This page collates all ASIC registers, searches, information and links.
You can also use NZAU Connect, our app that allows you to search across Australia and New Zealand.
Important
Anyone who offers you a financial or investment product or gives you financial advice must have an Australian financial services (AFS) licence. Make sure the person or company you are dealing with is licensed.
A person who is disqualified under Part 6-5 of the Corporations (Aboriginal and Torres Strait Islander) Act 2006 is automatically disqualified from managing companies registered under section 206B(5) of the Corporations Act 2001. You can search the Office of the Registrar of Indigenous Corporations (ORIC) Register of Disqualified Officers to see any relevant bannings and disqualifications.
Data.gov.au is a website that provides public access to government data. ASIC publishes our registers on data.gov.au to give everyone the opportunity to view and use our data.
How do I find information about a financial adviser?
The Financial adviser register (FAR) has details on all appointed financial advisers. This includes their employment history and product authorisations.
What information is on ASIC's professional registers?
The ASIC Professional Registers Search includes information on AFS licensees, credit licensees, auditors, liquidators and other financial professionals.
Some of our search products can be viewed for free, while we are required to charge a fee for others.
Our website outlines the different types of information you can receive and has examples of what information is free and what information can be purchased.
Note: The ASIC Training Register's content is valid up to24 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).
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.
Certificates of transfer for licensed trustee companies register
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 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.
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).
Persons banned from engaging in a credit activity under a law of a state or territory register
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.
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 publication of notices, including insolvency and external administration-related notices, required to be published under the Corporations Act 2001 and Corporations Regulations.
The Australian Charities and Not-for-Profits Commission (ACNC) registers organisations as charities. This can include public companies limited by guarantee, proprietary limited companies or registered Australian bodies.
Search ACNC's register to find the latest information on a registered charity.
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.
This register includes certain information required to be provided by the issuers of debentures relating to the appointment of trustees. It shows appointments made from 1 January 2010.
