BS ISO 20275-2017 Financial services Entity legal forms (ELF)《金融服务 实体法律形式》.pdf

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1、Financial services Entity legal forms (ELF)BS ISO 20275:2017BSI Standards PublicationWB11885_BSI_StandardCovs_2013_AW.indd 1 15/05/2013 15:06 ISO 2017Financial services Entity legal forms (ELF)Services financiers Formes juridique des entits (ELF)INTERNATIONAL STANDARDISO20275First edition2017-07Refe

2、rence numberISO 20275:2017(E)National forewordThis British Standard is the UK implementation of ISO 20275:2017.The UK participation in its preparation was entrusted to Technical Committee IST/12, Financial services.A list of organizations represented on this committee can be obtained on request to i

3、ts secretary.This publication does not purport to include all the necessary provisions of a contract. Users are responsible for its correct application. The British Standards Institution 2017 Published by BSI Standards Limited 2017ISBN 978 0 580 90266 6ICS 03.060Compliance with a British Standard ca

4、nnot confer immunity from legal obligations.This British Standard was published under the authority of the Standards Policy and Strategy Committee on 31 July 2017.Amendments/corrigenda issued since publicationDate Text affectedBRITISH STANDARDBS ISO 20275:2017 ISO 2017Financial services Entity legal

5、 forms (ELF)Services financiers Formes juridique des entits (ELF)INTERNATIONAL STANDARDISO20275First edition2017-07Reference numberISO 20275:2017(E)BS ISO 20275:2017ISO 20275:2017(E)ii ISO 2017 All rights reservedCOPYRIGHT PROTECTED DOCUMENT ISO 2017, Published in SwitzerlandAll rights reserved. Unl

6、ess otherwise specified, no part of this publication may be reproduced or utilized otherwise in any form or by any means, electronic or mechanical, including photocopying, or posting on the internet or an intranet, without prior written permission. Permission can be requested from either ISO at the

7、address below or ISOs member body in the country of the requester.ISO copyright officeCh. de Blandonnet 8 CP 401CH-1214 Vernier, Geneva, SwitzerlandTel. +41 22 749 01 11Fax +41 22 749 09 47copyrightiso.orgwww.iso.orgBS ISO 20275:2017ISO 20275:2017(E)ii ISO 2017 All rights reservedCOPYRIGHT PROTECTED

8、 DOCUMENT ISO 2017, Published in SwitzerlandAll rights reserved. Unless otherwise specified, no part of this publication may be reproduced or utilized otherwise in any form or by any means, electronic or mechanical, including photocopying, or posting on the internet or an intranet, without prior wri

9、tten permission. Permission can be requested from either ISO at the address below or ISOs member body in the country of the requester.ISO copyright officeCh. de Blandonnet 8 CP 401CH-1214 Vernier, Geneva, SwitzerlandTel. +41 22 749 01 11Fax +41 22 749 09 47copyrightiso.orgwww.iso.orgISO 20275:2017(E

10、)Foreword ivIntroduction v1 Scope . 12 Normative references 13 Terms and definitions . 14 ELF Code structure . 25 ELF data record 26 Maintenance 3 ISO 2017 All rights reserved iiiContents PageBS ISO 20275:2017ISO 20275:2017(E)ForewordISO (the International Organization for Standardization) is a worl

11、dwide 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 interested in a subject for which a technical committee has been established has the right to be represented on

12、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 Commission (IEC) on all matters of electrotechnical standardization.The procedures used to develop this do

13、cument and those intended for its further maintenance are described in the ISO/IEC Directives, Part 1. In particular the different approval criteria needed for the different types of ISO documents should be noted. This document was drafted in accordance with the editorial rules of the ISO/IEC Direct

14、ives, Part 2 (see www .iso .org/ directives).Attention is drawn to the possibility that some of the elements of this document may be the subject of patent rights. ISO shall not be held responsible for identifying any or all such patent rights. Details of any patent rights identified during the devel

