Legal Entity Identifier
(LEI) User Guide
Page 1 Version 9.5
Table of Contents
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The Legal Entity Identifier User Guide gives you an overview of the functionality of the UnaVista LEI module. This user guide includes the following sections;
click the below link to access the respective section:
Introduction 3
Registration 4
Welcome Screen 5
Folder Data 7 – 10
Accessing Folders
Apply Filters
Remove Filters
Topics Page Numbers
LEI – Requesting & Managing Records 12 – 24
Search LEI Record(s) 13
View LEI Record Details 14
Manage your LEI Request(s) 15
Requesting an LEI 16
Pay and Submit LEI Request 19
Annual Renewal Request 20
Bulk Request Information 22
Bulk Annual Renewal Request 23
Challenging an LEI Record 25
Contact Us 26
Topics Page Numbers
Version 9.5
Introduction
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London Stock Exchange PLC has over 20 years of experience as the UK’s National Numbering Agency for assignment of International Securities
Identification Numbers (ISINs) and Classification of Financial Instruments (CFIs) and was also endorsed by the Regulatory Oversight Committee (ROC)
as a Local Operating Unit (LOU) for the global allocation of Legal Entity Identifiers (LEI) and are accredited by GLEIF www.gleif.org
London Stock Exchange’s LEI, also known as the International Entity Identifier (IEI), is issued to legal entities according to the agreed Principles outlined
by the ROC and GLEIF (www.gleif.org). The LEI codes will be issued and maintained via UnaVista, the London Stock Exchange Group’s hosted matching
and reconciliation platform
Legal Entity Identifier (LEI) Solution Overview
The LEI solution enables you to Request and Maintain your LEI record/s including the ability to monitor your LEI Status, view your LEI details, add
documentation and fulfil Annual Renewal obligations.
You can also submit 10 or more LEI requests using the Bulk Request functionality and renew 10 or more LEIs using the Bulk Annual Renewal feature.
Additionally, you can search the consolidated universe of LEI data, as well as challenge a LEI record under the responsibility of the London Stock
Exchange if you believe the details to be incorrect.
Version 9.5
Registration
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To access the LEI database, click the following link: www2.londonstockexchangegroup.com/register-for-lei.The Registration page will be displayed. As
standard, all free services will be available upon registration. Please complete the Registration details:
1. Complete all the mandatory
fields. The mandatory fields
are highlighted in red.
2. If you have additional
subscription services, such as
SEDOL Masterfile, you can
add them to your profile from
the Subscription Services
section on the Registration
page.
3. Please ensure that you
have accepted the T&Cs by
selecting the Terms and
Conditions of Use check box
at the bottom of the
Registration form.
Please Note: Registration details will be used to validate
that self-registration principle for LEI requests is being
adhered to. Therefore, enter the full entity name of the
organisation you work for in the Company Name field.
Version 9.5
To register, click the Register button on the Login screen.
Then Enter your email in the User Registration window and
you will be sent a link. Click the link which will then take you to
the Registration Screen
Welcome Screen
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When you successfully log on to the UnaVista portal, the following UnaVista Welcome screen is displayed.
The Welcome Screen
displays the recent news or
updates from UnaVista as
well as general contact
information.
The Search facility
enables you to
search for LEIs
using part of the
entity name.
If configured, the
Dashboard displays the
pre-set charts giving a
snapshot of data in the
system.
The News tab displays any updates or
news from the UnaVista team.
The Folder Tree displays the folders
available to you. These may differ
depending on your access permissions.
Click the number to the right of a folder to
access the folder contents.
When you click the number, the contents of
the folder will be displayed in the right pane.
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Folder Data
Version 9.5
Accessing Folders
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The left pane displays a list of folders in the system. The folders available will depend on your user profile and additional subscription services. To access
the contents of the folder, click on the number displayed next to the folder. The contents of the folder are displayed in the right pane.
Folder Summary
• LEI Consolidated Search – Contains all LEI
records available across all LOUs
• My LEI Data – This is where you can access
and manage all LEI data under your user
account
• LEI Bulk Request Information – Contains
the LEI Bulk Request Reference Data tables,
Bulk Request Template and User Manual.
• Annual Renewal LEI Data – Contains all
your LEI records that require Annual
Renewal.
• UK ISIN Search – Contains all UK ISIN (GB,
GG, JE & IM) and the respective CFI data
• COAF – Contains details of all assigned UK
Corporate Action Reference Numbers
Click the number displayed to the right of
the respective folder. The contents of the
selected folder is displayed in right pane.
