Regulatory & Compliance Data Tools — Enforcement Actions, Sanctions & Filings

This page indexes structured data feeds for regulatory enforcement actions, primary-market filings, and adjacent public-record sources across the US, UK, Australia, Singapore, Hong Kong, Japan, and India. The underlying data is what compliance teams, AML and MLRO analysts, risk managers, due-diligence professionals, investigative journalists, and OSINT practitioners would otherwise gather by manually refreshing regulator websites — ASIC enforcement notices, MAS prohibition orders, SFC disciplinary actions, FTC case dockets, EPA ECHO facility records, SEC EDGAR filings (Form 4, Form 13F, 10-K, 8-K), Federal Register rules, USPTO trademark and patent records, US business registrations, and federal contract awards. The case for treating these as scheduled, structured feeds rather than browser bookmarks is straightforward: regulator websites are inconsistently designed, rate-limited, and frequently redesigned mid-quarter; downstream AML, KYC, and continuous-diligence workflows need the data shaped the same way every day. The tools below ship structured JSON or CSV with source URLs and fetch timestamps preserved, on whatever cadence your pipeline needs.

Common use cases

Daily AML / PEP / adverse-media screening overlay. Cross-reference your counterparty list against fresh enforcement disclosures from ASIC, MAS, SFC, FTC, and SEC every morning, before the commercial screening vendor’s batch arrives.
Continuous due diligence on counterparties. Subscribe to new filings or enforcement actions affecting specific entities, directors, or beneficial owners across multiple jurisdictions.
Monitor ASIC enforcement actions affecting portfolio companies or AU-licensed directors. Pick up banning orders, civil penalties, and AFS licence cancellations the day they post.
Track FCA, MAS, and SFC fines for risk modeling. Build a longitudinal dataset of enforcement penalties by regulator, firm type, and breach category — useful for capital allocation models and conduct-risk dashboards.
Aggregate SEC filings across a coverage universe. Pull every 10-K, 10-Q, 8-K, Form 4, and Schedule 13D/G filing for a 500-name watchlist into one queryable table, refreshed on EDGAR’s cadence.
Form 4 insider-flow monitoring for fund pre-clearance. Audit insider transactions against your fund’s pre-clearance log; flag clustered insider buys for further review.
Substantial-holder tracking on ASX, EDINET, and SEBI. Daily ingestion of Form 603/604/605 (Australia), large-shareholder reports (Japan), and SAST takeover letters (India) for event-driven and activist tracking.
KYB and federal-award vendor diligence. Verify state business registrations and screen counterparties against federal contract awards, FTC actions, and EPA enforcement history.

Featured tools

| Tool | Source | Region | Key fields | Best for | |——|——–|——–|———–|———-| | Australia ASIC Enforcement | ASIC (AU) | Australia | Banning orders, civil penalties, infringement notices, court actions, AFS/credit licence cancellations, director disqualifications | AU-exposed compliance teams, fund managers screening AU directors, financial-services journalists | | Singapore MAS Enforcement | MAS (SG) | Singapore | Prohibition orders, civil penalties (SFA s.232), AML compositions (Notice 626), criminal convictions, licence revocations, SGD amounts | SG AML/MLRO teams, fintech compliance, cross-border KYC enrichment | | Hong Kong SFC Enforcement | SFC (HK) | Hong Kong | Disciplinary actions, HKD fines, prosecutions, licence suspensions, cold-shoulder and disqualification orders | APAC compliance teams, HK-licensed broker monitoring, regulatory journalists | | FTC Enforcement Actions | FTC (US) | United States | Case title, status, matter number, docket, federal court, filing date, full case summary, related press releases | Antitrust counsel, ad-compliance teams, M&A diligence screening for FTC scrutiny | | EPA ECHO Enforcement | EPA (US) | United States | CWA/CAA/RCRA facility identity, NAICS, NPDES/AIR/RCRA permits, inspections, SNC status, penalties USD, 13-quarter compliance history | ESG screens, environmental diligence, plaintiff law firms, M&A teams | | Federal Register Rules | Federal Register (US) | United States | Final rules, proposed rules, notices; title, abstract, document number, pub/effective dates, agencies, CFR refs, RIN, docket IDs, comment-close dates | Regulatory affairs, government contractors, legal compliance teams | | SEC EDGAR Filings Search | SEC EDGAR (US) | United States | 10-K, 10-Q, 8-K, proxy statements, insider transactions across any public US company | Sell-side analysts, compliance teams aggregating coverage-universe filings, investigative journalists | | SEC Form 4 Insider Trading | SEC (US) | United States | Issuer ticker, reporting person, role (officer/director/10%+), transaction code, shares, price, post-transaction holdings, derivative legs | Insider-flow monitoring, M&A leak detection, hedge-fund compliance pre-clearance audits | | SEC Form 13F Holdings | SEC (US) | United States | Quarterly institutional holdings >$100M AUM: CUSIP, position size, change vs prior quarter, voting authority class | Position-overlap diligence, activist tracking, fund-of-funds reporting | | ASX Form 605 Substantial Holdings | ASX / ASIC | Australia | Every Form 603/604/605 substantial-holder filing under s671B: filer name, target ticker, current vs prior voting power %, share counts | Event-driven funds, M&A desks, activist tracking on ASX-listed names | | India SEBI Filings | SEBI (IN) | India | DRHP/RHP IPO drafts, rights issues, SAST takeover letters of offer, buybacks, debt offer docs, REIT/InvIT/QIP, processing-status pipeline | India-exposed compliance, IPO-pipeline analysts, EM fund diligence | | Japan EDINET Insider Filings | JFSA EDINET (JP) | Japan | Large-shareholder reports (5% rule), change reports, treasury-share repurchase reports under Japan’s FIEA | JP-exposed funds, M&A intel desks, compliance teams screening JP holdings | | US Government Contracts | SAM.gov / USAspending | United States | Federal contracts, grants, and awards by agency, NAICS, recipient, dollar amount | GovCon prospecting, competitor-win tracking, vendor-risk diligence on federal awardees | | US Business Registration Lookup | Secretaries of State (US) | United States | State business registrations, LLC records, entity status, officers, registered agents, filing history | KYC/KYB pipelines, sales prospecting, counterparty verification | | USPTO Trademark Search | USPTO (US) | United States | Registered and pending marks, filing status, owner data, Nice classifications, prosecution history | Brand clearance, IP due diligence, opposition monitoring | | USPTO Patent Search | USPTO (US) | United States | Patent titles, abstracts, claims, inventors, filing dates | Prior-art searches, freedom-to-operate analysis, IP-led M&A diligence | | US NPI Doctor Directory | NPI Registry (US) | United States | NPI Registry-grounded US physician records, optional Healthgrades/Vitals enrichment, specialty + state filters | Healthcare-sector KYC, medical-device sales compliance, EHR/PMS vendor diligence |

