An Industry Member is required to report an LEI for a Customer that is a legal entity to the CAT if the Industry Member has an LEI for a Customer. The CAT NMS Plan does not require a Customer to obtain an LEI if it does not have one, it does not require a Customer to provide an LEI to an Industry Member; and it does not require the Industry Member to request an LEI of its Customer.

The LEI information associated with Customer information is separate from the collection of the Industry Member’s LEI via the CAIS Registration Form and CAT Registration Form (Transaction Reporting). For additional information pertaining to LEI and Industry Members, see FAQs A34 and Q38.