Data Schema / Schema reference

Schema reference

Attention

This is v0.3 of the Beneficial Ownership Data Standard. It includes updates to the data model and codelists as well as additional technical guidance.

Implementers should be aware that future changes are anticipated, before a version 1.0 release. See the Changelog and About pages for more information.

MUST and SHOULD are used in the schema to denote required and recommended elements of the Standard, as defined in RFC2119.

The following is an A - Z guide to the objects of the Data Standard’s schema, plus its codelists . Details of each object’s properties are provided in a table generated from the JSON schema. (For a structured view of how objects fit together in the JSON schema, use the Schema browser.)

The top-level objects are statements:

Statements are built up from a set of nested objects and properties, each of which has a field name, a title and a description that defines how the object or field should be used.

BODS data MAY be published as a valid JSON document. See Serialization for more options.

Address

A free text address string, providing as much address data as is relevant, suitable for processing using address parsing algorithms. For some uses (for example, Place of Birth) only a town and country are required.

Title

Description

Type

Format

Required

type

string

Type

What type of address is this? See the addressType codelist.

See AddressType

address

string

Address

The address, with each line or component of the address separated by a line-break or comma. Where postal codes are isolated fields in source systems, this address field SHOULD NOT include the postal code.

postCode

string

Postcode

The postal code for this address.

country

string

Country

The 2-letter country code (ISO 3166-1) for this address.

Note

A diversity of address formats are used across data management systems, and data is often inconsistently entered across data fields in these source systems (and legacy datasets). Therefore the BODS schema uses a very simple address format for data exchange. Consuming systems will need to parse BODS addresses before carrying out any structured comparison.

Designers of new data collection systems are encouraged to choose an appropriate structured format, with reference to established standards, and awareness of the need to accomodate addresses from across the world. See issue 18 for more details.

Agent

An individual, organisation or other responsible agent making, or supporting, a given statement or annotation.

Title

Description

Type

Format

Required

name

string

Name

The name of the agent

uri

string

uri

URI

An optional URI to identify the agent.

Annotation

The annotations property of statements currently allows an array of these simple annotation objects to be included. An annotation can be used to hold information (structured or otherwise) for which a place does not exist elsewhere in the schema. See Sources and annotations for further guidance.

Title

Description

Type

Format

Required

statementPointerTarget

string

Required

Statement Fragment Pointer

An RFC6901 JSON Pointer (https://tools.ietf.org/html/rfc6901) describing the target fragment of the statement that this annotation applies to, starting from the root of the statement. A value of ‘/’ indicates that the annotation applies to the whole statement.

creationDate

string

date

Creation Date

The date this annotation was created.

createdBy

object

Created By

The person, organisation or agent that created this annotation.

createdBy/name

string

Name

The name of the person, organisation or agent that created this annotation.

createdBy/uri

string

uri

URI

An optional URI to identify person, organisation or agent that created this annotation.

motivation

string

Required

Motivation

The motivation for this annotation, chosen from a codelist. See the annotationMotivation codelist.

See AnnotationMotivation

description

string

Description

A free-text description to annotate this statement or field.

transformedContent

string

Transformed content

A representation of the annotation target after the transformation in the description field has been applied. This field SHOULD only be used when the motivation is transformation.

url

string

uri

URL

A linked resource that annotates, provides context for or enhances this statement. The content of the resource, or the relationship to the statement, MAY be described in the description field. This field is REQUIRED if the value of motivation is ‘linking’.

Country

A country MUST have a name. A country SHOULD have a 2-letter country code (ISO 3166-1)

Title

Description

Type

Format

Required

name

string

Required

Name

The name of the country

code

string

Country code

The 2-letter country code (ISO 3166-1) for this country.

EntityStatement

A statement identifying and describing the entity that is the subject of the ownership or control described in an ownership or control statement.

Title

Description

Type

Format

Required

statementID

string

Required

Statement Identifier

A persistent globally unique identifier for this statement.

See ID

statementType

string

Required

Statement type

This MUST be ‘entityStatement’.

statementDate

string

date

Statement date

The date on which this statement was made.

See StatementDate

isComponent

boolean

Required

Is component

Does this Entity Statement represent a component of an indirect ownership-or-control relationship? Where isComponent is ‘true’: (1) the statementID of this Entity Statement MUST be an element in the componentStatementIDs array of that primary Ownership-or-control Statement, (2) this Entity Statement MUST come before that primary Ownership-or-control Statement in a BODS package or stream, (3) the replacement of this Entity Statement SHOULD be considered when replacing the primary Ownership-or-control Statement. The primary Ownership-or-control Statement MUST have a isComponent value of ‘false’.

entityType

string

Required

Type

From the entityType codelist. What kind of entity is this? The ‘registeredEntity’ code covers any legal entity created through an act of official registration, usually resulting in an identifier being assigned to the entity. The ‘legalEntity’ code covers other bodies with distinct legal personality (international institutions, statutory corporations etc.). The ‘arrangement’ code covers artificial entities, described in the data model for the purpose of associating one or more natural or legal persons together in an ownership or control relationship, but without implying that the parties to this arrangement have any other form of collective legal identity.

