Datasets covering regulatory actions, enforcement notices, investor alerts, financial crime warnings and other notices issued by regulators or official authorities.
A list of employers who have submitted workers to conditions analogous to slavery.
What this means: A match against this source may indicate a regulatory warning, enforcement action, investor alert, financial misconduct concern or other compliance-relevant notice.
Publisher: Ministério do Trabalho e Emprego
List of sanctioned entities, as published by the European Securities and Markets Authority (ESMA).
What this means: A match against this source may indicate a regulatory warning, enforcement action, investor alert, financial misconduct concern or other compliance-relevant notice.
Publisher: European Securities and Markets Authority
Source: https://registers.esma.europa.eu/publication/searchRegister?core=esma_registers_sanctions
Blacklist of entities not authorized to offer financial products or services in France
What this means: A match against this source may indicate a regulatory warning, enforcement action, investor alert, financial misconduct concern or other compliance-relevant notice.
Publisher: Autorité des marchés financiers
Decisions of the Sanctions Commission of the AMF (Autorité des marchés financiers).
What this means: A match against this source may indicate a regulatory warning, enforcement action, investor alert, financial misconduct concern or other compliance-relevant notice.
Publisher: Autorité des marchés financiers
Source: https://www.amf-france.org/fr/sanction-transaction/Decisions-de-la-commission-des-sanctions
List of websites that are offering illegal financial services in Lithuania
What this means: A match against this source may indicate a regulatory warning, enforcement action, investor alert, financial misconduct concern or other compliance-relevant notice.
Publisher: Lietuvos bankas
Source: https://www.lb.lt/illegalwww
List of online gambling operators regarded as illegal in Lithuania
What this means: A match against this source may indicate a regulatory warning, enforcement action, investor alert, financial misconduct concern or other compliance-relevant notice.
Publisher: Lošimų priežiūros tarnyba prie Lietuvos Respublikos finansų ministerijos
Source: https://lpt.lrv.lt/en/news/updated-list-of-illegal-online-gaming-operators/
Administrative sanctions issued by the Luxembourg financial regulator.
What this means: A match against this source may indicate a regulatory warning, enforcement action, investor alert, financial misconduct concern or other compliance-relevant notice.
Publisher: Commission de Surveillance du Secteur Financier
Source: https://www.cssf.lu/fr/publications-donnees/?content_type=1387%2C623%2C625
Entities who have been wrongly represented as being licensed by the Central Bank of Malaysia.
What this means: A match against this source may indicate a regulatory warning, enforcement action, investor alert, financial misconduct concern or other compliance-relevant notice.
Publisher: Bank Negara Malaysia
Source: https://www.bnm.gov.my/financial-consumer-alert-list
Enforcement actions against auditors by the Malaysian Securities Commission Audit Oversight Board
What this means: A match against this source may indicate a regulatory warning, enforcement action, investor alert, financial misconduct concern or other compliance-relevant notice.
Publisher: Suruhanjaya Sekuriti Malaysia
Individuals and entities provide investment services without registration with the Malaysia Securities Commission.
What this means: A match against this source may indicate a regulatory warning, enforcement action, investor alert, financial misconduct concern or other compliance-relevant notice.
Publisher: Suruhanjaya Sekuriti Malaysia
Individuals and entities with advisories issued by the Philippines Securities and Exchange Commission
What this means: A match against this source may indicate a regulatory warning, enforcement action, investor alert, financial misconduct concern or other compliance-relevant notice.
Publisher: Philippines Securities and Exchange Commission
Source: https://www.sec.gov.ph/investors-education-and-information/advisories/#gsc.tab=0
Formal regulatory and enforcement actions taken by MAS for breaches of laws and regulations administered by MAS and related matters.
What this means: A match against this source may indicate a regulatory warning, enforcement action, investor alert, financial misconduct concern or other compliance-relevant notice.
Publisher: Monetary Authority of Singapore
Source: https://www.mas.gov.sg/regulation/enforcement/enforcement-actions
Switzerland's financial regulator maintains and publishes final rulings naming those involved in financial misconduct
What this means: A match against this source may indicate a regulatory warning, enforcement action, investor alert, financial misconduct concern or other compliance-relevant notice.
Publisher: Swiss Financial Market Supervisory Authority
Source: https://www.finma.ch/en/enforcement/enforcement-tools/publication-of-final-rulings/
Switzerland's financial regulator maintains and publishes a warning list of companies and individuals who may be carrying out unauthorised services
What this means: A match against this source may indicate a regulatory warning, enforcement action, investor alert, financial misconduct concern or other compliance-relevant notice.
Publisher: Swiss Financial Market Supervisory Authority
Source: https://www.finma.ch/en/finma-public/warnungen/warning-list/
This dataset contains a list of banned entities from Türkiye Capital Markets Board.
