Primary Data Sources & Licensing Registry
Transparency in provenance is fundamental to forensic research. This page catalogues every external government register, court docket source, and regulatory index authorized in our data ingestion pipeline, accompanied by its legal licensing framework and attribution requirements.
SOURCES REGISTER
- 21 verified primary regulatory sources are registered in data/sources.yaml.
- All United States primary government records (SEC, DOJ, CourtListener/RECAP) are in the public domain under 17 U.S.C. § 105.
- International records are reproduced with attribution under Open Government Licence (UK OGL v3.0), Creative Commons licences, or statutory fair-dealing exemptions.
- Proprietary paid databases (such as Audit Analytics or USC Marshall AAER) are strictly excluded.
| Source / Regulator | Jurisdiction | Cadence | Licence Terms | What We Extract | Attribution String |
|---|---|---|---|---|---|
| U.S. Securities and Exchange Commission: Accounting and Auditing Enforcement Releases (AAER) | US | Daily | Public Domain (17 U.S.C. § 105) | AAER number, release numbers (33-, 34-), date, respondents (name, type, CIK), PDF and HTML orders, violated statutory sections, penalties, disgorgement, admit/deny status, parallel actions | Source: U.S. Securities and Exchange Commission, Enforcement Division |
| U.S. Securities and Exchange Commission: Litigation Releases | US | Daily | Public Domain (17 U.S.C. § 105) | Civil litigation releases, district court case filings, complaints, judgments, permanent injunctions | Source: U.S. Securities and Exchange Commission, Litigation Releases |
| U.S. Securities and Exchange Commission: Administrative Proceedings | US | Daily | Public Domain (17 U.S.C. § 105) | Administrative orders, cease-and-desist proceedings, Rule 102(e) accountant practice suspensions | Source: U.S. Securities and Exchange Commission, Administrative Proceedings |
| U.S. Securities and Exchange Commission: Press Releases | US | Daily | Public Domain (17 U.S.C. § 105) | Summary statements, quotes from enforcement directors, context and restitution summaries | Source: U.S. Securities and Exchange Commission, Office of Public Affairs |
| U.S. Securities and Exchange Commission: Whistleblower Award Orders | US | Weekly | Public Domain (17 U.S.C. § 105) | Whistleblower award amounts, redacted order details, referenced covered enforcement actions | Source: U.S. Securities and Exchange Commission, Office of the Whistleblower |
| U.S. Department of Justice: Fraud Section & U.S. Attorneys' Offices | US | Daily | Public Domain (17 U.S.C. § 105) | Defendants, criminal indictments, guilty pleas, jury verdicts, prison sentences, restitution orders | Source: U.S. Department of Justice, Criminal Division, Fraud Section |
| CourtListener / RECAP Project (Free Law Project) | US | Daily for tracked dockets | Public Domain / CC0 (Court Opinions and RECAP Dockets) | Federal court dockets, indictments, superseding informations, plea agreements, judgments in criminal cases, sentencing memoranda | Source: CourtListener / Free Law Project RECAP Archive |
| Public Company Accounting Oversight Board (PCAOB): Disciplinary Orders | US | Weekly | Public Document (Reproduced with attribution) | Audit firm sanctions, individual audit partner bars, engagement client names, auditing standard violations, civil money penalties | Source: Public Company Accounting Oversight Board (PCAOB) Disciplinary Proceedings |
| Corporate Prosecution Registry (Duke University School of Law & UVA School of Law) | US | Monthly | Creative Commons Attribution 4.0 International (CC BY 4.0) | Deferred Prosecution Agreements (DPAs), Non-Prosecution Agreements (NPAs), corporate compliance monitor terms | Source: Corporate Prosecution Registry (Brandon L. Garrett and Jon Ashley, Duke/UVA) |
| SEC EDGAR System: Item 4.02 & Item 4.01 8-K Filings | US | Daily | Public Domain | Item 4.02 non-reliance on previously issued financial statements (restatements), Item 4.01 auditor changes | Source: U.S. SEC EDGAR Database |
| SEC EDGAR XBRL Company Facts and Frames API | US | Monthly full refresh, daily for active cases | Public Domain | Historical as-reported versus restated financial line items, balance sheet concepts, revenue revisions | Source: SEC EDGAR XBRL Data |
| UK Financial Reporting Council (FRC): Enforcement Sanctions | GB | Weekly | Open Government Licence v3.0 (OGL v3.0) | Audit firm fines, audit partner exclusions, disciplinary tribunals, Audit Enforcement Procedure (AEP) findings | Source: UK Financial Reporting Council (Contains public sector information licensed under OGL v3.0) |
| UK Financial Conduct Authority (FCA): Final Notices | GB | Weekly | Open Government Licence v3.0 (OGL v3.0) | Final notices, market abuse sanctions, misleading statement censures, director prohibitions | Source: UK Financial Conduct Authority (OGL v3.0) |
| UK Serious Fraud Office (SFO): Case Outcomes | GB | Weekly | Open Government Licence v3.0 (OGL v3.0) | Corporate criminal convictions, DPAs under Crime and Courts Act 2013, director trial verdicts | Source: UK Serious Fraud Office (OGL v3.0) |
| Ontario Securities Commission (OSC) & Canadian Securities Administrators (CSA) | CA | Weekly | Government of Ontario / Reproduction with Attribution | Tribunal decisions, settlements, director & officer bans, administrative penalties | Source: Ontario Securities Commission Enforcement Decisions |
| Australian Securities and Investments Commission (ASIC): Enforcement Outcomes | AU | Weekly | Creative Commons Attribution 3.0 Australia (CC BY 3.0 AU) | Court outcomes, criminal prosecutions, director disqualifications, enforceable undertakings | Source: Australian Securities and Investments Commission (ASIC) |
| German Federal Financial Supervisory Authority (BaFin) & APAS | DE | Weekly | Official Work (§ 5 German Copyright Act / UrhG), reproduced with attribution | Market manipulation administrative measures, accounting enforcement examination orders, APAS auditor sanctions | Source: Bundesanstalt für Finanzdienstleistungsaufsicht (BaFin) & APAS |
| Japan Securities and Exchange Surveillance Commission (SESC) & FSA | JP | Weekly | Government of Japan Public Information, with attribution | Recommendations for administrative monetary penalty orders, criminal complaints, CPAAOB audit firm sanctions | Source: Japan Securities and Exchange Surveillance Commission (SESC) / FSA |
| Hong Kong Securities and Futures Commission (SFC) & AFRC | HK | Weekly | SFC Copyright, reproduction with attribution for non-commercial reference | Section 214 court orders, disqualification of directors, sponsor reprimands, Accounting and Financial Reporting Council (AFRC) findings | Source: Hong Kong Securities and Futures Commission (SFC) |
| Securities and Exchange Board of India (SEBI) & NFRA | IN | Weekly | Government of India, Public Records with attribution | Adjudication orders, Section 11/11B directions, National Financial Reporting Authority (NFRA) auditor debarments | Source: Securities and Exchange Board of India (SEBI) & NFRA |
| Brazilian Securities and Exchange Commission (Comissão de Valores Mobiliários - CVM) | BR | Weekly | Brazilian Public Information Law (Lei de Acesso à Informação) | Processos Administrativos Sancionadores (PAS), term of commitment decisions, director disqualifications | Source: Comissão de Valores Mobiliários (CVM Brasil) |