See EntityType

unspecifiedEntityDetails

object

Unspecified entity details

An explanation of why this entity has an entityType of ‘anonymousEntity’ or ‘unknownEntity’. A reason MUST be specified.

unspecifiedEntityDetails/reason

string

Required

Reason

The reason that an entity cannot be specified. From the unspecifiedReason codelist.

See UnspecifiedReason

unspecifiedEntityDetails/description

string

Description

Any supporting information about the absence of a specific entity. This field may be used to provide set phrases from a source system, or for a free-text explanation.

name

string

Entity name

The declared name of this entity.

alternateNames

array[string]

Alternative names

An array of other names this entity is known by.

jurisdiction

object

Jurisdiction

The jurisdiction in which this entity was registered (for legal and registered entities, and arrangements). Or the state’s jurisdiction (for states and state bodies).

See Jurisdiction

identifiers

array[Identifier]

Identifiers

One or more official identifiers for this entity. Where available, official registration numbers should be provided.

See Identifier

foundingDate

string

Founding date

When was this entity founded, created or registered. Please provide as precise a date as possible in ISO 8601 format. When only the year or year and month is known, these can be given as YYYY or YYYY-MM.

dissolutionDate

string

Dissolution date

If this entity is no longer active, provide the date on which it was disolved or ceased. Please provide as precise a date as possible in ISO 8601 format. When only the year or year and month is known, these can be given as YYYY or YYYY-MM.

addresses

array[Address]

Addresses

One or more addresses for this entity.

See Address

uri

string

uri

URI

Where a persistent URI (https://en.wikipedia.org/wiki/Uniform_Resource_Identifier) is available for this entity this should be included.

replacesStatements

array[string]

Replaces statement(s)

If this statement replaces a previous statement or statements, provide the identifier(s) for the previous statement(s) here. Consuming applications are advised to mark the identified statements as no longer active.

See ReplacesStatements

publicationDetails

object

Required

Publication details

Information concerning the original publication of this statement.

See PublicationDetails

source

object

Source

The source of information about this entity, or of information that supports an anonymous or unknown entity statement.

See Source

annotations

array[Annotation]

Annotations

Annotations about this statement or parts of this statement

See Annotation

publicListing

object

Public listing

Details of a publicly listed company, its securities (shares and other tradable financial instruments related to the entity), and related regulatory filings.

See PublicListing

entitySubtype

object

Subtype

Further information about the type of entity described in the statement.

entitySubtype/generalCategory

string

Required

General category

The general category into which the entity fits. The category classification MUST align with the entityType classification.

See EntitySubtypeCategory

entitySubtype/localTerm

string

Local term

The local term for the category of entity. For example, in Finland ‘ministeriö’ for a government department.

formedByStatute

object

Formed by statute

The law which mandated the formation of the entity described in the statement, where applicable. This information SHOULD be provided where a state has created an agency or other entity with specific legislation.

formedByStatute/name

string

Statute name

The name of the law.

formedByStatute/date

string

Date

The date on which the law was passed. The date SHOULD be in the form YYYY-MM-DD. When only the year or year and month is known, these can be given as YYYY or YYYY-MM.

ID

A string of minimum length 32 and maximum length 64.

A persistent globally unique identifier for this statement.

Identifier

The Identifier object is used to connect a statement to the real-world person or entity that it refers to, using one or more existing known identifiers. See Real world identifiers for technical guidance on when and how to use this object.

An identifier that has been assigned to this person or entity. The scheme or list from which the identifier is drawn should be declared.

Title

Description

Type

Format

Required

id

string

ID

The identifier for this person or entity as provided in the declared scheme.

scheme

string

Scheme

For entity statements, the scheme should be a entry from the org-id.guide (https://www.org-id.guide) codelist. For person statements, the scheme should have the pattern {JURISDICTION}-{TYPE} where JURISDICTION is an ISO 3-digit country code and TYPE is one of PASSPORT, TAXID or IDCARD. scheme or schemeName (or both) MUST be included in an Identifier object.

schemeName

string

Scheme name

The name of this scheme, where the org-id code is unknown or only an unvalidated string is provided. scheme or schemeName (or both) MUST be included in an Identifier object.

uri

string

uri

URI

Where this identifier has a canonical URI (https://en.wikipedia.org/wiki/Uniform_Resource_Identifier) this may be included

Interest

A description of the interest held by an interestedParty in another entity.

