Frequently Asked Questions

Level 2 Relationship

Registering an Entity for an LEI on the GMEI Utility

Renewing an Entity on the GMEI Utility

Challenging the Data Associated with an Existing Entity

Procedures for Updating an Entity Record

Performing the Bulk Service Process

Payment

User Account

Transferring Records

Downloading Public Files

Site Requirements

Level 2 Relationship

    The information available with LEI reference data to date is referred to as 'Level 1' data. It provides the answer to the question of 'who is who'. In a next step, LEI data will be enhanced to include 'Level 2' data that will answer the question of 'who owns whom', allowing the identification of the direct and ultimate parents of a legal entity.

    To implement Level 2 Data functionality on the GMEI Utility, new fields will be provided in order to enable input of this data on the Portal during the Registration and Renewal. In addition, the Bulk Service Templates for Registration and Renewal will be updated with additional columns to hold this data.
    The GMEI Utility Portal will provide forms during LEI Registration and Renewal to:
    • Search for and input the entity's Direct and Ultimate Consolidating Parents
    • Provide information on a parent entity that does not have an LEI
    • Provide Opt-Out Reasons for reporting these relationships when necessary

    Searching for and selecting a Direct or Ultimate Parent will be similar to the search and select feature currently available on the GMEI Utility Portal for reporting these relationships.
    With Level 2 data, reporting of Direct and Ultimate Parent relationships is now based on the accounting relationship – the direct and ultimate consolidating parent – rather than on the percentage ownership. The following rules apply when providing relationship data:
    • Report the Ultimate Parent and Direct Parent LEIs, if available. - or -
    • Provide the Opt-Out reason for either or both relationships as necessary (see definitions of the Opt-Out Reasons below). Otherwise:
    • If the Ultimate and/or Direct Parent has no registered LEI, and there is no Opt-Out reason provided, provided the Legal Name, Address, and Registration Authority information for the parent.
    • If the entity is an International Branch, provide the Branch Headquarters information, rather than Ultimate and Direct Parents.
    If either of the entity's parents does not have an LEI assignment, provision will be made to enter the parent entity's legal name, address, and business registry information as needed. This will be available both on the Portal, and via Bulk Service with updates to the template files.
    In certain instances, an entity may not be able to report the parental relationship, in which case it may be necessary to "Opt-Out" of one or both relationships. The reasons an entity may opt-out of relationship reporting include:
    • No LEI: The parent does not consent to have an LEI, or the relationship is not yet known, or a relationship is not yet defined due to the absence of a parental LEI.
    • Natural Persons: There is no parent according to the definition used, because the entity is controlled by natural person(s) without any intermediate legal entity meeting the definition of accounting consolidating parent.
    • Non Consolidating: There is no parent according to the definition used, because the entity is controlled by legal entities not subject to preparing consolidated financial statements.
    • No Known Person: There is no parent according to the definition used, because there is no known person controlling the entity (e.g., diversified shareholding).
    • Legal Obstacles: Obstacles in the laws or regulations of a jurisdiction prevent providing or publishing this information.
    • Consent Not Obtained: The consent of the parent was necessary under the applicable legal framework and the parent did not consent or could not be contacted.
    • Binding Legal Commitments: Binding legal commitments (other than the laws or regulations of a jurisdiction), such as articles governing the legal entity or a contract, prevent providing or publishing this information.
    • Detriment Not Excluded: The child entity has sought to consult the parent entity about the reporting of the parent information but could not confirm the absence of detriment in a way that can appropriately prevent liability risks for the child entity.
    • Disclosure Detrimental: The disclosure of this information would be detrimental to the legal entity or the relevant parent. This will include reasons generally accepted by public authorities in similar circumstances, based on a declaration by the entity.

    For more detailed information about Level 2 Data, please refer to the Level 2 Data FAQ document in the Reference Documents section. You can also find more information on the GLEIF's website at http://www.gleif.org/.

