Global Regulatory & Compliance Search

Search official enforcement, financial registry, and transparency records across 6 public regulatory data sources in one run.

This Actor is built for teams that need a fast regulatory background check before onboarding a counterparty, reviewing a broker, investigating a company, or preparing a due-diligence file. Instead of checking each source manually, you can search them together and get back a normalized result set with source tags, match categories, and a run summary.

It currently covers:

• Enforcement actions from ESMA and France CNIL
• Financial registries from FINRA BrokerCheck and the FDIC failed-bank database
• Transparency registers from the EU Transparency Register and France HATVP

If you need one search that can answer questions like:

• Has this company been fined by a regulator?
• Is this broker or firm present in FINRA records?
• Is this organization listed in lobbying transparency registers?

this Actor is the right starting point.

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Who is this for?

• Compliance and KYB teams reviewing counterparties, vendors, partners, and target companies
• Fintech and regtech developers building internal screening or onboarding workflows
• Legal and risk teams checking regulatory history before contracts, funding, or partnership decisions
• Investigative journalists and researchers tracing enforcement records and transparency disclosures
• M&A, PE, and diligence teams preparing a first-pass regulatory profile of a company or executive
• ESG and governance analysts looking for transparency and public-interest activity signals

This Actor is especially useful when you want the public-records layer of compliance research without manually visiting multiple regulator sites.

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What this Actor does

This Actor queries up to 6 official public sources in parallel and returns a unified dataset.

1. Enforcement checks

Search for public enforcement decisions and sanctions from:

• ESMA enforcement sanctions
• France CNIL sanctions

Typical use cases:

• Review whether a company has been publicly fined
• Check whether a financial firm appears in EU enforcement records
• Add regulator findings to a diligence memo

2. Financial registry checks

Search for public registry records from:

• FINRA BrokerCheck
• FDIC failed-bank records

Typical use cases:

• Verify whether a person or firm appears in FINRA records
• Confirm whether a US financial institution is linked to a failed-bank record
• Add broker or bank-history context to a background check

3. Transparency register checks

Search for public transparency and lobbying disclosures from:

• EU Transparency Register
• France HATVP interest representatives

Typical use cases:

• Identify whether an organization appears in EU lobbying disclosures
• Add transparency-register signals to governance or reputation screening
• Research policy influence, public affairs activity, or sector representation

Transparency registers are off by default. Turn on includeTransparencyRegisters when you want these sources included.

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Default example

This example matches the Actor's default input:

{
  "searchTerms": ["Deutsche Bank"],
  "includeEnforcementActions": true,
  "includeFinancialRegistries": true,
  "includeTransparencyRegisters": false,
  "maxResultsPerSource": 50
}

This run searches:

• ESMA sanctions
• France CNIL sanctions
• FINRA BrokerCheck
• FDIC bank failures

and skips the transparency sources unless you explicitly enable them.

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Example use cases

Counterparty screening

Before signing an agreement with a company, search the name once and check whether there are enforcement records, broker-related registry hits, or failed-bank history associated with the entity.

Broker verification

Before a deal, advisory engagement, or investor introduction, search a person or firm and review whether relevant FINRA BrokerCheck records appear in the results.

Governance and lobbying review

When you need to understand a company's public-affairs footprint, enable transparency sources and search the organization across the EU Transparency Register and France HATVP.

Research and journalism

Run the same search across all enabled sources and keep the unified dataset as a structured evidence table for later review.

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What you get back

Each result includes source-specific fields plus normalized metadata so you can filter everything in one dataset.

Common fields include:

• name
• type
• status
• country
• authority
• _source
• _source_list
• _match_category
• _search_term
• _collected_at

The Actor also stores a RUN_SUMMARY record in the default Key-Value Store. That summary helps you understand:

• which sources ran successfully
• how many results each source returned
• whether any source errored
• overall result counts

This is useful when a source is temporarily slow or unavailable and you want to retry only the affected search.

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Data sources

The current source list is fixed and explicit.

