Overseas regulators public warnings and alerts

Some overseas regulators provide public warnings and information on their websites about individuals, companies and other entities against whom legal or administrative action has been taken.

Links to overseas regulators’ websites that provide such information are provided below.

It is not a complete list of overseas regulators' websites and ASIC does not maintain or review the content of the websites.

International Organization of Securities Commissions

IOSCO

Warnings and alerts from IOSCO members about firms which are not authorised to provide investment services in the jurisdictions which issued the alert/warning.

United States

Securities Exchange Commission (SEC)

Information on SEC enforcement actions, including litigation releases, administrative proceedings, trading suspensions, stop orders and accounting and auditing enforcement releases.

Commodities Futures Trading Commission (CFTC)

CFTC disciplinary history available for registration and trading sanctions currently in effect as a result of administrative enforcement or statutory disqualification proceedings.

Canada

Canadian Securities Administrators

Includes 'Latest Disciplined Persons' and 'Investor Alerts' lists, recent and searchable historical details for entities and individuals.

United Kingdom

Financial Conduct Authority (FCA)

Includes searching financial register, alerts about financial services firms in UK and overseas,outcomes and notices (under Enforcement).

Companies House

Searchable register of persons who have either been disqualified through a court order or by undertaking from being directors of companies or members of limited liability partnerships.

Singapore

Monetary Authority of Singapore (MAS)

Includes Investor Alert list and 'Common Unregulated Schemes'.

MAS - enforcement actions

List of enforcement actions.

Malaysia

Securities Commission - Malaysia

Go to 'Investor Alerts'. Includes enforcement actions and press releases, internet scams and updates, investor alerts, and a 'have you seen these people' page.

New Zealand

Financial Markets Authority (FMA)

FMA's latest warnings and alerts, and names of firms and individuals 'to be wary of'

Companies Office

Includes search of register of disqualified directors

Serious Fraud Office

Information about investigations and prosecutions involving both corporate entities and directors

Hong Kong

Securities and Futures Commission (SFC)

Enforcement page displaying disciplinary and enforcement actions, an upcoming hearings calendar, and a list of people subject to arrest warrants or who may have information relevant to a current inquiry.

Companies Registry

Includes 'Register of Disqualification Orders'. The list is limited to disqualified company directors, and is available to unregistered users, however a small fee is required to obtain an online copy of the disqualification order.

See also Companies you should not deal with on ASIC's MoneySmart website.

ASIC industry funding

Cost Recovery Implementation Statement 2020-21

23 July 2021

The draft 2020-21 Cost Recovery Implementation Statement (CRIS) has been released for feedback.

Read the media release and draft CRIS

Industry funding: what you need to know

Video Thumb Industry Funding What You Need To Know

Watch the video

More about industry funding

Last updated: 30/03/2021 09:27