Registration

  • An LEI is a unique code associated with a single legal entity in accordance with the ISO 17442 standard. The LEI is a reference data tool to standardize how a counterparty is identified on financial transactions. Its goal is to help improve the measuring and monitoring of systemic risk and support more cost-effective compliance with regulatory reporting requirements.
  • The GMEI Utility does not mandate which global entities require LEIs. These requirements are driven by international regulations applied to financial services firms.
  • The GMEI Utility will neither accept nor reject submissions based on entity size, jurisdiction, asset class or role in a financial transaction.
  • The validation checks performed against Legal LEI records are to confirm that the requested entity exists, that it is eligible to receive an LEI, and that the submitted data is accurate. These are not Know Your Customer (KYC) checks and do not represent a judgment on suitability or the capability of the entity being Legal for taking part in financial transactions.
  • An LEI can be requested for all parties in a financial transaction including but not limited to:
  • An LEI should not be requested for operating divisions. These entities should utilize the LEI of their parent organization.
  • An LEI should only be requested for individuals or branch offices that conform to the guidelines from the ROC. More information can be found here for individuals and here for branch entities.
  • Additional assistance can be provided by emailing customerservice@gmeiutility.org.
  • An LEI can be Legal through a process known as Self-Registration. You must meet the following conditions to register an entity as the primary party:
    • You are currently an employee of the firm for which you are registering, or are currently an employee of the firm which has controlling interest over the entity you are registering.
    • You are authorized by your firm to register for an LEI.
  • An LEI can also be Legal via Assisted Registration by a third party that is not associated with the entity being assigned an LEI, provided that the entity being assigned an LEI has given explicit permission for the third party to do so - more information can be found in our terms and conditions.
  • The GMEI Utility meets the industry and regulatory requirement that we allow for assisted registration. Thus one firm can register another firm they are affiliated with at any time, provided that the affiliated firm has provided permission to do so. For example a swaps dealer may register a hedge fund it occasionally enters into bilateral swaps contracts with and the dealer enters the reference data and pays the registration fee. The GMEI Utility validation team will attempt to compare the data against public sources. Best practice calls for the entity to review the record on the site and complete the renewal process to indicate that they have reviewed the data and have advised the GMEI Utility of any inaccuracies. The GMEI Utility validation team will then update the Validation Sources and Registration Status attributes accordingly.
  • The LEI assignment process begins after payment is processed and validation against public sources has occurred. LEIs being Legal are placed in a staging database immediately after the registration request is received, and will remain in the staging database until the GMEI Utility has reviewed the record. Once record validation is completed by the GMEI Utility validation team, the record will have an LEI assigned and will be transferred from the Staging Database to the GMEI Utility Issued Database. Depending on current workload it can take approximately three to five business days from the time the request for LEI assignment is received to the time that the record is listed in the GMEI Utility.
  • The GMEI Utility has a strict handshake process between its validation platform and web portal, which must be adhered to. A registration will arrive at the validation platform the day after payment is received and the LEI is assigned the day after validation checks are completed. Validation times are dependent on the current workload.
  • You will receive an email upon completion of the registration process confirming that your request has been received. After validation review has completed, you will receive an email from the GMEI Utility providing you a link to the record with the assigned LEI. The record will be publicly available via the GMEI Utility at this time.
  • At this time, basic information in compliance with the ISO 17442 standard as well as the information needed to uniquely identify the entity is required. This includes legal name, legal address, headquarters address, entity status, and the entity's legal form.
  • The legal address of the entity should be provided and listed according to the documentation of incorporation. It is common for legal addresses to be care of an agent of service, and therefore should not be regarded as a mailing contact or a headquarters address for the entity.
  • Please refer to the Fund Guidance document, which defines various data submission use cases for these unique legal forms. If you have another unique entity not covered in the Fund Guidance document, and you are unsure if it is eligible for LEI assignment, please contact customerservice@gmeiutility.org for further assistance.
  • Please refer to the FAQ Payment information below.
  • The GMEI Utility validation team will perform a two-stage validation check for all requests made via the GMEI Utility. Checks will be made for duplication, data accuracy and data formatting. The record may be accepted, corrected or set to duplicate status.
  • To ensure a high degree of data quality and that core principles are renewed, all LEI registration requests will be independently validated against public sources prior to assignment of an LEI. These sources will vary depending on entity type and jurisdiction but can include national company registries, filings held by regulators and central banks, stock exchange listings and the fund prospectus.
  • A record will be flagged as a duplicate when it is identified as pertaining to the same legal entity that already has an LEI. If a record is found to be a duplicate during the validation of a registration request, the request will be rejected and the submitter will be notified via email regarding the correct globally accepted LEI to use. No refunds will be issued. This may be necessary even if core data is not identical across the two records. Examples include:
    • Where the same entity has been listed twice at multiple addresses, e.g. an operating division has been Legal as well as the entity itself.
    • Where the same entity has been listed twice under both former and current names.
    • Where the same entity has been listed twice under both local language and ASCII Transliterated Legal names.
  • The GMEI Utility validation team will also monitor ongoing corporate actions and processing to identify data changes that are needed but have not been raised as a challenge.
  • It is difficult to estimate how long a registration request will be pending as this will depend on the volume of items requiring validation. Most outstanding actions have been cleared within 3-5 business days.