15、opment of the document will be in the Introduction and/or on the ISO list of patent declarations received (see www .iso .org/ patents).Any trade name used in this document is information given for the convenience of users and does not constitute an endorsement.For an explanation on the voluntary nat

16、ure of standards, the meaning of ISO specific terms and expressions related to conformity assessment, as well as information about ISOs adherence to the World Trade Organization (WTO) principles in the Technical Barriers to Trade (TBT) see the following URL: www .iso .org/ iso/ foreword .html.This d

17、ocument was prepared by Technical Committee ISO/TC 68, Financial services.iv ISO 2017 All rights reservedBS ISO 20275:2017ISO 20275:2017(E)ForewordISO (the International Organization for Standardization) is a worldwide federation of national standards bodies (ISO member bodies). The work of preparin

18、g International Standards is normally carried out through ISO technical committees. Each member body interested 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 liai

19、son with ISO, also take part in the work. ISO collaborates closely with the International Electrotechnical Commission (IEC) on all matters of electrotechnical standardization.The procedures used to develop this document and those intended for its further maintenance are described in the ISO/IEC Dire

20、ctives, Part 1. In particular the different approval criteria needed for the different types of ISO documents should be noted. This document was drafted in accordance with the editorial rules of the ISO/IEC Directives, Part 2 (see www .iso .org/ directives).Attention is drawn to the possibility that

21、 some of the elements of this document may be the subject of patent rights. ISO shall not be held responsible for identifying any or all such patent rights. Details of any patent rights identified during the development of the document will be in the Introduction and/or on the ISO list of patent dec

22、larations received (see www .iso .org/ patents).Any trade name used in this document is information given for the convenience of users and does not constitute an endorsement.For an explanation on the voluntary nature of standards, the meaning of ISO specific terms and expressions related to conformi

23、ty assessment, as well as information about ISOs adherence to the World Trade Organization (WTO) principles in the Technical Barriers to Trade (TBT) see the following URL: www .iso .org/ iso/ foreword .html.This document was prepared by Technical Committee ISO/TC 68, Financial services.iv ISO 2017 A

24、ll rights reserved ISO 20275:2017(E)IntroductionUnderstanding the legal form of an entity is an important component of financial services transactions. Entering into a business relationship requires distinguishing the type of entity that is being transacted with. Parties (and their organizational st

25、ructure) involved in financial transactions need to be identified within these transactions. This is achieved while the support for straight through processing (STP) is still maintained. Standardization of the legal or organizational construct will aid flexibility and provide greater understanding o

26、f exposure to risk and access to capital.Regulators and market participants have recognized the need to identify entity legal forms, both nationally and consistently across the global markets and have asked for a standard to be developed to meet this need.This document fulfils the need for the ident

27、ification of entity legal forms in a structured way in order, among other things, for entities to be classified according to the nature of their legal constitution. Its key provisions are that it: enables unique identification globally of entity legal forms; defines an ELF scheme that is reliable an

28、d an ELF Code that is persistent; defines an ELF code that contains no embedded intelligence regarding the identification of the entity legal form to which it applies; leverages the expertise of ISO/TC 68 in defining and maintaining identifier standards; defines an ELF scheme that is extensible and

29、free from limitation on use and redistribution. ISO 2017 All rights reserved vBS ISO 20275:2017BS ISO 20275:2017Financial services Entity legal forms (ELF)1 ScopeThis document specifies the elements of an unambiguous scheme to identify the distinct entity legal forms in a jurisdiction. Its aim is to

30、 enable legal forms within jurisdictions to be codified and thus facilitate the classification of legal entities according to their legal form.It is not the purpose of the document to give the comparison or alignment of entity legal forms across different jurisdictions, so as not to limit its usage

31、and relevance.2 Normative referencesThe following documents are referred to in the text in such a way that some or all of their content constitutes requirements of this document. For dated references, only the edition cited applies. For undated references, the latest edition of the referenced docume

32、nt (including any amendments) applies. ISO 639-1, Codes for the representation of names of languages Part 1: Alpha-2 codeISO 3166-1, Codes for the representation of names of countries and their subdivisions Part 1: Country codesISO 3166-2, Codes for the representation of names of countries and their