Title

Description

Type

Format

Required

type

string

Type of interest

A codelist value indicating the nature of the interest. See the interestType codelist

See InterestType

directOrIndirect

string

Direct or indirect

How directly the interest is exercised by the interested party. The value MUST be ‘indirect’ if intermediate entities or agents are known to exist, and MUST be ‘direct’ if such intermediaries are known not to exist. Otherwise the value MUST be ‘unknown’.

beneficialOwnershipOrControl

boolean

Beneficial ownership or control

Does this statement assert this as a beneficial ownership or control interest? A beneficial ownership or control interest is always between a natural person and some entity, and exists where the person ultimately benefits from, or has a degree of control over, the entity. There may be cases where a person has an interest in an entity, but where there are arrangements or other conditions that mean this interest does not constitute beneficial ownership or control.

details

string

Details

This field may be used to provide the local name given to this kind of interest, or any further semi-structured or unstructured information to clarify the nature of the interest held.

share

object

Percentage share

Where an exact percentage is available, this should be given, and maximum and minimum values set to the same as the exact percentage. Otherwise, maximum and minimum can be used to record the range into which the share of this kind of interest falls. By default the minimum is inclusive and the maximum exclusive (minimum-value ≤ share < maximum-value). If you wish to change these defaults, use the exclusiveMinimum and exclusiveMaximum properties.

See Share

startDate

string

Start date

When did this interest first occur. Please provide as precise a date as possible in ISO 8601 format. When only the year or year and month is known, these can be given as YYYY or YYYY-MM.

endDate

string

End date

When did this interest cease. Please provide as precise a date as possible in ISO 8601 format. When only the year or year and month is known, these can be given as YYYY or YYYY-MM.

InterestedParty

The interested party has some level of ownership or control over the entity referenced in this ownership or control statement. This should be described with reference to either an entity statement or person statement, or, where the interested party is unknown, details of why.

Title

Description

Type

Format

Required

describedByEntityStatement

string

Described by entity statement

A reference to a statement describing a registered entity, trust or arrangement that has an ownership or control interest in the subject of this statement. An entityStatement should be used when the direct interests to be described represents known control or ownership by anyone other than a natural person.

describedByPersonStatement

string

Described by person statement

A reference to a statement describing a natural person who has an ownership or control interest in the subject of this statement.

unspecified

object

Unspecified or unknown ownership and control

When confirmation has been provided that no interested party exists, where ownership and control information does not need to be provided, or where details of ownership and control are unknown, a reason MUST be given. Where an unknown entity is the subject of further ownershipOrControlStatements in the same structure, or where there is a natural person with ownership or control but their name or details are not known or cannot be disclosed for some reason, unspecified should not be used, but instead a reference to a personStatement or entityStatement should be provided but identifying details MAY be left blank.

unspecified/reason

string

Required

Reason

The reason that an interested party cannot be specified. From the unspecifiedReason codelist.

See UnspecifiedReason

unspecified/description

string

Description

Any supporting information about the absence of a confirmed beneficial owner. This field may be used to provide set phrases from a source system, or for a free-text explanation.

Jurisdiction

A jurisdiction MUST have a name. A jurisdiction SHOULD have the 2-letter country code (ISO 3166-1) or the subdivision code (ISO 3166-2) for the jurisdiction.

Title

Description

Type

Format

Required

name

string

Required

Name

The name of the jurisdiction

code

string

Country or subdivision code

The 2-letter country code (ISO 3166-1) or the subdivision code (ISO 3166-2) for the jurisdiction.

Name

An name by which this individual is known. Names should be provided in `fullName`, and may optionally be broken down in the `familyName`, `givenName` and `patronymicName` fields, based on the EC ISA Core Person Vocabulary (https://joinup.ec.europa.eu/solution/e-government-core-vocabularies) definitions.

Title

Description

Type

Format

Required

type

string

Type

What kind of name is this? See the nameType codelist.

See NameType

fullName

string

Full name

The full name contains the complete name of a person as one string.

familyName

string

Family name

A family name is usually shared by members of a family. This attribute also carries prefixes or suffixes which are part of the Family Name, e.g. ‘de Boer’, ‘van de Putte’, ‘von und zu Orlow’. Multiple family names, such as are commonly found in Hispanic countries, are recorded in the single Family Name field so that, for example, Miguel de Cervantes Saavedra’s Family Name would be recorded as ‘Cervantes Saavedra.’

givenName

string

Given names

A given name, or multiple given names, are the denominator(s) that identify an individual within a family. These are given to a person by his or her parents at birth or may be legally recognised as ‘given names’ through a formal process. All given names are ordered in one field so that, for example, the given name for Johann Sebastian Bach is ‘Johann Sebastian’.

patronymicName

string

Patronymic Name

Patronymic names are important in some countries. Iceland does not have a concept of family name in the way that many other European countries do, for example. In Bulgaria and Russia, patronymic names are in every day usage, for example, the ‘Sergeyevich’ in ‘Mikhail Sergeyevich Gorbachev’.