Renewal

  • The renewal process is a procedure implemented on the GMEI Utility to allow parties with explicit permission to provide information related to an entity record on an ongoing basis. Bulk processing is also available.
  • A record will not be updated on the GMEI Utility until the GMEI Utility validation team has reviewed the record. After successful validation, the record will have its Registration Status set to "ISSUED" and the Renew by Date will be extended one calendar year from the time of renewal.
  • A record that is not renewed by the date noted in its Renew by Date will have its Registration Status value set to "LAPSED". Having a record marked as "LAPSED" is an indication that the LEI may not be compliant with practices recommended by the FSB and ROC, and in some instances may indicate non-compliance with regulatory requirements. However, records marked as "LAPSED" are still valid for use in regulatory reporting and should continue to be used for such purposes.
  • Although entity data at the time of registration may be accurate, the reference data associated with an entity record will change over time. As a result, users should return to the GMEI Utility on an annual basis to renew their record via the renewal process.
  • Failure to renew a record on an annual basis may render the LEI non-compliant with practices recommended by the FSB and ROC, and in some instances may indicate non-compliance with regulatory requirements. However, records marked as "LAPSED" are still valid for use in regulatory reporting and should continue to be used for such purposes.
  • The GMEI Utility validation team will perform a two-stage validation check for all requests made via the GMEI Utility. Checks will be made for duplication, data accuracy, and data formatting. The renewal request may be accepted or rejected.
  • Renewal requests may be rejected if they change the entity that the record information refers to. If you have any questions concerning a pending renewal request, please contact the GMEI Utility customer service team at customerservice@gmeiutility.org.
  • It is difficult to estimate how long a renewal request will remain pending as this will depend on the volume of requests that require validation. Most renewal requests are completed within 3-5 business days.
  • Please refer to the Payment information below.
  • The GMEI Utility will send automated reminders approximately 60 days prior to the next renewal date. Further reminders will subsequently be sent 30 days, 15 days, 10 days, 5 days and 1 day prior to renewal.
  • Renewal reminders are system generated and are calculated using the next renewal date, regrettably they are sometimes sent after payment has been received but before the validation checks are complete. If you have any questions regarding the renewal process please contact customerservice@gmeiutility.org.

Challenge

  • Challenging a record will trigger a review of the record by the GMEI Utility validation team to determine the validity of the updated information being submitted. This will allow users to indicate updates to records at no cost to the user.
  • Challenging also allows users to indicate that an entity record expired. It enables users to provide comments which will allow the GMEI Utility validation team to research the Entity Expiration Date and Entity Expiration Reason, if applicable.
  • Challenging can also be used to indicate that an entity record is a duplicate of another record within the GMEI Utility or in another pre-LOU dataset.
  • Any user, including any member of the public that establishes a user account in the GMEI Utility, can challenge any entity on the portal via the Challenge process. These requests will be reviewed for validity. Publicly available authoritative sources should be noted in the comments of the challenge if possible. This will aid the GMEI Utility validation team in effectively researching the entity record.
  • An entity record will be pre-populated with the existing entity information. Updates to the existing information can then be made.
  • If the user is challenging that the record is a duplicate of another record on the GMEI Utility, the user must indicate the other record.
  • If the user is challenging that the record is a duplicate of another globally accepted record not located on the GMEI Utility, they can indicate this by providing additional information in the memo field.
  • There is no fee for challenging an entity's information.
  • Validation of all challenge requests will occur before changes are published to the portal database. Checks will be made for duplication, data accuracy and data formatting as well as persistence. The challenge may be accepted and published, corrected and published, or rejected.
  • Validation of all duplicate challenge requests will occur before changes are published to the GMEI Utility Issued Database. Checks will be made to confirm that it is a valid duplicate and to identify which of the records should survive. If the duplicate challenge request is accepted, one of the records will be updated to indicate that it is a duplicate and the other record will remain as the surviving entity. The duplicate challenge request may also be rejected if it is deemed invalid.
  • Note: Challenges will fail persistence checks if the update proposed would change the identity of the record, and these changes are not supported by a valid corporate action.

