Data · Debarment and enforcement
Regulatory enforcement
Enforcement actions, unpaid penalties, investor warnings and barred individuals from securities and financial regulators, register by register. These registers are part of the Debarment and enforcement collection.
A listing records an official action, not a criminal conviction. Confirm the details with the publishing authority before acting on a match.
Data overview
- Registers
- …Registers…Records at their last load
- Collection
- Part of Debarment and enforcement, … records in all. Downloads and API endpoints are on that page.
- Coverage
- Each register has its own update schedule, shown below. Last processed ….
- Examples
- Ontario Securities Commission, British Columbia Securities Commission, CIRO, the US SEC, FINRA, FinCEN and state securities regulators.
Registers
Every register in this view, with the number of records at its last load. Select a register for its publisher, schedule and its own download.
About this collection
Regulatory actions is one of the Crown Intelligence collections. Every record keeps the publisher it came from and the date it was loaded. You can search it free on the search page, download it from data download, or query it through the screening API. See all collections and every data source.