What this means: A match against this source may indicate a regulatory warning, enforcement action, investor alert, financial misconduct concern or other compliance-relevant notice.
Publisher: Sermaye Piyasası Kurulu
Individuals and entities that are prohibited or restricted from participating in financial services within the Dubai International Financial Centre (DIFC).
What this means: A match against this source may indicate a regulatory warning, enforcement action, investor alert, financial misconduct concern or other compliance-relevant notice.
Publisher: Dubai Financial Services Authority
Source: https://www.dfsa.ae/public-register/prohibited-individuals
U.S. companies alleged to have violated antiboycott regulations by supporting unsanctioned foreign boycotts, primarily the Arab League boycott of Israel.
What this means: A match against this source may indicate a regulatory warning, enforcement action, investor alert, financial misconduct concern or other compliance-relevant notice.
Publisher: Bureau of Industry and Security
Source: https://www.bis.gov/about-bis/bis-leadership-and-offices/OAC/alleged-antiboycott-violations
Companies and individuals penalized for breaking U.S. export control rules, such as illegal exports, reexports, or transfers of restricted items.
What this means: A match against this source may indicate a regulatory warning, enforcement action, investor alert, financial misconduct concern or other compliance-relevant notice.
Publisher: Bureau of Industry and Security
Entities subject to enforcement actions by the CFTC.
What this means: A match against this source may indicate a regulatory warning, enforcement action, investor alert, financial misconduct concern or other compliance-relevant notice.
Publisher: U.S. Commodity Futures Trading Commission
Source: https://www.cftc.gov/LawRegulation/EnforcementActions/index.htm
Consent agreements entered into by parties accused of violating the Arms Export Control Act (AECA) or International Traffic in Arms Regulations (ITAR)
What this means: A match against this source may indicate a regulatory warning, enforcement action, investor alert, financial misconduct concern or other compliance-relevant notice.
Publisher: Directorate of Defense Trade Controls
The FDIC provides a list of bank failures and the institutions that acquired them.
What this means: A match against this source may indicate a regulatory warning, enforcement action, investor alert, financial misconduct concern or other compliance-relevant notice.
Publisher: Federal Deposit Insurance Corporation
Source: https://www.fdic.gov/resources/resolutions/bank-failures/failed-bank-list/
Enforcement actions against entities and individuals for violations of laws, rules, or regulations
What this means: A match against this source may indicate a regulatory warning, enforcement action, investor alert, financial misconduct concern or other compliance-relevant notice.
Publisher: Federal Reserve Board
Source: https://www.federalreserve.gov/supervisionreg/enforcement-actions-about.htm
Civil money penalties and enforcement actions by US FinCEN against financial institutions for Bank Secrecy Act violations.
What this means: A match against this source may indicate a regulatory warning, enforcement action, investor alert, financial misconduct concern or other compliance-relevant notice.
Publisher: Financial Crimes Enforcement Network
Firms and individuals that have faced FINRA disciplinary actions
What this means: A match against this source may indicate a regulatory warning, enforcement action, investor alert, financial misconduct concern or other compliance-relevant notice.
Publisher: Financial Industry Regulatory Authority
The US banking regulator OCC publishes a list of companies and individuals against which punitive measures have been applied.
What this means: A match against this source may indicate a regulatory warning, enforcement action, investor alert, financial misconduct concern or other compliance-relevant notice.
Publisher: Office of the Comptroller of the Currency
Source: https://apps.occ.gov/EASearch/
List of formal legal proceedings where the U.S. Treasury's Office of Foreign Assets Control penalizes individuals, companies, or entities that violate American economic sanctions and embargo programs.
What this means: A match against this source may indicate a regulatory warning, enforcement action, investor alert, financial misconduct concern or other compliance-relevant notice.
Publisher: Office of Foreign Assets Control
Source: https://ofac.treasury.gov/recent-actions/enforcement-actions
Entities reported for making boycott-related requests in U.S. transactions
What this means: A match against this source may indicate a regulatory warning, enforcement action, investor alert, financial misconduct concern or other compliance-relevant notice.
Publisher: Bureau of Industry and Security
Source: https://www.bis.gov/OAC
Entities that falsely claim to be registered, licensed, and/or located in the United States, to be regulators, or impersonate genuine firms.
What this means: A match against this source may indicate a regulatory warning, enforcement action, investor alert, financial misconduct concern or other compliance-relevant notice.
Publisher: Securities and Exchange Commission
Source: https://www.sec.gov/enforcement-litigation/public-alerts-unregistered-soliciting-entities
Enforcement actions against persons and firms that had harmed investors
What this means: A match against this source may indicate a regulatory warning, enforcement action, investor alert, financial misconduct concern or other compliance-relevant notice.
Publisher: Securities and Exchange Commission
Source: https://www.sec.gov/enforcement-litigation/distributions-harmed-investors
