B_01.01 — Entity maintaining the register
Purpose
This template identifies the financial entity responsible for maintaining the register of information. It contains exactly one row for individual (IND) reporting, specifying the entity that submits the register to its competent authority.
For consolidated (CON) reporting, the single row identifies the entity submitting the register on behalf of the entire group. The entity must be a regulated financial entity within the EU/EEA.
This template is typically completed by the compliance or ICT risk management team at the start of the reporting period and updated whenever the entity's details change.
Fields Reference
| Code | Field Name | Type | Req. | Description |
|---|---|---|---|---|
| c0010 | LEI of the entity maintaining the register* | lei | Yes | Legal Entity Identifier (20 alphanumeric characters) Max length: 20 |
| c0020 | Name of the entity* | text | Yes | Legal name of the financial entity maintaining the register Max length: 255 |
| c0030 | Country of the entity* | country | Yes | Country where the entity is authorised (ISO 3166-1 alpha-2) |
| c0040 | Type of entity* | select | Yes | Type of financial entity per DORA classification Show 24 allowed values
|
| c0050 | Competent authority | text | No | Name of the competent authority supervising the entity Max length: 255 |
| c0060 | Date of the reporting | date | No | Date of the register submission (yyyy-mm-dd) |
Relationships
This template has no foreign key relationships with other templates.
Validation Rules
- Exactly one row for IND reporting. Individual reporting mode requires precisely one row in this template. Additional rows will trigger a validation error.
- Valid LEI (ISO 17442). The Legal Entity Identifier must pass the ISO 17442 checksum validation. It must be a 20-character alphanumeric code with a valid MOD 97-10 check digit pair.
- EU/EEA country. The country of the entity must be a valid EU or EEA member state ISO 3166-1 alpha-2 code.
- Valid entity type. The entity type code must be one of the allowed financial entity types defined in the DORA taxonomy (e.g., FE_1 for credit institutions, FE_2 for payment institutions).
Example
| Field | Value |
|---|---|
| LEI | 529900T8BM49AURSDO55 |
| Entity Name | Example Bank SIA |
| Country | LV |
| Entity Type | FE_1 (Credit institution) |
| Competent Authority | FKTK |
| Reporting Date | 2025-12-31 |
Common Mistakes
- Invalid LEI checksum. Manually entered LEIs often contain typos that break the MOD 97-10 checksum. Always copy the LEI from an official source such as the GLEIF database.
- Wrong entity type code. Using a generic entity type instead of the specific regulated entity type. Verify the correct code against the DORA taxonomy.
- Missing row for IND reporting. Forgetting to add the single required row when the reporting type is set to IND (individual).
- Non-EU/EEA country. Entering a country code outside the EU/EEA scope, which is not valid for the entity maintaining the register.