Bulk Services

The following fields will be required when creating your bulk service file for the bulk service process:

  • Legal Entity Name
    • Legal Name
    • ASCII Transliterated Legal Name will be required when the Legal Name contains non-ASCII characters
  • Legal Entity Address
    • Address Line One
    • Country
    • City
  • Headquarters Entity Address
    • Address Line One
    • Country
    • City
  • Entity Information
    • Registration Authority ID
    • Entity Status
    • Legal Form
    • Managing LOU
  • The standardized fields for the bulk processes are:
    • Country
    • Region (or Province)
    • Registration Authority ID (Dependent on selected Legal Entity Address Country)
    • Entity Status
    • Legal Form (Dependent on selected Legal Entity Address Country)
    • Managing LOU (Dependent on selected Legal Entity Address Country)
    • You can find all standardized values within the Bulk Reference Data document.
  • You will see one of the following messages on the Bulk Service Dashboard and Bulk Service Process pages. In each case, you will need to fix your Bulk Service submission file to resolve the rejection prior to resubmitting your file.
    • No Data (0 bytes) Found in File
      • This message indicates the file was detected to contain no header and no records, and has failed to process. Please select a file that contains bulk service data.
    • No Records Found in File
      • This message indicates the file was detected to contain no records and has failed to process. Please select a file that contains data.
    • Maximum Records Allowed for a Bulk Service File Exceeded
      • This message indicates the maximum number of records for a bulk service file is 500 records. Please select a file that contains 500 records or fewer.
    • Incorrect Template Version Used
      • This message indicates the file was detected to be using an incorrect or invalid bulk service template. Please download the current template and resubmit your data using the current template.
    • File Format not XML or Excel (.XLS or .XLSX)
      • This message indicates the file was detected to be in a format other than Excel (.XLS or .XLSX) or XML. Please resubmit your data using an Excel (.XLS or .XLSX) or XML file type.
  • Each record must pass a variety of data quality checks before it can be processed. A record that was successfully processed will receive the code listed below.
    • 000 - Record has Processed Successfully
      • This code indicates the record was processed successfully and has been submitted for payment. There are no additional actions other than payment that are required at this time for the record.
  • Each record must pass a variety of data quality checks before it can be processed. A record that encountered an error(s) will receive one or more of the following rejection codes. The information that appears below the rejection code provides information on the action you need to take in order to successfully process the rejected record(s).
    • 200 - Unknown Failure
    • 202 - ASCII Transliterated Legal Name Not Provided
      • The Legal Name has been identified to contain non-ASCII characters, and has failed to process because no ASCII Transliterated Legal Name was provided. The ASCII Transliterated Legal Name becomes a required field when the Legal Name contains non-ASCII characters.
    • 203 - Ultimate Parent, Direct Parent, or Branch Headquarters not found in GMEI Utility data set
      • An Ultimate Parent(s) LEI for this record was not located within the GMEI Utility. Ensure the provided Ultimate Parent(s) LEI is correct by searching the GMEI Utility for the Ultimate Parent(s) LEI.
    • 204 - Duplicate LEIs Within File
      • The record was not processed because another record within the file for this LEI has already been processed.
    • 205 - Exact Duplicate Match
      • The record has been identified as an exact match to a record currently in the GMEI Utility. Review the record to ensure the correct data and LEI have been submitted. If the record is a duplicate of the existing record on the GMEI Utility, do not resubmit the record. If the record is a duplicate but data needs to be updated on the GMEI Utility, update the data that needs to be changed.
    • 207 - LEI Provided Does Not Exist
      • The LEI code you provided for the record does not exist within the GMEI Utility. Review the record to ensure the correct LEI has been provided. You may use the GMEI Utility search feature to identify the proper LEI.
    • 208 - Pending Operational Review
      • The record is currently pending operational review for a separate action and cannot be renewed until the current review is completed.
    • 209 - Record Cannot List Self as Ultimate Parent
      • The Ultimate Parent LEI associated to the record is its own LEI. The Ultimate Parent LEI must be something other than the LEI of the record itself.
    • 210 - Related Ultimate Parent LEI Pending Operational Review
      • The Ultimate Parent LEI is currently pending operational review for a separate action. The Ultimate Parent LEI cannot be associated to the record being registered or renewed until the current review is completed.
    • 212 - Entity Status Not Provided
