LEI Financial Regulation Summary
Financial regulatory use of Legal Entity Identifiers (LEIs) is driven by the authorities in local jurisdictions. RapidLEI provides the summary information of current legislation where LEIs are required (or proposed as a requirement).
| Jurisdiction | Master/Base Regulation | Impact | LEI required | |
| Global | Committee on Payments and Market Infrastructures | all over-the-counter (OTC) derivatives contracts should be reported to trade repositories (TRs); each transaction identified by a Unique Transaction Identifier (UTI) | Recommended | |
| Global | Basel Committee on Banking Supervision | banks required to include money laundering (ML) and financing of terrorism (FT) within overall risk management | Recommended | |
| EU | EMIR | European Markets Infrastructure Regulation | counterparties to derivatives contracts as well as beneficiaries, brokers, Central Counterparty Clearing Houses (CCPs) and clearing members | YES |
| EU | MAR | Market Abuse Regulation | issuers of financial instruments; entities involved or reporting in suspicious transactions | YES |
| EU | CRR | Capital Requirements Regulation | credit and financial institutions | YES |
| EU | AIFMD | Alternative Investment Funds Directive | funds and fund managers | YES |
| EU | CRAR | Credit Rating Agencies Regulation | credit rating agencies and rated entities | YES |
| EU | Solvency II | Solvency II | pension funds and insurance companies | YES |
| EU | CSDR | Central Securities Depositories Regulation | CSDs, CSDs’ participants | YES |
| EU | Transparency Directive | issuers of financial instruments listed on Regulated Markets | YES | |
| EU | SFTR | Securities Financing Transactions Regulation | parties involved in securities financing transactions and the beneficiaries of the rights and obligations arising from | YES |
| EU | Prospectus Regulation | issuers of securities offered to the public or admitted to trading on a regulated market situated or operating within a EU member state | YES | |
| EU | MiFID II / MiFIR | Markets in Financial Instruments Directive II & Markets in Financial Instruments Regulation | Read full MiFID II / MiFIR impact | YES |
| US | HMDA | Home Mortgage Disclosure Act | depository institutions required to collect, report and disclose data about originations and purchases of mortgage loans and applications | YES |
| US | SEC | Securities Exchange Act | proposed rule change relating to adopt FINRA Rule 6800 Series (Consolidated Audit Trail Compliance Rule) | YES |
| Malaysia | RENTAS | Real-time Electronic Transfer of Funds and Securities System | The Financial Markets Committee (FMC) together with Bank Negara adopted LEI for RENTAS | YES |
| India | RBI 1934 | Reserve Bank of India Act | LEI required for over-the-counter (OTC) derivative markets | YES |
| Israel | Bank of Israel Order, 5776-2016 | financial institutions providing information regarding transactions in foreign currency derivatives, index derivatives and interest rate derivatives | YES |