OwnershipOrControlStatement

If a person is a beneficial owner of an entity - whether directly or indirectly - and the person or entity is required to declare this beneficial ownership, there MUST be an Ownership-or-control Statement connecting the two which represents the beneficial ownership relationship. See Representing beneficial ownership for detailed requirements.

An ownership or control statement is made up of an entity, an interested party (a reference to an entity, natural person, arrangement or trust), details of the interest and provenance information for the statement.

Title

Description

Type

Format

Required

statementID

string

Required

Statement Identifier

A persistent globally unique identifier for this statement.

See ID

statementType

string

Required

Statement type

This MUST be ‘ownershipOrControlStatement’.

statementDate

string

date

Statement date

The date on which this statement was made.

See StatementDate

isComponent

boolean

Required

Is component

Does this Ownership-or-control Statement represent a component of a wider indirect ownership-or-control relationship? Where isComponent is ‘true’: (1) the statementID of this secondary Ownership-or-control Statement MUST be an element in the componentStatementIDs array of that primary Ownership-or-control Statement, (2) this Ownership-or-control Statement MUST come before that primary Ownership-or-control Statement in a BODS package or stream, (3) the replacement of this Ownership-or-control Statement SHOULD be considered when replacing the primary Ownership-or-control Statement, and (4) the primary Ownership-or-control Statement MUST have a isComponent value of ‘false’. Where isComponent is ‘false’, this Ownership-or-control Statement is the primary declaration of the relationship between the subject and the interestedParty.

componentStatementIDs

array[string]

Component statement IDs

The identifiers of all component statements that provide detail about the indirect relationship between this Statement’s subject and interestedParty. If this Ownership-or-control Statement has components, it MUST itself have a isComponent value of ‘false’.

See ID

subject

object

Required

Subject

The subject of an ownership or control relationship.

subject/describedByEntityStatement

string

Required

Described by entity statement

Provide the identifier of the statement which describes the entity that the subject of an ownership or control interest.

interestedParty

object

Required

Interested party

The interested party has some level of ownership or control over the entity referenced in this ownership or control statement. This should be described with reference to either an entity statement or person statement, or, where the interested party is unknown, details of why.

See InterestedParty

interests

array[Interest]

Interests

A description of the interests held by the interestedParty covered by this statement in the entity covered by this statement.

See Interest

publicationDetails

object

Required

Publication details

Information concerning the original publication of this statement.

See PublicationDetails

source

object

Source

The source of the information that links the entity and the interested party, or that supports a null statement.

See Source

annotations

array[Annotation]

Annotations

Annotations about this statement or parts of this statement

See Annotation

replacesStatements

array[string]

Replaces statement(s)

If this statement replaces a previous statement or statements, provide the identifier(s) for the previous statement(s) here. Consuming applications are advised to mark the identified statements as no longer active.

See ReplacesStatements

PepStatusDetails

A description of a politically-exposed person status.

Title

Description

Type

Format

Required

reason

string

Reason

The reason for this person being declared a politically-exposed person.

missingInfoReason

string

Missing information reason(s)

An explanation of the reason that PEP status for the person is not provided (i.e. politicalExposure.status is ‘unknown’). This may be a standard descriptive phrase from the source system, or a free-text justification. Where this field is present it should be the only field except for source.

jurisdiction

object

Jurisdiction

The jurisdiction where this person is a PEP.

See Jurisdiction

startDate

string

State date

When did this PEP status begin. Please provide as precise a date as possible in ISO 8601 format. When only the year or year and month is known, these can be given as YYYY or YYYY-MM.

endDate

string

End date

When did this PEP status end. Please provide as precise a date as possible in ISO 8601 format. When only the year or year and month is known, these can be given as YYYY or YYYY-MM.

source

object

Source

The source of this PEP information

See Source

PersonStatement

A person statement describes the information known about a natural person at a particular point in time, or from a given submission of information

Title

Description

Type

Format

Required

statementID

string

Required

Statement Identifier

A persistent globally unique identifier for this statement.

See ID

statementType

string

Required

Statement type

This MUST be ‘personStatement’.

statementDate

string

date

Statement date

The date on which this statement was made.

See StatementDate

isComponent

boolean

Required

Is component

Does this Person Statement represent a component of an indirect ownership-or-control relationship? Where isComponent is ‘true’: (1) the statementID of this Person Statement MUST be an element in the componentStatementIDs array of that primary Ownership-or-control Statement, (2) this Person Statement MUST come before that primary Ownership-or-control Statement in a BODS package or stream, (3) the replacement of this Person Statement SHOULD be considered when replacing the primary Ownership-or-control Statement. The primary Ownership-or-control Statement MUST have a isComponent value of ‘false’.

personType

string

Required

Person type

Use the personType codelist. The ultimate beneficial owner of a legal entity is always a natural person. Where the beneficial owner has been identified, but information about them cannot be disclosed, use ‘anonymousPerson’. Where the beneficial owner has not been clearly identified, use ‘unknownPerson’. Where the beneficial owner has been identified use knownPerson. Where a person has the type ‘anonymousPerson’ or ‘unknownPerson’ a reason for the absence of information SHOULD be provided in ‘unspecifiedPersonDetails’)

See PersonType

unspecifiedPersonDetails

object

Unspecified person details

An explanation of why this person has a personType of ‘anonymousPerson’ or ‘unknownPerson’. A reason MUST be specified.

unspecifiedPersonDetails/reason

string

Required

Reason

The reason that an interested party cannot be specified. From the unspecifiedReason codelist.