      • The Entity Status is a required field and was not provided.
    • 213 - Validation Sources Does Not Allow Renewal
      • The record is marked with a Validation Sources that does not allow the record to be renewed. The validation sourcess that cannot be renewed are DUPLICATE, REMOVED, PENDING_REMOVAL, TRANSFERRED, or PENDING_TRANSFER. Please omit all records that currently have these Validation Sourcess from your file.
    • 214 - Invalid Region/Province Code Format
      • The record has been identified as containing an invalid Region or Province code. An example of this is when a user supplies Florida for the region field, the correct format for this field is FL. Update the region or province to reflect the two character abbreviation.
    • 215 - Registration Authority ID Not Provided or Invalid
      • The Registration Authority ID for the record is not a valid value for the Legal Entity Address Country, or was left blank. Review the Legal Country and Registration Authority ID to ensure they are valid.
    • 216 - Registration Authority Entity ID Without Registration Authority ID
      • The record was identified as having a Registration Authority Entity ID, but does not contain a Registration Authority ID. Update the record to include the Registration Authority ID issuing the Registration Authority Entity ID.
    • 217 - Registration Authority Entity ID Supplied For Not Available Registration Authority ID
      • The record was identified as having a Registration Authority Entity ID and the Registration Authority ID indicates "Not Available". Update the record to include the Registration Authority ID issuing the Registration Authority Entity ID.
    • 218 - Region/Province Not Supported by Country
      • A Region/Province value within this record was found to use data that is not allowed for the Legal Entity Address Country or Headquarters Entity Address Country selected. Update the record to reflect the standardized values supplied within the bulk service templates.
    • 219 - Legal Name Not Provided
      • Legal Name is a required field and was not provided for the record.
    • 221 - Legal Entity Address Line One Not Provided
      • Legal Entity Address Line One is a required field and was not provided for the record.
    • 222 - Legal Entity Address Country Not Provided
      • Legal Entity Address Country is a required field and was not provided for the record, or was found to be invalid.
    • 223 - Legal Entity Address City Not Provided
      • Legal Entity Address City is a required field and was not provided for the record.
    • 224 - Headquarters Entity Address Line One Not Provided
      • Headquarters Entity Address Line One is a required field and was not provided for the record.
    • 225 - Headquarters Entity Address Country Not Provided
      • Headquarters Entity Address Country is a required field and was not provided for the record, or was found to be invalid.
    • 226 - Headquarters Entity Address City Not Provided
      • Headquarters Entity Address City is a required field and was not provided for the record.
    • 227 - Legal Form Not Provided or Invalid
      • Legal Form is a required field and was not provided for the record, or was found to be invalid for the Legal Entity Address Country.
    • 228 - Managing LOU Not Provided or Invalid
      • Managing LOU field is a required field and was not provided for this record, or was found to be invalid for the Legal Entity Address Country.
    • 229 - EOR Indicator Not in Expected Cell
      • The End of Row indicator ("EOR") was not in the correct cell of the original bulk submission file. The value "EOR" is automatically provided in the correct cell in the rejection file for ease of resubmitting.
    • 230 - EOR Indicator Not in Expected Cell
      • The End of Row indicator ("EOR") was not in the correct cell of the original bulk submission file. The value "EOR" is automatically provided in the correct cell in the rejection file for ease of resubmitting.
    • 232 - Exact Duplicate Records Within File
      • The record was identified as being an exact duplicate to another record within the file, and was not processed.
    • 234 - LEI Not Provided
      • LEI is a required field and was not provided for this record.
    • 235 - User Authority Not Provided or Invalid
      • Registration Status is a required field and was not provided for this record, or is not a valid Registration Status.
    • 236 - Customer Reference ID Max Length Exceeded
      • The Customer Reference ID for this record has exceeded the maximum 50 characters.
    • 237 - ASCII Transliterated Legal Name Contains Non-ASCII
      • The ASCII Transliterated Legal Name cannot contain non-ASCII characters.
    • 238 - Invalid Characters Found
      • Invalid characters were found in this record and have been replaced with the string "{bad data}" for ease of identification and correction.
    • 239 - Invalid Ultimate Parent Reference
      • Ultimate Parent references are not allowed for entities with Validation Sources of PENDING_TRANSFER, TRANSFERRED, PENDING_REMOVAL, REMOVED, or DUPLICATE.
    • 241 - Legal Entity Address Region Not Provided
      • Legal Entity Address Region is a required field and was not provided for the record, or was found to be invalid.