Version 9.5
Apply Advanced Filters
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You can narrow down the records displayed on the screen by applying filters. The UnaVista platform provides you the functionality to search and filter
records based on any column. This functionality is applicable to all the screens available to you.
1. To filter the records based on column, hover
the mouse over the column header, a drop-
down arrow will appear next to the column
name.
2. Click the drop-down arrow, a menu with different
options is displayed.
3. From the drop-down menu, point to Filters, and
then click the appropriate value from the drop-down
list or type characters in the data string fields.
The Column Filter is a temporary
filter view that allows you to filter
by value in a selected column:
• Access the column filter by
clicking the downward arrow on
the column header and selecting
Filters
• Populate the filter according to
the data type. Text values can be
filtered by
- Equals
- Starts with
- Ends with
- Contains
- List filter
• Note: Filters can be applied on
multiple fields
• Date values can be selected by
calendar.
• Multiple Search field can
either be populated with multiple
values or you can paste a list into
it.
Select the Blank check box if you
wish to search for blank fields or
Not Blank if you wish to exclude
blank fields from the search.
The column header text to which the filter is
applied will display in Red.
Also, filters can be applied on multiple fields.
Version 9.5
Remove Applied Filters
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You can remove all the filters that you have applied to your data if you no longer want to view only the filtered records.
If a filter is applied to only one column then,
right-click in the column to which the filter is
applied. A menu is displayed, click the
Remove This Filter option.
If multiple filters are applied, then
click the Remove All Filters
option from the menu.
Note: If you use the advance filters for your initial search, you cannot request an LEI from this page.
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LEI – Requesting &
Managing Records
Version 9.5
LEI Record Management
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The LEI Record Management section includes the following topics, click the link to access the respective topic:
Search LEI Record(s)
View LEI Record Details
Manage your LEI Request(s)
Requesting an LEI
Pay and Submit LEI Request
Annual Renewal Request
Bulk Request Information
Bulk Annual Renewal Request
Challenging an LEI Record
Version 9.5
Search LEI Record(s)
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The Search facility in the Navigation Settings region enables you to search the database for an existing LEI. The applicable LEI matches are
displayed in the right hand panel from the LEI Consolidated View folder.
You will notice that following return of search results, the
Request LEI button will be displayed to the upper right corner of
the page. Click this button to submit a request for a LEI.
For more details, please refer to the Request a LEI topic of this
user guide.
Type part of the entity name you wish
to search an LEI code for in the
Search field, and press ENTER or
click the Search button.
Entities that contain the searched word will
be displayed in the right pane. The relevant
LEI will also be displayed.
Search LEI Record(s)
Version 9.5 Page 14
The Search facility in the Navigation Settings region enables you to search the database for an existing LEI. The applicable LEI matches are
displayed in the right hand panel from the LEI Consolidated View folder.
You will notice that following return of search results, the
Request LEI button will be displayed to the upper right corner of
the page. Click this button to submit a request for a LEI.
For more details, please refer to the Request a LEI topic of this
user guide.
Type part of the entity name you wish
to search an LEI code for in the
Search field, and press ENTER or
click the Search button.
Entities that contain the searched word will
be displayed in the right pane. The relevant
LEI will also be displayed.
Manage your LEI Request(s)
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To make a payment and submit the
request, select the record and click
the Submit Card Pymnt button.
For more details, please refer the
Pay and Submit LEI Request topic.
You can delete the draft records. To delete
the record, select the record and click the
Delete Draft button.
To add additional documents to the LEI
request, click the Add doc button.
Click the number to the right of
the My LEI Data folder. The LEI
request(s) are displayed in the
right pane.
You can manage your LEI records, including making payments to submit your request, in your My LEI Data folder. To view your LEI requests, click
on the number that is displayed next to the My LEI Data folder. Your LEI request(s) will be displayed in the right hand panel.
Important Note:
In order for us to begin the validation process of
your LEI request, you must have credit card
payment approved.
• Upon submission of your request, payment will
be authorised but not taken.
• Payment is only taken upon LEI allocation and
an email is sent to the requestor confirming
payment and providing the LEI.
To edit the record, click the Edit
Record icon next to the record
that you want to update.