See UnspecifiedReason

unspecifiedPersonDetails/description

string

Description

Any supporting information about the absence of a confirmed beneficial owner. This field may be used to provide set phrases from a source system, or for a free-text explanation.

names

array[Name]

Names

One or more known names for this individual.

See Name

identifiers

array[Identifier]

Identifiers

One or more official identifiers for this perrson. Where available, official registration numbers should be provided.

See Identifier

nationalities

array[Country]

Nationality

An array of ISO 2-Digit country codes representing nationalities held by this individual.

See Country

placeOfBirth

object

Place of birth

A free text address string, providing as much address data as is relevant, suitable for processing using address parsing algorithms. For some uses (for example, Place of Birth) only a town and country are required.

See Address

birthDate

string

Date of birth

The date of birth for this individual. Please provide as precise a date as possible in ISO 8601 format. When only the year or year and month is known, these can be given as YYYY or YYYY-MM.

deathDate

string

Death date

If this individual is no longer alive, provide their date of death. Please provide as precise a date as possible in ISO 8601 format. When only the year or year and month is known, these can be given as YYYY or YYYY-MM.

placeOfResidence

object

Place of residence

A free text address string, providing as much address data as is relevant, suitable for processing using address parsing algorithms. For some uses (for example, Place of Birth) only a town and country are required.

See Address

taxResidencies

array[Country]

Tax residency

An array of ISO 2-Digit country codes representing the tax residencies held by this individual.

See Country

addresses

array[Address]

Addresses

One or more addresses for this entity.

See Address

publicationDetails

object

Required

Publication details

Information concerning the original publication of this statement.

See PublicationDetails

source

object

Source

The source of information about this person, or of information that supports an unknown or anonymous person statement.

See Source

annotations

array[Annotation]

Annotations

Annotations about this statement or parts of this statement

See Annotation

replacesStatements

array[string]

Replaces statement(s)

If this statement replaces a previous statement or statements, provide the identifier(s) for the previous statement(s) here. Consuming applications are advised to mark the identified statements as no longer active.

See ReplacesStatements

politicalExposure

object

Political exposure

Information about whether, and how, the person described by this statement is politically exposed. Use this property only if politically exposed person (PEP) declarations are expected as part of beneficial ownership declarations.

politicalExposure/status

string

Required

Politically exposed person (PEP) status

This value is ‘isPep’ or ‘isNotPep’ according to whether the person described by this statement has the status of politically exposed person (PEP). An ‘unknown’ value means a PEP status declaration is expected but missing; the reason for the missing data SHOULD be supplied in the details array.

politicalExposure/details

array[PEP Status]

Politically exposed person (PEP) details

One or more descriptions of this person’s Politically Exposed Person (PEP) status.

See PepStatusDetails

PublicListing

Details of a publicly listed company, its securities (shares and other tradable financial instruments related to the entity), and related regulatory filings.

Title

Description

Type

Format

Required

hasPublicListing

boolean

Required

Has public listing

This value MUST be true if the entity is known to be a publicly listed company.

companyFilingsURLs

array[string]

uri

Company filings URLs

URL or URLs where regulatory filings related to major holdings can be retrieved. URLs may point to pages maintained by regulatory bodies, stock exchanges or by the company itself.

securitiesListings

array[Securities listing]

Securities listings

Details of the entity’s securities and the public exchanges and markets on which they are traded. All equity securities SHOULD BE listed here, plus any other securities from which beneficial ownership might be derived. Where a security is traded on more than one market, there SHOULD BE an entry for each market (or market segment).

See SecuritiesListing

PublicationDetails

Information concerning the publication of this statement.

Title

Description

Type

Format

Required

publicationDate

string

date

Required

Publication date

The date on which this statement was published.

bodsVersion

string

Required

BODS version

The version of the Beneficial Ownership Data Standard to which this statement conforms, expressed as major.minor. For example: 0.2 or 1.0.

license

string

uri

License URL

A link to the license that applies to this statement. The canonical URI of the license SHOULD be used. Publishers are encouraged to use a Public Domain Dedication or Open Definition Conformant (http://opendefinition.org/licenses/) license.

publisher

object

Required

Publisher

Details of the organisation or individual publishing this statement.

See Publisher

Publisher

Details of the organisation or individual publishing a statement.