    • 242 - Headquarters Entity Address Region Not Provided
      • Headquarters Entity Address Region is a required field and was not provided for the record, or was found to be invalid.
    • 248 - Legal Name Exceeds 255 Characters
      • The Legal Name field is limited to 255 characters.
    • 249 - ASCII Transliterated Legal Name Exceeds 255 Characters
      • The ASCII Transliterated Legal Name field is limited to 255 characters.
    • 250 - Legal Address Line Exceeds 100 Characters
      • The Legal Address Line field is limited to 100 characters.
    • 251 - Legal City Exceeds 50 Characters
      • The Legal City field is limited to 50 characters.
    • 252 - Legal Postal Code Exceeds 20 Characters
      • The Legal Postal Code field is limited to 20 characters.
    • 253 - Headquarters Address Line Exceeds 100 Characters
      • The Headquarters Address Line field is limited to 100 characters.
    • 254 - Headquarters City Exceeds 50 Characters
      • The Headquarters City field is limited to 50 characters.
    • 255 - Headquarters Postal Code Exceeds 20 Characters
      • The Headquarters Postal Code field is limited to 20 characters.
    • 256 - Entity Status Does Not Allow Renewal
      • The record is marked with an Entity Status that does not allow the record to be Renewed. The Entity Status that cannot be renewed is "INACTIVE". Please omit all records that currently have this Entity Status from your file.
    • 257 - Ultimate Parent/Direct Parent Opt-Out Reason not in enumerated list
      • The Opt-Out Reason provided is not in the enumerated list.
    • 258 - Missing a relationship field for Ultimate Parent or Direct Parent
      • Relatonship fields are required for this action, please provide an Opt-Out, LEI, or No LEI for the record.
    • 259 - Branch defined with no Headquarters relationship
      • Branch records must define a Headquarters relationship.
    • 260 - Branch record cannot define Ultimate Parent or Direct Parent
      • Branch records may not define an Ultimate Parent or Direct Parent.
    • 261 - Headquarters relationships only permitted for Branch records
      • Headquarters relationships can only be established for records with an entity category of "Branch".
    • 262 - Record has both Ultimate Parent and Opt-Out reason
      • You can either provide an LEI or Opt-Out reason, both are not permitted.
    • 263 - Record has both Direct Parent and Opt-Out reason
      • You can either provide an LEI or Opt-Out reason, both are not permitted.
    • 264 - Active record has expiration reason
      • Record must be inactive to include an Expiration Reason.
    • 265 - INACTIVE record without expiration reason
      • Inactive records must list thier Expiration Reason.
    • 266 - Headquarters has existing branch within country
      • Only one branch record may be listed within each Legal Address Country for the Headquarters listed.
    • 267 - Record cannot be INACTIVE and have an Entity Category of Branch
      • Inactive records cannot have an Entity Category of branch.
    • 268 - Expiration reason provided is not in enumerated list
      • Expiration Reason provided is not in the enumerated list.
    • 269 - You can provide either an LEI, Opt-Out, or No LEI Parentage for Ultimate Parent
      • Only one type of parentage type is permitted for each relationships Opt-Out Reason, LEI, or No LEI.
    • 270 - You can provide either an LEI, Opt-Out, or No LEI Parentage for Direct Parent
      • Only one type of parentage type is permitted for each relationships Opt-Out Reason, LEI, or No LEI.
    • 271 - A No LEI Ultimate Parent Field has exceeded the maximum characters allowed
      • The No LEI field is limited to 20 characters.
    • 272 - A No LEI Direct Parent Field has exceeded the maximum characters allowed
      • The No LEI field is limited to 20 characters.
    • 273 - Ultimate Parent or Direct Parent LEI is not a valid LEI
      • The LEI listed is not in the LEI dataset.
    • 274 - All No LEI fields are required for a No LEI Relationship to be created
      • If providing the No LEI fields all the fields are required (excluding Registration Authority Enitty ID)
    • 283 - Entity Category value does not exist or is invalid
      • The Entity Category provided is not in the enumerated list.
    • 284 - Relationships not permitted for INACTIVE Record Types
      • Relationships cannot be created for records that are in an inactive state.
  • There are 3 files that can be downloaded from your bulk service dashboard.
    • The Results File will contain all submitted records along with a processing code, and is generated instantly once processing is complete.
    • The Rejection File will contain records that were rejected from the file along with a processing code, and is generated instantly once processing is complete. If no records were rejected the file will be blank.
    • The Validation file is generated at the end of the bulk process. It can be generated after all records within the file have been processed, or if the records expire or are removed from a user's pending actions. The file will contain the validation outcome for each record.
  • Clicking the links for each file will download the file in Excel.

