背景

法律實體識別號碼（LEI）是一個20位的參考代碼，該代碼能夠標識參與全球各市場或司法轄域的金融交易的獨立法律實體。LEI體系是G20集團根據ISO標准 發展而來的，由LEI的簽發機搆——當地運營單位（LOU）提供注冊和延期服務。為參與金融交易的每一家法律實體提供獨特的識別號碼（以及與實體相關的關鍵參考信息）的目的是提高市場透明度。

DTC和SWIFT充當美國的LEI簽發方，且有專門的網站負責分配新的LEI和提供已有LEI的搜索服務。詳情請見：http://www.gmeiutility.org/

需使用LEI的情況

在某些情況下，法律法規會要求經紀商報告有關客戶的信息，這其中就包括客戶識別信息。對於諸如信托和機搆等實體，該識別信息即為LEI。需報告LEI的 情況包括：

CFTC所有權及控制權報告
MIFIR交易報告
中國股票互聯互通
EMIR交易信息庫報告

獲取LEI

法律實體可聯系經授權的LEI簽發機搆（也稱為當地運營單位/LOU）獲取LEI。DTC和SWIFT充當美國的LEI簽發方，且有專門的網站負責LEI注冊和延期。請注意，LEI申請人可使用任何被認可的LOU的服務，不限於其所在國家的LEI簽發機搆。

此外，作為向客戶提供的一項服務，IBKR會通過賬戶管理向需要LEI用於交易或滿足其它監管報告職能的實體發送邀請。通過該邀請，客戶可授權IBKR通過DTC的加速通道（需3個工作日）請求LEI，之后再從客戶的賬戶中扣取申請費用和年度延期費用。

Boerse Stuttgart and Clearstream Banking have announced that they will no longer provide services for issues whose main business is connected directly or indirectly to cannabis and other narcotics products.  Consequently, those securities will no longer trade on the Stuttgart (SWB) or Frankfurt (FWB) stock exchanges. Effective as of the 19 September 2018 close, IBKR will take the following actions:

1. Force close any impacted positions which clients have not acted to close and that are not eligible for transfer to a U.S. listing; and
2. Force transfer to a U.S. listing any impacted positions which clients have not acted to close and that are eligible for such transfer.

Outlined in the table below are impacted issues as announced by the Boerse Stuttgart and Clearstream Banking  as of 7 August 2018. This table includes a notation as to whether the impacted issue is eligible for transfer to a U.S. listing. Note that the clearinghouses have indicated that this list may not yet be complete and clients are advised to review their respective websites for the most current information.

 IMPORTANT NOTES:

• Note that the U.S. listings generally trade over-the-counter (PINK) and are denominated in USD not EUR thereby exposing you to exchange rate risk in addition to market risk.
• Account holders maintaining PINK Sheet securities require United States (Penny Stocks) trading permissions in order to enter opening orders.
• All users on accounts maintaining United States (Penny Stocks) trading permissions are required use 2 Factor login protection when logging into the account.

BACKGROUND

The Legal Entity Identifier (LEI) is a 20-digit reference code that uniquely identifies legally distinct entities engaging in financial transactions globally, and across markets and jurisdictions. The LEI system was developed by the G-20 in accordance with ISO standards and the issuers of LEIs, referred to as Local Operating Units (LOU), supply registration and renewal services. Providing a unique identifier for each legal entity (along with key reference information associated with the entity) participating in financial transactions is intended to promote transparency.

DTC, in collaboration with SWIFT, operate as the local (U.S.) source provider of LEIs and maintains a website for the assignment of new and search of existing LEIs.  See: http://www.gmeiutility.org/

SITUATIONS REQUIRING A LEI

In certain instances, brokers are required by regulation to report information regarding a client and include in that information a client identifier. For entities such as trusts and organizations, that identifier is referred to an a LEI. Examples of these reporting instances include the following:

CFTC Ownership and Control Reporting
MiFIR Transaction Reporting
China Stock Connect
EMIR reporting to trade repository

OBTAINING THE LEI

A LEI can be obtained by contacting an authorized LEI issuer, also referred to as a Local Operating Unit (LOU). The DTC, in collaboration with SWIFT, operates as a U.S. LOU and maintains a website for purposes of LEI registration and renewal. Note that LEI applicants can use the services of any accredited LOU and are not limited to using an LEI issuer in their own country.

In addition, as a service to its clients, IBKR will send an invite via Account Management to those who are required to obtain a LEI for trading or other regulatory reporting functions.  Through this invite, the client can authorize IBKR to request an LEI through DTC on an accelerated basis (24 hours) and debit the client's account for the application fee and the annual renewal fee thereafter.

Clients entering opening orders for products covered by the PRIIPs Regulation where the issuer has not provided the required disclosure documents or Key Information Documents (KIDS) will have their order rejected and will receive the following reject message:

English

This product is currently unavailable to clients classified as 'retail clients'.

Note:  Individual clients and entities that are not large institutions generally are classified as 'retail' clients.

There may be other products with similar economic characteristics that are available for you to trade.

French

Ce produit n’est pas actuellement disponible pour les clients considérés comme des clients “Particuliers/de détail”. Remarque : les clients particuliers et entreprises de détail qui ne sont pas de larges établissements sont classifiés comme des clients “de détail”. 

D’autres produits aux caractéristiques similaires peuvent exister mais ne vous sont pas proposés au trading.

German

Dieses Produkt ist derzeit für Kunden, die als „Retail-Kunden” eingestuft werden, nicht verfügbar. Hinweis: Einzelkunden und Körperschaften, bei denen es sich nicht um große Institutionen handelt, werden grundsätzlich als „Retail”-Kunden bezeichnet. 

Es ist möglich, dass Ihnen andere Produkte mit ähnlichen wirtschaftlichen Merkmalen zum Handel zur Verfügung stehen.

Spanish

Este producto no está actualmente disponible para clientes clasificados como “clientes minoristas”. Nota: los clientes individuales y las entidades que no sean grandes instituciones son clasificados, generalmente, como clientes “minoristas”.

Podría haber otros productos con características económicas similares que estén disponibles para que usted opere en ellos.

Russian

На данный момент этот продукт недоступен для розничных клиентов.    Примечание: Частные лица и юридические структуры, не являющиеся крупными предприятиями, как правило, относятся к числу розничных клиентов.

Вам могут быть доступны другие продукты с похожими экономическими характеристиками.

Japanese

こちらの商品は現在「リテール・クライアント」として分類されるお客様にはご利用いただけません。注意：大きな機関ではない個人のお客様および事業体のお客様は、通常「リテール」クライアントとして分類されます。

似た経済特性を持つその他の商品で、お客様にお取引いただくことのできる商品がある可能性があります。

Chinese Simplified

该产品目前不适用于"零售客户"。 请注意:个人用户和非大型机构实体通常均被划分为"零售"客户。

可能有其他具有类似经济特征的产品适用于您的交易。

Chinese Traditional

該產品目前不適用於"零售客戶"。請注意: 個人用戶和非大型機構實體通常均被劃分為"零售"客戶。

可能有其他具有類似經濟特徵的產品適用於您的交易。

Please note, it is possible to be reclassified from Retail to Professional once certain qualitative, quantitative and procedural requirements are met. For more information on requirements, please see: How can I update my MiFID client category?