Enforcement actions

Source	Authority	Coverage
ESMA enforcement sanctions	European financial regulators	Public EU financial enforcement records
France CNIL sanctions	CNIL	Public GDPR and data-protection decisions in France

Financial registries

Source	Authority	Coverage
FINRA BrokerCheck	FINRA	US broker, dealer, and firm registry records
FDIC failed banks	FDIC	Public history of failed US banks

Transparency registers

Source	Authority	Coverage
EU Transparency Register	EU institutions	Organizations registered for EU transparency and lobbying disclosures
France HATVP	Haute Autorite pour la transparence de la vie publique	French interest representative disclosures

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Input reference

Parameter	Type	Default	Description
searchTerms	array of strings	["Deutsche Bank"]	One or more company, person, or entity names to search
includeEnforcementActions	boolean	true	Include ESMA and CNIL enforcement sources
includeFinancialRegistries	boolean	true	Include FINRA BrokerCheck and FDIC failed-bank sources
includeTransparencyRegisters	boolean	false	Include EU Transparency Register and France HATVP
maxResultsPerSource	integer	50	Maximum results returned per source, from 1 to 200

Practical guidance

• Use specific names when possible, especially for people and firms with common names
• Keep transparency sources disabled unless you actually need lobbying or disclosure data
• For large batch screening, split long entity lists into multiple runs for cleaner review

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Sample output patterns

The exact fields vary by source, but typical records look like:

Enforcement

{
  "name": "Deutsche Bank AG",
  "type": "organization",
  "country": "DE",
  "authority": "ESMA",
  "_source_list": "ESMA Enforcement Sanctions",
  "_match_category": "enforcement",
  "_search_term": "Deutsche Bank"
}

Financial registry

{
  "name": "John Smith",
  "type": "person",
  "country": "US",
  "authority": "FINRA",
  "_source_list": "FINRA BrokerCheck",
  "_match_category": "financial_registry",
  "_search_term": "John Smith"
}

Transparency register

{
  "name": "Goldman Sachs International",
  "type": "organization",
  "country": "UK",
  "authority": "EU Transparency Register",
  "_source_list": "EU Transparency Register",
  "_match_category": "transparency",
  "_search_term": "Goldman Sachs"
}

---

Pricing

This Actor uses pay-per-event pricing.

Event	Price
Actor start	$0.005
Each matched record	$0.002

This structure works well for:

• one-off due-diligence checks
• periodic re-screening
• internal workflows where you only pay for actual search activity and returned records

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How to use it

In Apify Console

1. Open the Actor
2. Enter one or more names in searchTerms
3. Choose which source groups to include
4. Set maxResultsPerSource
5. Start the run
6. Review results in the Dataset tab and the run summary in Key-Value Store

In automation tools

You can run this Actor from tools that support Apify, including:

• Make
• n8n
• Zapier
• LangChain
• MCP-compatible agent workflows via Apify MCP

Python example

from apify_client import ApifyClient

client = ApifyClient("YOUR_APIFY_TOKEN")

run = client.actor("lentic_clockss/regulatory-compliance-search").call(
    run_input={
        "searchTerms": ["Deutsche Bank"],
        "includeEnforcementActions": True,
        "includeFinancialRegistries": True,
        "includeTransparencyRegisters": False,
        "maxResultsPerSource": 50,
    }
)

for item in client.dataset(run["defaultDatasetId"]).iterate_items():
    print(item.get("_source_list"), item.get("name"))

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When to use this Actor vs something else

Use this Actor when you want:

• public regulatory and registry signals
• fast multi-source screening
• a structured dataset you can filter downstream

Use a different product if you need:

• sanctions-list screening across OFAC, EU, Canada, and other sanctions programs
• adverse media or negative-news monitoring
• court-record or litigation databases
• fuzzy matching, alias resolution, or full enterprise AML workflows
• regulator-certified workflow software with internal case management

If you need company registration checks rather than regulatory and compliance records, pair this Actor with a company registry search product.

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FAQ

Does this cover sanctions screening?

No. This Actor focuses on enforcement actions, financial registries, and transparency registers. For sanctions-list coverage, use a sanctions-specific search product.

Does it do fuzzy matching?

No. The Actor searches the enabled public sources and returns matching public records. If you need broader name expansion, run multiple spellings or add a separate matching layer.

How fresh is the data?

Freshness depends on the upstream source. Results always include _collected_at, which tells you when the record was retrieved by the Actor.

Why are transparency sources off by default?

They are useful, but not required for every due-diligence workflow. Keeping them off by default makes the common run faster and cheaper.

Why can France HATVP be slower?

The upstream source can be slow on a cold cache. If that source fails in a run, check the RUN_SUMMARY and retry when needed.

Can I screen a large list?

Yes. For large batch jobs, split searches into smaller runs so it is easier to inspect errors and retry only the failed subset.

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Related Actors

• Global Sanctions Screening
• Global Company Search
• US Government Contracts Search
• Stealth Web Scraper

Browse more Actors from this publisher at apify.com/lentic_clockss.