Entity Updates

  • If you are a third party that is providing updates to a record, you may challenge the record at any time to provide updated information.
  • If you are the primary party of a record, you must renew the record via the renewal process prior to the submission of any challenge requests. After a record has been renewed, it can then be challenged until the renewal period expires.
  • All fields are editable during the renewal process.
  • You can also indicate that there is a duplicate record by utilizing the duplicate challenge process.
  • Additional assistance can be provided by emailing customerservice@gmeiutility.org or by viewing our GMEI user guide.
  • Users should return to the GMEI Utility on an annual basis to review their record via the renewal process. However, we would appreciate if you could inform us of any changes once they have transpired, including changes to legal name, address or entity status. More information can be found in our Corporate Actions Guide, or by contacting customerservice@gmeiutility.org.
  • This assumes that after a merger a single major entity continues to operate without change and subsumes the minor party which consequently ceases to exist.
  • For all LEIs which will cease, the Entity Status will be set to "INACTIVE" and the expiry details will be captured in the expiry reason and expiry date fields where applicable. The GMEI Utility validation team will add the information for the Entity Expiration Date and Expiry Reason where available. Additional information can be provided during the challenge process by supplying notes regarding the change.
  • The surviving LEI record will remain active, with no change to its Registration Status field.
  • Register a new LEI for the new entity.
  • For all entities which will cease, the Entity Status will be set to "INACTIVE" and the expiry details will be captured in the expiry reason and expiry date fields where applicable.
  • Example: A stand-alone legal entity is taken over by another entity or ownership is transferred from one owner to another.
  • Change is required to the Ultimate Parent data attribute (the addition or change of Ultimate Parent LEI must occur) but the LEI of the entity being acquired remains the same.
  • An additional LEI should not be generated. Instead, the existing LEI should be updated to reflect the new legal name using the Renew or Challenge function.
  • Care needs to be taken when corporations recycle dormant companies and switch names over at the same time. In this case it is necessary for the LEI to maintain the correct audit trail for each entity, accurately reflecting the legacy of the changes made.
  • Legal address changes are infrequent and not to be confused with changes to operational addresses.
  • The LEI remains the same but the Legal Address data is updated to reflect the new information.
  • The LEI remains the same but the Headquarters Address data is updated to reflect the new information.
  • The LEI record remains untouched as the entity status is technically still active.
  • The record should be challenged and the Entity Status should be changed from "ACTIVE" to "INACTIVE". The user should also provide information for the "Entity Expiration Date" and "Entity Expiration Reason" in the comments box as well. The GMEI Utility validation team will review publicly available sources of information for the entity and update the record accordingly.
  • This only happens when the company ceases to exist and is dissolved or merged.
  • An additional LEI should not be generated. Instead, the existing LEI is updated to reflect the new legal address. The data is then revalidated against the new registry.
  • The LEI record remains untouched.
  • The Entity Status of the LEI remains "ACTIVE" if the company is still active.
  • The existing LEI record remains untouched.
  • A new LEI should be created for the new company if needed.
  • Please use the duplicate challenge functionality to indicate the two records that you have determined are duplicates. This will initiate a validation review of the records to determine the best course of action.
  • For the duplicate LEI record, the Registration Status will be set to "DUPLICATE" and the successor LEI will be captured in the "Duplicate Reference" field.
  • No change will be made to the LEI record which remains active.
  • After visiting the Challenge page for the entity record that has a duplicate conflict on the GMEI Utility, please select the appropriate checkbox at the top of the page.
  • Information regarding the duplicate can be supplied in the memo field at the bottom of the page.
  • After completing your submission, the GMEI Utility validation team will review which of the records should be listed as a duplicate, and which record should survive.