Version 9.5
Requesting an LEI
Version 9.5 Page 16
Requesting an LEI is a 3 step process: 1. Search LEI database 2. Complete Request LEI template 3. Submit Credit Card payment
Before you submit a request for an LEI, you must search the LEI database to see if an LEI already exists (see point 1 below). For more details on
how to search an LEI, please refer to the Search LEI Record(s) topic in this user guide.
If the searched LEI exists in the system, it will be displayed in the right hand panel from the LEI Consolidated View tab.
If you have more than 10 LEI requests to submit, please use the Bulk Request Information feature.
1. Search for the entity name within
Navigation settings.
This will return potential matches within
the LEI Consolidated View.
See ‘London Stock’ as an example below
Once you click the Request LEI button, a new window is opened as shown on pages 10 -11 enabling you to submit a request for a new LEI.
To submit the payment so the LEI request can be validated please see page 12
2. If no match is found, to request a
new LEI, click the Request LEI
button.
The Request LEI button will only be
displayed following a search for an LEI.
Requesting an LEI
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Note: Your LEI Request will only be completed once you make a payment.
1. Complete
all the mandatory
fields. The
mandatory fields
are highlighted in
red.
2. Tips are
provided for all
the fields. To
view the Tip,
hover your
mouse or click
icon.
3. Upload
Authorisation
Form if you are a
third party applying
for an LEI on
behalf of the Legal
Entity.
Upload supporting
Document such as
Fund prospectus,
Trust deed,
Articles of
Incorporation, if
this information is
not publically
available on a
Registration
Authority.
Note: You can add
multiple documents
once you have
created a draft.
Please refer to the
Manage your LEI
Request topic.
4. Complete all the mandatory fields and click the Create
button.
You will notice that the Create button is disabled when you
open the screen. However, it will be enabled once all the
mandatory fields are completed.
Related
Identifiers
can be
provided to
assist in
validation
process.
The Create screen enables you to complete and submit the different details related to the new LEI request that you want to create.
Enter LEI Data
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The LEI data has two main sections, the LEI Entity data and the LEI Parent data. Both sections need to be completed before you can request a LEI.
The LEI Entity data in the first section of
the create form consists of information
about your entity such as the name, type
of entity, registry details and address
details (headquarters address and
legal/registered address).
The LEI Parent data or Level 2 data is
information of your entity’s direct and
ultimate parent as per accounting
consolidating standards.
GLEIF Link on Level 2 Data:
https://www.gleif.org/en/lei-data/access-and-use-lei-data/level-2-data-who-owns-whom
LEI ROC Policy on Level 2 Data:
https://www.gleif.org/en/lei-data/access-and-use-lei-data/level-2-data-who-owns-whom/lei-roc-
policy-on-level-2-data
− Select Parent Name from the drop
down list if the Parent has as LEI.
− If Parent does not have a LEI yet,
enter the full name of the Parent
and complete all fields including
address and registry details of the
Parent. (Alternatively apply for the
Parent LEI, if required).
− If a Parent does not exist or cannot
be disclosed, choose ‘N/A’ from the
drop down and complete the
Exception Reason field.
Please see the LEI Level 2 Data
Help Sheet for further information.
Pay and Submit LEI Request
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The My LEI Data folder enables you to make payments and submit your LEI requests. To make a payment, please follow the below 7 steps:
Note: On payment submission you will receive an email response confirming the status of your payment. Once your LEI request is validated or if more information is
required, you will be contacted by an email. If no email is received, your payment may not have been processed, please contact [email protected] if this is the case
2. Select the check box next to the record for which you need to make a payment
3. Click the Submit Card Pymnt button.
4. Chose the VAT option that applies to you from the VAT screen as shown below.
5. Accept the Terms and Conditions to continue to the Payment Details screen as
shown below:
7. Enter your credit card details and click the Continue
button to proceed with the payment. The Payment
Status screen is displayed as shown below:
1. Click the NUMBER to the
right of the My LEI Data
folder.
The LEI request(s) are
displayed in the right pane.
6. Enter the VAT number of the company you
work for OR chose one of the three options
Annual Renewal Request
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Every year you need to revalidate your LEI. As a reminder, an automated email will be sent to you 60 days prior to your renewal. The UnaVista portal
allows you to access your LEI Renewal records from your My LEI Data folder .
2. From the right pane, select the record that
you need to renew. You should only select
the records that are due for renewal (i.e.
where the LEI Event is Eligible for Renewal
or Requires Annual Renewal).
