In addition to ASIC Connect, we provide other registers, searches, and information.
- ASIC training register
- Infringement notices register
- Enforceable undertakings register
- Public warning notices
- Register of banned bodies corporate
- Register of certificates of transfer for licensed trustee companies
- Register of persons banned from engaging in a credit activity under a law of a state or territory
- Register of trustees for debenture holders
- Register of unlicensed carried over instrument lenders
- Summary prosecutions of companies and directors
(under review from 25 September 2012)
The ASIC Training Register lists training courses and individual assessment services that have been approved by ASIC-authorised assessors. These courses meet ASIC's training requirements in relation to Regulatory Guide 146 Licensing: Training of financial product advisers (RG 146).
See more information on ASIC's training standards for people who provide financial product advice to retail clients and the ASIC training register.
This register records infringement notices paid under the Australian Securities and Investments Commission Act 2001 (ASIC Act), National Consumer Credit Protection Act 2009 (National Credit Act), the National Consumer Credit Protection Regulations 2010 (National Credit Regulations), Corporations Act 2001 (Corporations Act) and the Insurance Contracts Act 1984 (Insurance Contracts Act).
The enforceable undertakings register lists enforceable undertakings accepted by ASIC. Enforceable undertakings are undertakings provided to us that are enforceable in a court. They are generally accepted by us as an alternative to civil or administrative action where there has been a contravention of the legislation we administer.
In some circumstances ASIC may issue a notice warning the public about the conduct of a person in relation to financial services: see Australian Securities and Investments Commission Act 2001, s12GLC.
The register of banned bodies corporate lists bodies corporate that are banned from engaging in credit activities by a state or territory or under the National Consumer Credit Protection Act 2009. It contains all information received from states and territories about banned bodies corporate.
Please note, some of these bodies corporate may no longer be registered with ASIC and will be noted as being deregistered companies.
Licensed trustee companies provide trustee services to clients, including acting as executor of a will, trustee or under a power of attorney. The register shows copies of the certificates of transfer that we have issued following transfer determinations.
The National Consumer Credit Protection Act 2009 (National Credit Act) requires that ASIC maintain a register of persons who are defined in the National Credit Act as being banned from engaging in a credit activity under a law of a state or territory. The National Credit Act requires that this information be available to the public.
The list of names was incorporated into the Banned and Disqualified Register in 2010.
Search the information required to be provided by the issuers of debentures relating to the appointment of trustees. The register shows appointments made from 1 January 2010.
This register lists all unlicensed carried over instrument lenders notified to ASIC.
This register lists summary prosecutions undertaken by ASIC against companies and directors. Since 1 July 2002, we have increased the number of prosecutions of people and companies for a range of alleged breaches of the Corporations Act.
Our reasons for doing this include:
- improving the quality of information available to the public, shareholders and members or officers of Australian companies
- assisting external administrators to address ongoing misconduct by company officers
- discouraging the misuse of ASIC's public database
- preventing disqualified directors from managing companies.