Title

Description

Type

Format

Required

name

string

Name

The name of the publisher

url

string

uri

URL

The URL of the parent dataset or of the publisher’s website homepage

ReplacesStatements

If this statement replaces a previous statement or statements, provide the identifier(s) for the previous statement(s) here. Consuming applications are advised to mark the identified statements as no longer active.

See Updating statements for technical guidance on working with updates to data.

SecuritiesListing

Details of a security and the market on which it is traded.

See Real world identifiers for technical guidance on representing securities listings.

Title

Description

Type

Format

Required

marketIdentifierCode

string

Market Identifier Code (MIC)

The Market Identifier Code (MIC) of the market on which the security is traded. Where the security is traded on a segment of an exchange, this is the MIC of the segment. Where it is traded on the main exchange, this is the MIC of the main exchange and MUST match the operatingMarketIdentifierCode. MICs are allocated and managed under ISO standard 10383.

operatingMarketIdentifierCode

string

Operating Market Identifier Code (Operating MIC)

The Market Identifier Code (MIC) of the main exchange or trading platform handling trades in this security. Where the security is traded on a segment of an exchange, this is the MIC of the parent exchange or trading platform. Where it is traded on the main exchange, this is the MIC of that main exchange and MUST match the marketIdentifierCode. MICs are allocated and managed under ISO standard 10383.

stockExchangeJurisdiction

string

Required

Stock exchange jurisdiction

The 2-letter country code (ISO 3166-1) or the subdivision code (ISO 3166-2) for the jurisdiction under which the exchange, market or trading platform is regulated.

stockExchangeName

string

Required

Stock exchange name

The name of the exchange, market or trading platform on which the security is traded. If the security is traded on a segment of the exchange, then the name SHOULD include both elements. For example, ‘London Stock Exchange - MTF’.

security

object

Required

Security

Identifying information of the stock or other security.

security/idScheme

string

Identifier scheme

The scheme under which the security has been issued a unique, persistent identifier. For accepted schemas, see the securitiesIdentifierSchemes codelist.

See SecuritiesIdentifierSchemes

security/id

string

Identifier

The unique identifier of the security as issued under the idScheme.

security/ticker

string

Required

Stock ticker

The stock ticker identifying this security on the named stock exchange.

Share

Where an exact percentage is available, this should be given, and `maximum` and `minimum` values set to the same as the exact percentage. Otherwise, `maximum` and `minimum` can be used to record the range into which the share of this kind of interest falls. By default the `minimum` is inclusive and the `maximum` exclusive (minimum-value ≤ share < maximum-value). If you wish to change these defaults, use the `exclusiveMinimum` and `exclusiveMaximum` properties.

Title

Description

Type

Format

Required

exact

number

Exact share

The exact share of this interest held (where available).

maximum

number

Maximum share

The upper bound of the share of this interest known to be held.

minimum

number

Minimum share

The lower bound of the share of this interest known to be held.

exclusiveMinimum

boolean

Exclusive minimum

If exclusiveMinimum is true, then the share is at least greater than the minimum value given. E.g. if minimum is ‘25’, the share is at least 25.1, and not simply 25.

exclusiveMaximum

boolean

Exclusive maximum

If exclusiveMaximum is true, then the share is at least less than the maximum value given. E.g. if maximum is ‘50’, the share is less than 49.999, and not simply 50.

Source

The source object is used to explain where information in a statement originated from, and to link to supporting information.

Title

Description

Type

Format

Required

type

array[string]

Source type

What type of source is this? Multiple tags can be combined. Values should come from the source type codelist.

See SourceType

description

string

Description

Where required, additional free-text information about the source of this statement can be provided here.

url

string

uri

Source URL

If this information was fetched from an external URL, or a machine or human readable web page is available that provides additional information on how this statement was sourced, provide the URL.

retrievedAt

string

date-time

Retrieved at

If this statement was imported from some external system, include a timestamp indicating when this took place. The statement’s own date should be set based on the source information.

assertedBy

array[Agent]

Asserted by

Who is making this statement? This may be the name of the person or organisation making a self-declaration (in which case, please make sure the name field matches the organisation or person name field), or the name or description of some other party. If this statement has been verified, this may also include the name of the organisation providing verification.

See Agent

See Sources and annotations for a discussion of provenance modelling.

StatementDate

Dates MUST conform with the extended format of ISO 8601. All of the following, for example, are valid:

  • A full datetime string (YYYY-MM-DDTHH:MM:SSZ)

  • A year, month and day (YYYY-MM-DD)

  • A year and month (YYYY-MM)

  • A year (YYYY)

Codelists

AddressType

code

title

description

technical note

placeOfBirth

Place of birth

The place where a person was born. This must only be used to describe natural persons. Only a town and country are required.

residence

Residential address

An address where someone lives. This must only be used for natural persons.

registered

Registered address

An official address for delivering statutory mail and legal notices which must be provided to company registers. This must only be used to describe entities.

service

Service address

An address which can be used as an alternative to a residential address for the purpose of receiving post. This must only be used for natural persons.

alternative

Alternative address

An address provided in addition to the primary address for this entity or person that is neither a service nor a registered address.

business

Business address

A place where the entity conducts its business.