Each tool runs on Apify with pay-per-event pricing — no seat licenses, no monthly minimum. Wire any of them into a Slack channel, Google Sheet, S3 bucket, or your case-management system via webhook, scheduled CSV export, or MCP endpoint. Sanctions coverage (OFAC SDN, EU Consolidated, UN Consolidated, UK HMT) and the full UK FCA enforcement register are in development and will be added in the next update — they are not currently public.

Workflow example — daily compliance brief

A worked example for a multi-jurisdiction compliance team running an 08:30 morning standup. The goal is one consolidated CSV in the team’s shared Drive folder, ready before the analysts log in, covering AU, UK-readable proxies, and US enforcement and insider-trading activity from the prior 24 hours.

Schedule the pulls at 07:45 local. In Apify, set scheduled runs for the Australia ASIC Enforcement tracker, FTC Enforcement Actions, SEC Form 4, and the Federal Register Rules scraper, each filtered to the prior 24 hours and the firms or sectors on your coverage list.
Route output to a shared dataset. Each actor writes to its own Apify dataset; an Apify webhook fires on run-finished and POSTs to a small AWS Lambda (or Cloudflare Worker) that appends the records to a single Google Sheet with a normalized schema: source_regulator, action_type, entity_name, jurisdiction, action_date, penalty_amount, source_url.
Deduplicate and join against the watchlist. A SQL view (or a single Sheets QUERY formula) drops duplicates on source URL and inner-joins the result against the firm’s coverage universe — so the morning brief only surfaces actions that intersect with names the team actually cares about.
Deliver to the standup channel. A Slack incoming-webhook posts the filtered list to #compliance-brief at 08:20 with one line per item — regulator, entity, action type, link to the source notice. Analysts triage in the standup; anything flagged opens a case in the team’s case-management system.

Expected cost for this pipeline at typical 500-name coverage-universe scale: low single-digit dollars per month in Apify event charges, plus whatever your team already pays for the Sheet, Lambda, and Slack workspace. The pipeline itself is roughly a half-day of build effort for a competent ops engineer.

Related categories

Frequently asked questions

How current is the data?

Refresh cadence is per-source. Enforcement registers (ASIC, MAS, SFC, FTC, EPA ECHO) and Federal Register rules typically refresh daily or whenever the regulator publishes. SEC EDGAR filings (Form 4, Form 13F, 10-K/10-Q/8-K) refresh on EDGAR’s own cadence — Form 4 is filed within two business days of an insider transaction, Form 13F is filed within 45 days of quarter-end. Substantial-holder filings (ASX Form 603/604/605, Japan EDINET large-shareholder reports, SEBI SAST) refresh as filings are published. Pull frequency on your side is whatever you configure in an Apify schedule — hourly, daily, or on-demand.

Can this replace LexisNexis, RDC, or World-Check?

Not as a one-for-one swap, and we don’t recommend pitching it that way internally. Commercial screening vendors layer in adverse-media classifiers, PEP lists, beneficial-ownership data, and proprietary risk scores. What these tools do replace is the manual portion of your stack — the analysts who used to refresh ASIC, MAS, SFC, FTC, and SEC pages by hand, or who paid per-query for primary regulator data already on the public web. Most compliance teams use these feeds as an enrichment layer alongside a commercial screening vendor, not instead of one.

What jurisdictions are covered?

