Global Regulatory & Compliance Search API

Search enforcement actions, financial registry records, and transparency register entries across six authoritative regulatory databases — in a single API call.

What problem does this solve?

Compliance due diligence requires checking many different regulatory databases: Has this company been fined by EU financial regulators? Is this broker registered with FINRA? Did this bank fail? Is this organisation registered as an EU lobbyist?

Each database has its own API, query format, and data schema. Aggregating them manually takes hours. This Actor does it in seconds: one input, six sources, unified output.

Who is this for?

• Compliance teams running KYB (Know Your Business) due diligence on counterparties
• Fintech developers building compliance automation pipelines
• Investigative journalists researching regulatory histories of companies and individuals
• ESG analysts screening organisations for regulatory risk
• Legal and risk professionals needing fast regulatory background checks

Data sources

Enforcement Actions (default: ON)

Source	Coverage	Notes
ESMA Enforcement Sanctions	EU financial enforcement	Fines and sanctions issued by European financial regulators under ESMA coordination
France CNIL GDPR Sanctions	French data protection fines	All GDPR enforcement decisions by France's data protection authority

Financial Registries (default: ON)

Source	Coverage	Notes
FINRA BrokerCheck	US broker/dealer registry	Licensed brokers, firms, and regulatory history in the United States
US FDIC Bank Failures	US bank failure records	Complete history of FDIC-insured bank failures including resolution type and estimated cost

Transparency Registers (default: OFF)

Source	Coverage	Notes
EU Transparency Register	EU lobbyist organisations	All organisations registered to lobby EU institutions
France HATVP	French interest representatives	Organisations lobbying French public authorities (first query may take up to 3 minutes on cold cache)

Input parameters

Parameter	Type	Default	Description
searchTerms	string[]	required	One or more names to search across all selected sources
includeEnforcementActions	boolean	true	Include ESMA + CNIL enforcement databases
includeFinancialRegistries	boolean	true	Include FINRA BrokerCheck + FDIC failures
includeTransparencyRegisters	boolean	false	Include EU Transparency Register + France HATVP
maxResultsPerSource	integer	50	Max results per source per search term (1–200)

Output fields

Every result includes these unified metadata fields:

Field	Description
_source_list	Human-readable source name (e.g. "ESMA Enforcement Sanctions")
_match_category	Category: enforcement, financial_registry, financial_records, or transparency
_search_term	The original search term that produced this result
_source	Internal source key
_product_id	SIP product ID
_collected_at	UTC ISO timestamp of collection

Additional business-specific fields vary by source:

• ESMA: entity_name, sanction_type, country, sanction_amount, legal_basis, infringement_type
• CNIL: case_name, themes, decision_date, decision_summary, court
• FINRA: first_name, last_name, firm_name, current_employer, states_registered, registration_scope
• FDIC: bank_name, failure_date, estimated_cost, acquirer, state, resolution_type
• EU Transparency: org_name, registration_category, country, org_id, status, latest_update
• HATVP: case_name, organization_type, sectors, spend_bracket, employees_declared, activities_count

The Actor also writes a RUN_SUMMARY to the Key-Value Store with per-source status, result counts, and any errors encountered.

Example inputs

Search a company across enforcement and financial sources (default)

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

Include transparency registers for lobbying research

{
  "searchTerms": ["Goldman Sachs"],
  "includeEnforcementActions": true,
  "includeFinancialRegistries": true,
  "includeTransparencyRegisters": true,
  "maxResultsPerSource": 20
}

Check only financial registries (skip enforcement)

{
  "searchTerms": ["Smith"],
  "includeEnforcementActions": false,
  "includeFinancialRegistries": true,
  "includeTransparencyRegisters": false,
  "maxResultsPerSource": 100
}

Example output

[
  {
    "entity_name": "Deutsche Bank AG",
    "sanction_type": "Fine",
    "country": "DE",
    "sanction_amount": "2000000",
    "legal_basis": "MiFID II",
    "infringement_type": "Reporting",
    "_source_list": "ESMA Enforcement Sanctions",
    "_match_category": "enforcement",
    "_search_term": "Deutsche Bank",
    "_source": "esma_sanctions",
    "_product_id": "eu_esma_sanctions",
    "_collected_at": "2026-04-09T08:00:00Z"
  },
  {
    "first_name": "John",
    "last_name": "Deutsche",
    "firm_name": "Deutsche Bank Securities Inc.",
    "current_employer": "Deutsche Bank",
    "registration_scope": "broker-dealer",
    "_source_list": "FINRA BrokerCheck",
    "_match_category": "financial_registry",
    "_search_term": "Deutsche Bank",
    "_source": "finra_brokercheck",
    "_product_id": "us_finance_finra_brokercheck",
    "_collected_at": "2026-04-09T08:00:00Z"
  },
  {
    "case_name": "Deutsche Bank AG",
    "decision_date": "2023-11-15",
    "themes": ["banking", "data transfers"],
    "decision_summary": "Fine for unlawful international data transfers",
    "_source_list": "France CNIL GDPR Sanctions",
    "_match_category": "enforcement",
    "_search_term": "Deutsche Bank",
    "_source": "cnil_sanctions",
    "_product_id": "fr_cnil_sanctions_watch",
    "_collected_at": "2026-04-09T08:00:00Z"
  }
]

Pricing

• $0.005 per Actor start (one-time per run)
• $0.002 per result record returned

Cost examples:

• 1 search term × 4 default sources × average 5 results = 20 records → $0.045
• 5 search terms × 6 full sources × 5 results = 150 records → $0.305
• Bulk screening of 50 entities with defaults → ~500 records → $1.005

Notes on specific sources

France HATVP: The first query after a cache expiry can take up to 3 minutes as the upstream database loads. Subsequent queries return immediately. If you need HATVP data reliably, consider setting a generous timeout and checking RUN_SUMMARY for the HATVP source status.

ESMA: The Solr search backend occasionally returns 429 (rate limited). When this happens, the Actor records an error status for that source in RUN_SUMMARY and continues with other sources — it does not fail the entire run.

EU Transparency Register: Search requires a non-empty search term. The register covers only organisations registered to interact with EU institutions.

Disclaimer

This tool performs keyword-based search across government regulatory databases. It is NOT a compliance adjudication tool or substitute for professional due diligence. Results may include false positives. Always verify against primary sources. This service does not constitute legal, regulatory, or compliance advice.

Data is retrieved in real-time from official regulatory databases via the SIP platform. Availability depends on upstream source uptime. The Actor handles source failures gracefully — a failed source is reported in RUN_SUMMARY and does not prevent results from other sources.