33、 subdivisions Part 2: Country subdivision codeISO 8601, Data elements and interchange formats Information interchange Representation of dates and timesISO Standards Catalogue 01.140.10: Writing and transliteration3 Terms and definitionsFor the purposes of this document, the following terms and defin

34、itions apply.ISO and IEC maintain terminological databases for use in standardization at the following addresses: ISO Online browsing platform: available at h t t p :/ www .iso .org/ obp IEC Electropedia: available at h t t p :/ www .electropedia .org/ 3.1entity legal formtype of entity that an orga

35、nization is considered to be within the legal or regulatory system under which it is formedNote 1 to entry: It includes, but is not limited to, both unincorporated forms and incorporated forms.3.2legal entitylegal person or structure that is organized under the laws of any jurisdictionEXAMPLE Exampl

36、es of eligible entities include, without limitation: all financial intermediaries; banks and finance companies; all entities that issue equity, debt or other securities for other capital structures;INTERNATIONAL STANDARD ISO 20275:2017(E) ISO 2017 All rights reserved 1BS ISO 20275:2017ISO 20275:2017

37、(E) 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 umb

38、rella 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.3.3supranationalgovernmental or non-governmental entity that is established by interna

39、tional law or treaty or incorporated at an international level3.4country of formationcountry or collection of countries (e.g. European Union) of the legal or regulatory system under which the Entity Legal Form (3.1) is formed, as represented in ISO 3166-1 alpha 23.5jurisdiction of formationsub-divis

40、ion of a country of the legal or regulatory system under which the Entity Legal Form (3.1) is formed, as represented in ISO 3166-24 ELF Code structureThe ELF Code is an alphanumeric code of four characters from the Basic Latin character set.Alphabetic characters are uppercase letters A to Z, without

41、 accents (e.g. , , , ) and excluding “special” characters such as blanks, separators or punctuation.Numeric characters are integers within the range 0 to 9.Codes comprised of solely numeric characters will be reserved and not assigned by the maintenance agency.An ELF code contains no embedded intell

42、igence regarding the identification of the entity legal form to which it applies. Because this document does not document the comparison or alignment of entity legal forms across different countries or jurisdictions, a unique ELF Code will be assigned for every entity legal form identified using thi

43、s document.EXAMPLE A Limited Liability Company in one country or jurisdiction may be assigned an ELF Code of D4R1 whereas an equivalent or similarly named legal form in another country/jurisdiction may be assigned an ELF Code S3E3.5 ELF data recordThe ELF data record shall be composed of the followi

44、ng minimum data attributes. Entity legal form name, formed from the following components and present for all relevant official local languages of the country and/or jurisdiction of formation: local name: name of the entity legal form in its local language and character set; language: language used i

45、n the local name, as represented in ISO 639-1; transliterated name: the local name transliterated into basic Latin using the relevant standard as per ISO Standards Catalogue 01.140.10;2 ISO 2017 All rights reservedBS ISO 20275:2017ISO 20275:2017(E) all entities listed on an exchange; all entities th

46、at 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, etc

47、.); all entities under the purview of a financial regulator and their affiliates, subsidiaries and holding companies; counterparties to financial transactions.3.3supranationalgovernmental or non-governmental entity that is established by international law or treaty or incorporated at an internationa

48、l level3.4country of formationcountry or collection of countries (e.g. European Union) of the legal or regulatory system under which the Entity Legal Form (3.1) is formed, as represented in ISO 3166-1 alpha 23.5jurisdiction of formationsub-division of a country of the legal or regulatory system unde

49、r which the Entity Legal Form (3.1) is formed, as represented in ISO 3166-24 ELF Code structureThe ELF Code is an alphanumeric code of four characters from the Basic Latin character set.Alphabetic characters are uppercase letters A to Z, without accents (e.g. , , , ) and excluding “special” characters such as blanks, separators or punctuation.Numeric characters are integers within the range 0 to 9.Codes comprised of solely numeric characters will be reserved and not assigned by the