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July 26, 2017

LEI ROC published a consultation on corporate actions and data history in the Global Legal Entity Identifier System (GLEIS). The consultation paper aims to present an implementable framework for addressing corporate actions that may affect the reference and relationship data in the LEI records, including those that may affect the legal perimeter or material composition of an entity; it also aims to define the type of information that should be requested and an appropriate means of tracking changes over time.

No single and complete definition of “corporate action” exists that is globally accepted among companies, equity and debt issuers, investors, regulators, and other stakeholders. In general, corporate actions include any type of event that yields a material change for a company or holders of its debt or equity. Although corporate actions include a broad range of types, this consultation paper focuses only on corporate actions that directly affect the LEI reference or relationship data, including corporate actions that affect the legal perimeter or material composition of an entity and, ultimately, how those actions affect the historical information maintained within the GLEIS. Thus, this consultation document includes a discussion of the particular set of corporate actions that the ROC believes may directly affect the data within the GLEIS and a set of questions addressed to interested parties about their views on the approach that should be taken to address corporate actions and define the relevant entity history. This consultation document seeks input from the public on topics such as complex acquisitions, spin-off relationship, inactive entities, and entity under liquidation.

Comment Due Date: September 29, 2017

Keywords: International, Banking, Insurance, Securities, GLEIS, Corporate Actions, Data History, LEI, LEIROC

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