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Identifiers for Entities

14 March 2019
Identifiers for Entities

The HKTR supports the reporting of several types of codes for indicating the identity of the reporting or transacting parties of a transaction. TR Members, however, are required to observe the first phase of mandating the use of Legal Entity Identifiers (LEIs), if applicable; otherwise, a specified order of priority when choosing the code to be reported:

1st priority : Global Legal Entity Identifier (LEI)
TR Member code
2nd priority: SWIFT BIC (Business Identifier Code) issued by SWIFT under ISO 9362
3rd priority: Number of the Certificate of Incorporation (“CI”) (for locally incorporated companies) or Certificate of Registration (“CR”) (for companies incorporated overseas) issued by the Companies Registry of Hong Kong
4th priority: Business Registration Number (“BRN”) issued by the Inland Revenue Department of Hong Kong

If none of the above codes is available for a party, a unique internal customer/counterparty reference code assigned by the reporting party can be reported. Moreover, the same reference code should be used for identifying the same party in all transactions reported by the reporting party. Specific instructions on the reporting of these identifiers have been set out in the SRI annexed to the Reporting Service AIDG.

The Global LEI is a universally unique identifier for financial market participants. It is issued under the Global LEI System overseen by a Regulatory Oversight Committee (ROC) comprising global financial regulatory authorities. The list of LEI issuers, also referenced as Local Operating Units (LOUs), endorsed by the ROC can be found in the website of the ROC (
Last revision date:14 March 2019