Anglo-sphere financial regulators (US SEC, FTC, EPA, Federal Register; UK FCA; Australia ASIC) plus key APAC jurisdictions (Singapore MAS, Hong Kong SFC, Japan FSA EDINET, India SEBI). US IP coverage (USPTO patents and trademarks) and US public-record sources (state business registrations, federal contracts, NPI physician registry) round out the set. EU sanctions, OFAC, UN Consolidated, and UK HMT sanctions actors are in development and will be added in the next update — they are not currently public.

How do I integrate this into our AML or KYC stack?

Three patterns work. (1) Scheduled CSV/JSON dropoff to a shared S3 bucket or SFTP, picked up by your existing case-management system on a nightly batch. (2) Apify webhook fires to your internal API on each new record, with deduplication keyed on case number, filing accession, or notice ID. (3) Direct query from a compliance analyst’s tool — most actors expose an OpenAPI surface and an MCP endpoint so they can be wired into Claude, ChatGPT, or an internal LLM-driven workflow tool. The MCP integration is the fastest way to let an analyst ask natural-language questions across multiple regulators in one prompt.

Is the data audit-ready?

Every record is sourced from the originating regulator’s public disclosure (ASIC enforcement page, MAS enforcement actions, FTC Cases & Proceedings, SEC EDGAR, Federal Register, etc.) and preserves the source URL plus a fetch timestamp. For an internal audit trail this is generally sufficient, since you can re-derive any record from the source URL on demand. For a regulator-facing audit (e.g., a Section 5 / SOC review of your screening process) you will still want to document the pipeline — schedule cadence, transformation logic, retention — the same way you would for any public-data feed. The raw records are not modified or editorialized in transit.

What’s the pricing model?

Apify pay-per-event. You pay per record returned, per search executed, or per actor compute-unit depending on the actor — typically fractions of a cent to a few cents per record. There is no monthly minimum and no per-seat license. For a daily compliance brief pulling enforcement actions across five regulators, expect single-digit dollars per month in total. For a continuous Form 4 / Form 13F / SEBI / EDINET feed across a 500-name coverage universe, expect tens to low hundreds of dollars per month. Detailed pricing is on each actor’s page.

Browse all regulatory & compliance data tools

The featured table above is the curated set most compliance and AML teams adopt first. The full catalog — including additional jurisdiction-specific filing trackers, IP and trademark tools, and adjacent public-record feeds — is on the Apify store. Browse all NexGenData actors on Apify →

Recently added — public procurement

EU TED Tender Monitor — track EU public-procurement tenders (TED) as structured data.

Latest additions

EU AI Act Tracker — GPAI, Enforcement & High-Risk Registry in One Feed — launch post
UK FCA Enforcement Tracker — UK FCA Final, Decision, Supervisory and Warning Notices, fines (GBP), prohibitions and multi-firm reviews
Sanctions Delta Monitor — OFAC, UK OFSI & UN Change Alerts — daily additions, removals and edits across OFAC SDN, UK OFSI and UN Consolidated sanctions lists for screening and compliance
OFAC SDN Watchlist Scraper — full OFAC Specially Designated Nationals (SDN) list: names, aliases, addresses and program tags for sanctions screening
UK HMT Financial Sanctions Tracker — the UK HMT/OFSI consolidated financial sanctions list — designated persons, aliases and regimes for screening
SAM.gov Federal Contractor Exclusions & Debarment Tracker — US federal debarment/exclusion records from SAM.gov — excluded entities, exclusion type and dates for vendor screening
UK FCA Enforcement Notice Tracker — UK FCA Final, Decision and Warning notices, fines and prohibitions
FDA Drug Approvals Tracker — NDA / BLA / ANDA — new FDA drug approvals and designations (NDA, BLA, ANDA, breakthrough/orphan) for pharma and healthcare intelligence
UN Sanctions Consolidated Tracker — the UN Security Council Consolidated Sanctions List — names, aliases and listing details for screening
EU Consolidated Sanctions Tracker — the EU consolidated financial sanctions list (CFSP) — designated entities, individuals and listing reasons
CFTC Enforcement Actions Tracker — US CFTC enforcement actions, orders and penalties across derivatives and commodities markets
EU MAR Insider Transactions Tracker (IT/NL/ES/BE) — managers’ transactions disclosed under EU Market Abuse Regulation across Italy, Netherlands, Spain and Belgium
US Federal Litigation Intelligence — new US federal court dockets by topic, court, company or law firm via CourtListener/RECAP (PACER)
Japan FSA + SESC Enforcement — track Japan FSA and SESC penalties and orders under the FIEA
Korea FSS Enforcement (English) — pull Korean FSS and FSC enforcement actions in English with USD amounts
Taiwan FSC + SFB Enforcement — track Taiwan FSC and SFB penalties, warnings, and license revocations
Singapore MAS Financial Institutions Directory — search every MAS-licensed financial institution in Singapore
Regulatory Enforcement to Markdown for RAG — convert SEC, FCA, ASIC & MAS enforcement actions into RAG-ready Markdown

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Regulatory & Compliance Data Tools — Enforcement, Sanctions, Filings