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:

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

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

Currently, financial advisers who provide tax (financial) advice services are 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.

Advisers who are registered with the TPB as a tax (financial) adviser as at 31 December 2021 will generally be deemed as registered with ASIC from 1 January 2022. For more information, see ASIC’s News Centre article Better Advice Act broadens ASIC’s responsibilities from 1 January 2022.

Professional registers (AFS licensees)

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

Our professional registers include information on:

  • registered auditors
  • registered audit companies
  • registered liquidators
  • official liquidators
  • 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.

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.

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:

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.

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Last updated: 07/12/2021 10:31