI shall be 18!an2!n.The LEI consists of 20 characters decomposed as follows: characters (18!an) without separators or “special” characters; the 19th and 20th characters (2!n) shall

29、be the check digit or digits, as calculated from the scheme defined in this International Standard.5 Check digits5.1 GeneralThe check digits shall be calculated based on the scheme defined in ISO/IEC 7064 (MOD 97-10). See Annex A.The check digits are used to verify the LEI.5.2 Checking the check dig

30、its5.2.1 Convert letters to digits in accordance with the following:1) Based on ISO 8908:1993 (International Standard withdrawn), 3.2. 2 ISO 2012 All rights reservedBS ISO 17442:2012ISO 17442:2012(E)A = 10 F = 15 K = 20 P = 25 U = 30B = 11 G = 16 L = 21 Q = 26 V = 31C = 12 H = 17 M = 22 R = 27 W = 3

31、2D = 13 I = 18 N = 23 S = 28 X = 33E = 14 J = 19 O = 24 T = 29 Y = 34Z = 35 5.2.2 Apply the check character system, MOD 97-10, in accordance with ISO/IEC 7064.5.2.3 If the remainder is 1 (one), the number is valid.5.3 Generating the check digits5.3.1 Add “00” to the right-hand end of the LEI.5.3.2 C

32、onvert alpha characters into numeric characters in accordance with 5.2.1.5.3.3 Apply the check character system, MOD 97-10, in accordance with ISO/IEC 7064.6 LEI data recordIn order to ensure an unambiguous identification of the legal entities, a set of data attributes shall be provided by any reque

33、stor. The LEI data record shall be composed of 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 entitys constituting documents. Where applicable, the name of the

34、 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 and the country of legal formation as represented in ISO 3166. The date

35、of the first LEI assignment. The date of last update of the LEI set of information. The date of expiry and reason for expiry, if applicable. For entities with a date of expiry, the reason for the expiry should be recorded and, if applicable, the LEI of the entity or entities that acquired the expire

36、d entity. ISO 2012 All rights reserved 3BS ISO 17442:2012ISO 17442:2012(E)Annex A (informative) LEI check digit validation exampleA.1 ConceptFor illustration purposes only, the first example uses an alphanumeric string that is short enough to be tested using a spreadsheet.Example LEI:A123456702A.1.1

37、 Convert letters to digits in accordance with the equivalence table given in 5.2.1:10123456702A.1.2 Calculate the modulo 972)of the above number:1The check digit, 02, is shown to be valid, as the result is 1.A.2 Validating the check digits of an LEIExample LEI:F50EOCWSQFAUVO9Q8Z97A.2.1 Convert lette

38、rs to digits in accordance with the equivalence table given in 5.2.1:15501424123228261510303124926835972) Modulo 97 is the remainder of the division of a number by 97.4 ISO 2012 All rights reservedBS ISO 17442:2012ISO 17442:2012(E)A.2.2 Calculate the modulo 97 of the above number3):1The LEI, F50EOCW

39、SQFAUVO9Q8Z97, is shown to be valid, as the result is 1.3) The number is too large to be validated using a spreadsheet. ISO 2012 All rights reserved 5BS ISO 17442:2012ISO 17442:2012(E)Bibliography1 ISO 8908:1993, Banking and related financial services Vocabulary and data elements6 ISO 2012 All right

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