Registers

Financial Advisers Register

The Financial Advisers Register is published on the Moneysmart website and is managed by ASIC.

The Register is a public record of financial advisers who provide personal advice on complex financial products to consumers. It allows consumers to:

• check that a financial adviser is authorised to provide financial advice, and
• find information about an adviser before getting financial advice from them.

The Register also improves:

• the ability to assess the qualifications, experience and employment history of financial advisers, and
• ASIC's ability to identify and monitor financial advisers in Australia.

Additional information required from 15 November 2019

To comply with the professional standards for financial advisers, AFS licensees must add new information to the Financial Advisers Register from 15 November 2019. For more details and compliance dates, see Timeline for the reforms.

Who is on the Financial Advisers Register?

The Financial Advisers Register lists all individuals who are authorised as a financial adviser.

The definition of a financial adviser is an individual who is:

• an AFS licensee, an authorised representative, employee or director of an AFS licensee, or an employee or director of a related body corporate of an AFS licensee, and
• is authorised to provide personal advice in relation to relevant financial products to retail clients (consumers).

'Relevant financial products' do not include:

• basic banking products
• general insurance products
• consumer credit insurance
• a combination of any of those products.

A financial adviser who has their own AFS licence is listed on:

• the Financial Advisers Register, and
• the AFS Licensees Register.

A financial adviser who is also an authorised representative is listed on:

• the Financial Advisers Register, and
• the Authorised Representatives Register.

Who is not on the Financial Advisers Register?

Advisers who do not meet the 'financial adviser' definition above are not on the Register. For example, a person who provides:

• general advice
• personal advice on products that are not relevant financial products, such as general insurance, consumer credit insurance or basic banking products.

If this person is an authorised representative for an AFS licensee, then they are listed on the Authorised Representatives Register.

For more information, see ASIC’s Financial Advisers Register website.

Tax (financial) advisers

Historically, financial advisers who provide tax (financial) advice services were regulated by both ASIC and the Tax Practitioners Board (TPB).

The Better Advice Act implements the Government’s response to recommendation 7.1 of the Independent Review of the Tax Practitioners Board by introducing a single registration and disciplinary system for financial advisers who provide tax (financial) advice services.

From 1 January 2022, financial advisers who provide tax (financial) advice services to retail clients must meet each of the applicable requirements set out in the Corporations (Relevant Providers—Education and Training Standards) Determination 2021 (Relevant Providers Determination). The requirements generally require the completion of specified courses in commercial law and taxation law. Additional continuing professional development requirements also apply. Financial advisers who meet these requirements are known as “qualified tax relevant providers”.

Financial advisers who were registered with the TPB as a tax (financial) adviser at the relevant time are generally taken to be a qualified tax relevant provider (QTRP) on an indefinite basis, irrespective of whether they have completed specified courses in commercial law and taxation law. ASIC has notified each of these advisers and their respective AFS licensees of their QTRP status.

In addition to meeting the requirements set out in the Relevant Providers Determination, financial advisers also need to be permitted by their AFS licensee(s) to provide tax (financial) advice services to provide tax (financial) advice services.

From 1 January 2023, the Financial Advisers Register published on Moneysmart will display whether a financial adviser can provide tax (financial) advice services.

For more information, see Information Sheet 268 FAQs: Regulation and registration of relevant providers who provide tax (financial) advice services (INFO 268).

Professional registers

ASIC's professional registers provide information about 'professionals', including liquidators, auditors and licensees.

Our ASIC Professional Registers Search provides information on:

• registered auditors
• registered audit companies
• registered liquidators
• official liquidators
• registered managed investment schemes
• approved self-managed super funds (SMSF) auditors
• AFS licensees
• AFS authorised representatives
• credit licensees
• credit representatives
• credit registered persons

Roles recorded on the pre-financial services regime register of licensees and authorisations are available to search on ASIC Connect.

For more information, see Professional Registers.

Banned and disqualified register

The 'Banned and disqualified' search provides information about people and organisations that ASIC has disqualified or banned.

• What information is on the banned and disqualified register?
• What details are available on the register?
• Related links
  
  

Enforceable undertakings register

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.

Enforceable undertakings are made public through the enforceable undertakings register and are free of charge. You can get a copy by downloading it as a PDF file from the register on this website.

ASIC publishes enforceable undertaking templates to assist people drafting undertakings. These templates are currently being updated by ASIC, and are for guidance only, as the terms of an enforceable undertaking should always be tailored to fit the circumstances of the individual case.

For more information, see:

• Enforceable undertaking register
• Regulatory Guide 100 Enforceable undertakings (RG 100)
• Information Sheet 28 About the enforceable undertakings register (INFO 28)
  
  

Business names

You can search our register for information on registered and cancelled business names. This includes the business name holder, their ABN, and any other details.

For more information, see Business names.

Companies and organisations

ASIC companies and organisations register provides information about the following types of organisations

• companies
• registered bodies
• foreign companies
• associations
• managed investment schemes
• non-registered entities.

For more information, see Companies and organisations.

For further information

For more information on ASIC’s registers, see Search ASIC's Registers.