AnnotationMotivation

code

title

description

technical note

commenting

Commenting

The description field provides contextual comments for a field, object or statement.

correcting

Correcting

The value of this field, object or statement has been corrected, using the method in the description field and/or from the original value given in the description field.

identifying

Identifying

The value of this field, object or statement has been augmented or processed for the purpose of identifying natural persons or legal entities, using the method in the description field.

linking

Linking

The description explains how linked material relates to the field, object or statement. A URL to linked material MUST be provided in the url field.

transformation

Transformation

The values of this field, object or statement have been changed from their original form using the method in the description field. The transformed representation may be provided in the transformedContent field.

DirectOrIndirect

code

title

description

technical note

direct

Direct

The interest is held directly.

indirect

Indirect

The interest is held through one or more intermediate entities (including arrangements).

unknown

Unknown

The interest may be direct or indirect.

EntityType

code

title

description

technical note

registeredEntity

Registered Entity

Any legal entity created through an act of official registration. In most cases, registered entities will have an official issued identifier.

legalEntity

Legal entity

A body with distinct legal personality, such as an international institution or statutory corporation, but which is not otherwise uniquely identified in some official register.

arrangement

Arrangement

An artificial entity, created by agreements, contracts or other processes.

anonymousEntity

Anonymous entity

An entity that has been identified, but for which no identifying information is being published.

unknownEntity

Unknown entity

An entity that has not been identified.

state

State

A country, nation or community with legal sovereignty within a territory.

stateBody

State body

A core administrative or legislative unit within a state’s apparatus.

EntitySubtypeCategory

code

title

description

technical note

stateBody-governmentDepartment

State body > Government department

An element of government with executive responsibilities. Terms often used to designate such a body: ministry, department, bureau or office.

stateBody-stateAgency

State body > State Agency

A body overseeing or administering elements of public policy. State agencies may have responsiblities which are devolved from government departments or from the state’s legislative body.

stateBody-other

State body > Other

A type of state body unlike a government department or state agency.

InterestType

code

title

description

technical note

shareholding

Shareholding

An economic interest in an entity gained by holding shares.

votingRights

Voting rights

A controlling interest in an entity gained by holding shares. Defined as the right of shareholders to vote on matters of corporate policy, including decisions on the makeup of the board of directors, issuing securities, initiating corporate actions and making substantial changes in the corporation’s operations.

appointmentOfBoard

Appointment of board

A controlling interest in an entity. Defined as the absolute right to appoint members of the board of directors.

otherInfluenceOrControl

Other influence or control

Any influence or control in an entity that is distinct from being a shareholder, having voting rights or having the absolute right to appoint to the board.

seniorManagingOfficial

Senior managing official

A controlling interest in an entity gained by employment. Defined as the person who exercises control over the management of the entity.

settlor

Settlor

A settlor is a person who, either actually or by operation of law, creates a trust. A settlor of a trust is sometimes also known by other names such as a trustor, a grantor or a donor. Also to be used for a person with a settlor-equivalent role in any legal arrangement that is similar to a trust.

trustee

Trustee

A trustee is a person who administers the trust for the benefit of a third party and in whom the legal title of the trust property is vested either by declaration of the settlor or by operation of law. Also to be used for a person with a trustee-equivalent role in any legal arrangement that is similar to a trust.

protector

Protector

A protector is a person appointed to protect the interests or wishes of the settlor, providing influence and guidance to the trustee who administers the trust. Also to be used for a person with a protector-equivalent role in any legal arrangement that is similar to a trust.

beneficiaryOfLegalArrangement

Beneficiary of a legal arrangement

An economic interest in a trust or other legal arrangement. Defined as a person or legal entity who benefits from a trust or other legal arrangement’s holdings or activities.

rightsToSurplusAssetsOnDissolution

Rights to surplus assets on dissolution

The right to a share in the amount of an asset or resource that exceeds the portion that is utilized upon the winding up of an entity.

rightsToProfitOrIncome

Rights to receive profits or income

An economic interest in an entity. Defined as beneficial ownership rights beyond those otherwise implied by ownership structures that are granted by contract.

rightsGrantedByContract

Rights granted by contract

An interest that is granted by contract.

conditionalRightsGrantedByContract

Conditional rights granted by contract

An interest that exists only if some contractual condition is met.

controlViaCompanyRulesOrArticles

Control via company rules or articles

Control of an entity gained through a provision in company articles or by shareholder agreement.

controlByLegalFramework

Control by legal framework

Control of an entity gained through a legal framework, such as a combination of legislation (primary and secondary). This type of interest is created by governments and legislators in order to establish and guide agencies and entities linked to the state.