Payment

  • Credit card and standard wire payment formats are available payment options on the GMEI Utility.
  • Please be aware that credit card payments are processed quicker than wire payments, please consider how quickly you need your request completed before paying by wire.
  • Payments are accepted in US Dollars (USD) or Euros (EUR).
  • Payment is required before any processing will occur.
  • Items awaiting payment selection can be found on the Pending Actions page of the GMEI Utility. The link for the Pending Actions page can be found in the upper-right corner when a user is logged in. On this page, you will see a list of "Pending Actions" that includes items that have not been submitted. Please note that items in the "Pending Actions" table will be removed in seven days if they are not submitted.
  • If you elected to submit payment via wire, you may have a list of "Orders Pending Payment" on this page as well. After a wire has been received and can be matched to these items, these orders will be sent for processing. Items in the "Orders Pending Payment" table will be removed in 45 days if payment is not received and recognized.
  • During the checkout process, you can elect to pay for your order via wire. There will be a hold placed on the order until payment from you is received and recognized. Please allow five days after payment is sent for the payment to be recognized.
  • You must include the order code in the memo field of the wire payment to ensure that payment can be recognized successfully. The order code can be found in the email that is sent after an order is submitted and/or on the Pending Actions page.
  • Payments must be made on a "one payment per order" basis. At this time, payment cannot be sent for multiple orders at once, and partial payment cannot be applied against an order.
  • It is the user's responsibility to cover any bank charges accumulated.
  • If you elect to pay via wire payment, specific instructions should be followed to ensure that your payment is recognized and can be linked to your order. These instructions are available for payment in Euro and US Dollar:
  • In an office setting, a credit card is often shared among a number of individuals. Due to regulatory reporting requirements, the shared credit card has been used to register or renew a record on the GMEI Utility. Please note that "Bus Services" is an abbreviation for "Business Services".
  • Before contacting your credit card company regarding a query on this charge, please communicate with other users of the credit card to determine if it has been used for this purpose.
  • Please note that the holding company of the GMEI Utility is "Business Entity Data B.V.", which is located in the Netherlands.
  • The basic charge for a registration request is dependent on the Managing LOU and Legal Address Country for each record. In accordance with the 2014 funding plan for the Global Legal Entity Identifier Foundation (GLEIF), each registration is also subject to a $19.00 or €19.92 per record COU surcharge.
  • A renewal request will set the "Next Renewal Date" for the record to one year in the future from the time of the renewal request. The cost of a renewal request is based on the number of additional months that will be added to the record's Next Renewal Date. The basic charge for renewal is dependent on the Managing LOU and Legal Address Country for each record. In accordance with the 2014 funding plan for the Global Legal Entity Identifier Foundation (GLEIF), each renewal submission is also subject to a $19.00 or €19.92 per record per year COU surcharge.
  • The COU surcharge is the LEI license fee, which is passed on directly to the Global LEI Foundation (GLEIF). This service charge applies to all pre-LOUs and as of January 2016 was reduced to $19 (€19.92).

User Account

  • The My Account menu item allows users to access records they are the last renewing user for. The records can be filtered using a search box and can also be downloaded into excel in our bulk template format, allowing them to be uploaded directly to the Bulk Service Dashboard.
  • Users can also view a list of favorite records by selecting the My Account menu item. These records can also be downloaded into our bulk template.
  • The user name of a GMEI user account is tied to an email address in order to provide a full history of the account and any records it has registered, renewed or challenged; therefore we cannot facilitate changes to an account username.
  • In order to change your password, please enter the old and new password in Account Management.
  • If you have forgotten your password, please click the "Forgot Your Password?" link in the login page. Once you have answered your security question you may amend your password.
  • If you have forgotten the answer to your security question, please contact customerservice@gmeiutility.org for assistance.
  • Automated emails are sent to the last renewing user as a matter of course, and the only way to amend the contact for a record is to have the desired account set up an account and renew the record themselves. Users may also add a group email address to an account, which will be privy to certain emails such as renewal reminders - please refer to the GMEI user guide for more information.

Transferring Records

  • If you wish for the GMEI Utility to manage records that are currently managed by another pre LOU, you may transfer the records to us by filling in a portability form. For more information contact customerservice@gmeiutility.org.

Public Files

  • Thirty days of the GMEI Utility Issued Database are made available. Two files will be made available on a daily basis. One file includes the entire GMEI Utility database, while the other is a "delta" file that is limited to records that have been updated since the previously published delta file. These files contain LEIs that are mutually accepted by global regulators.
  • Thirty days of the staging database will be made available. The staging database only includes records that are currently under review for initial validation prior to being assigned an LEI. Two files will be made available on a daily basis. One file includes the entire staging dataset, while the other is a "delta" file that is limited to records that have been updated since the previously published delta file.
  • Thirty days of a consolidated listing from select pre-LOUs is also provided in a consolidated file.
  • These files will be made available on a daily basis, although the time of availability is dependent upon the time needed to process the files.

Site Requirements

  • For the best experience, this site is designed to work with Internet Explorer v.9 and above, with general support for Chrome and Firefox browsers.
  • Please check your browser security settings to ensure that they are not set to "High" or "Custom". JavaScript must be enabled to allow typical functioning of the site.
  • Additional assistance can be provided by emailing customerservice@gmeiutility.org.

Reference Documents

Level 2 Data FAQ
- Last updated April 6, 2017

User Guide
- Last updated November 1, 2014

GMEI Fact Sheet
- Last updated November 18, 2016

GMEI Multiyear Renewal Information
- Last updated November 18, 2016

Wire Payment Instructions USD
- Last updated January 21, 2016

Wire Payment Instructions EUR
- Last updated January 21, 2016

Fund Guidance
- Last updated May 12, 2013

GMEI Corporate Actions Guidance
- Last updated February 1, 2016

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