3. Click the Select for Renewal button.
Once you click the Select for Renewal button,
the LEI Terms and Conditions of Issues screen
is displayed.
4. Accept the Terms and Conditions to
continue.
(…continued on the next page)
1. To access the LEI records for
renewal, click the number
displayed next to the My LEI
Data folder.
The details of will be displayed in
the right pane.
Note: If you have more than 10 LEI renewal
request, you can use the Bulk Annual Renewal
Request feature.
Version 9.5
Annual Renewal Request continued
Version 9.5 Page 21
When you accept the Terms and Conditions, an Edit
record icon is displayed next to the record.
5. Click the Edit record icon to review and update
any information that has changed.
6. When you are ready to submit the renewal, click
the Annual Renewal Card Pymnt button.
9. Enter all the appropriate card details and click
Continue. You will then receive an email
confirming that your payment has been approved.
Once the validation checks are completed and the LEI annual renewal approved, you will receive an email which will include the LEI details with the new renewal
date and an Invoice of payment. The LEI Status will change to Active and the LEI Event will display Validated.
10. Once the payment is submitted, you will notice that
the Edit record icon next to the record is no longer
available and also the LEI Event changes to Awaiting
Validation.
7. Enter the VAT number of the company you
work for OR chose one of the three options
8. Accept the Terms and Conditions to continue
to the Payment Details screen as shown in step 9.
Bulk Request Information
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The Bulk Request feature enables you to submit 10 or more LEI requests at a time. For more information on Bulk Request, please refer the LEI Bulk
Request User Manual available in the LEI Bulk Request Information folder.
1. To access the LEI Bulk Request details, click on
the number displayed next to the LEI Bulk Request
Information folder. The LEI bulk request details are
displayed in the right pane.
2. Information on Bulk Request is covered in the LEI Bulk
Request User Manual.
To access the user manual, click the Download File icon.
You can also access the LEI Bulk Request Template using the
Download file icon.
3. Download the LEI Request Ref Data files
required to populate some of the data fields
.
Bulk Annual Renewal Request
Version 9.5 Page 23
Every year you need to revalidate your LEI. As a reminder, an automated email will be sent to you 60 days prior to your renewal. The Bulk Annual
Renewal feature enables you to request annual renewal for bulk uploaded LEIs or if more than 10 LEIs need renewal at a same time.
2. Select the records that you need to renew.
You should only select the records that are
due for renewal (i.e. where the LEI Event is
Eligible for Renewal or Requires Annual
Renewal).
3. Click the Select for Renewal button.
Once you click the Select for Renewal button,
the LEI Terms and Conditions of Issues
message is displayed.
4. Accept the Terms and Conditions to
continue.
(…continued on the next page)
1. To access the LEI records for renewal,
click the number displayed next to the My
LEI Data folder.
The details of folder will be displayed in the
right pane.
Bulk Annual Renewal Request continued
Version 9.5 Page 24
5. Once you accept the Terms and Conditions, an email will be sent to you confirming that the LEI records are selected for renewal. You have two options to submit
the bulk renewal request, either by:
a. Using the Submit Bulk Renewal Button
b. Using the Bulk Renewal Template
Submit using the Submit Bulk Renewal
Button
a. Click the Submit Bulk Renewal
button to submit the renewal request
via the interface.
You can also change the relevant details
prior to submission by clicking the Edit
record icon.
Using Bulk Renewal Template
b. The Bulk Renewal Template will be sent to you via an email. If you need to make any changes to your LEI records, then make the changes in the template, and
send it to [email protected]m
6. Once the LEI requests are validated by us, you will receive an email confirming that the requests are validated and your invoice will follow shortly.
Challenging an LEI Record
Version 9.5 Page 25
Any user can challenge an LEI record if they believe that the details submitted are incorrect. You can only challenge the LEI records that are
currently held by the London Stock Exchange LEI Limited within our system. For other LEIs you can challenge at www.gleif.org
1. Select the record that you want to
challenge by clicking the check
box next to the record.
2. Click the Challenge Record
button. The Additional Field(s)
screen is displayed as shown
below.
Note: The Challenge Record button
will be enabled only when you select a
record.
3. Enter the Reason for the
challenge and select the
appropriate Effective Date.
You can also upload a document to
support your challenge.
Once you submit the challenge, you will receive an email confirming the challenge submission. A response to the Challenge will be received within three working
days of submission.