boardMember

Board member

One of a group of people constituted as the strategic decision-making body of an organization.

boardChair

Board chair

The person holding the most power and authority on the board of directors. They also provide leadership to the firm’s officers and executives, and ensure that the firm’s duties to shareholders are being fulfilled by acting as a link between the board and upper management.

unknownInterest

Unknown interest

The interestedParty is known to have an interest in the subject of this Ownership-or-control Statement, but the nature of the interest is unknown.

unpublishedInterest

Unpublished interest

The nature of this interest is known but is not published.

enjoymentAndUseOfAssets

Enjoyment and use of assets

A controlling interest in an asset owned by an entity. Defined as the right to make use of assets belonging to an entity.

rightToProfitOrIncomeFromAssets

Right to profit or income from assets

An economic interest in an asset owned by an entity. Defined as the right to derive profits and/or income from assets belonging to an entity.

NameType

code

title

description

technical note

individual

Legal name

A name that identifies the person for legal, administrative and other official purposes. A person’s legal name will usually be the one that is found on official government documents.

translation

Translation of name

A translation of the person’s individual name in a different language.

transliteration

Transliteration of name

A transliteration of the person’s individual name in a different script.

former

Former name

A name that the person has used in the past.

alternative

Alternative name

Another name that the person is known by. This might be an alias, a nickname or a name that the person is also known as (aka).

birth

Birth name

The legal name of the person at birth.

PersonType

code

title

description

technical note

knownPerson

Known person

This person has been identified, and information such as names, identifiers or biographical information may be provided about them.

anonymousPerson

Anonymous person

This person has been identified, but identifying information is being withheld. The reason for non disclosure should be given in the accompanying missingInfoReason field.

unknownPerson

Unknown person

The identity of this person has not been discovered or confirmed.

SecuritiesIdentifierSchemes

code

title

description

technical note

isin

International Securities Identification Number (ISIN)

Scheme for unique identification of securities internationally. Securities are issued 12-character identifiers. Full details of the scheme are specified by ISO 6166.

figi

Financial Instrument Global identifier (FIGI)

Scheme for unique identification of securities internationally. Securities are issued 12-character identifiers. Full details of the scheme are specified as an Object Management Group standard: https://www.omg.org/spec/FIGI/.

cusip

Committee on Uniform Securities Identification Procedures (CUSIP) Number

Scheme for unique identification of securites in North America. Securities are issued 9-character identifiers. The scheme is managed by the American Bankers Association and specified as ANSI X9.6.

cins

CUSIP International Numbering System (CINS)

Scheme for unique identification of securites issued outside North America. Securities are issued 9-character identifiers. The scheme is managed by the American Bankers Association and specified as ANSI X9.6.

SourceType

code

title

description

technical note

selfDeclaration

Self declaration

The information was provided by the individual or entity referred to in this statement, or by their authorised representative.

officialRegister

Official register

The information was taken from an official register.

thirdParty

Third party

The information was provided by a third party, not directly related to the individual, entity or interests described by this statement.

primaryResearch

Primary research

The information was provided as a result of research into primary sources.

verified

Verified

The information has been verified through the process documented in the associated description.

StatementType

code

title

description

technical note

personStatement

Person Statement

The statement contains information known about a natural person at a particular point in time, or from a given submission of information.

The parent object should be validated using the Person Statement schema.

entityStatement

Entity Statement

The statement contains information that identifies and describes an entity at a particular point in time, or from a given submission of information.

The parent object should be validated using the Entity Statement schema.

ownershipOrControlStatement

Ownership-or-control Statement

The statement contains details of the interests held by an interested party in an entity at a particular point in time.

The parent object should be validated using the Ownership-or-control Statement schema.

UnspecifiedReason

code

title

description

technical note

noBeneficialOwners

No beneficial owners

There are no beneficial owners who need to disclose ownership according to the rules under which this statement is made.

subjectUnableToConfirmOrIdentifyBeneficialOwner

Subject unable to confirm or identify beneficial owner

The subject of this ownership or control statement has, as the disclosing party, been unwilling or unable to confirm the existence identify a beneficial owner.

interestedPartyHasNotProvidedInformation

Interested party has not provided information

The interested party in this ownership or control statement has not provided enough information to identify or confirm the identity of the beneficial owner.

subjectExemptFromDisclosure

Subject exempt from disclosure

The subject of this ownership or control statement is not required to disclose its beneficial owner. (Replaces noNotifiableOwners.)

interestedPartyExemptFromDisclosure

Interested party exempt from disclosure

The interested party in this ownership or control statement is exempt from having their identity disclosed.

unknown

Unknown reason

The reason an interested party cannot be provided is not known.

informationUnknownToPublisher

Information unknown to the publisher of the data

A publisher does not have access to information on this person or entity. This should not generally be used in situations where one party has the responsibility to provide such information.