Reference checking directory for financial services industry

This directory may be useful for financial services organisations carrying out reference checks.

For further information, download a free copy of Standards Australia's handbook, Reference Checking in the Financial Services Industry (HB-322 2007) and read How to use the reference checking directory.

Note: Some service providers may charge for their information.

ASIC registers Search ASIC's registers for information on companies, persons, documents, and more
Other ASIC searches
  • Media releases - cover a wide range of ASIC activities including enforcement activities.
Professional industry associations These organisations enable the checking of professional qualifications and may provide registers and/or media releases with information on disciplinary action and current inquiries or investigation.

Professional industry associations that are most likely to be used:
Criminal history checks Applications should be made to the appropriate police body.

Australian Federal Police (includes ACT) for National Police Checks and the Spent Conviction Scheme. It is also where you can access the ASIC Financial Services Licensing Requirements Application form
APRA
Brokers
Bankruptcy searches

What's new

ASIC puts spotlight on the rapidly growing buy now pay later industry

ASIC has released its first review of the rapidly growing buy now pay later industry. 18-357MR. 28 November

Firms must notify ASIC of their AFCA membership by end of November before late fees apply

Financial firms who are members of the Australian Financial Complaints Authority must notify ASIC of their AFCA membership by Friday 30 November 2018. 18-358MR. 28 November 

Financial advisers urged to ensure registration by 31 December 2018

ASIC is reminding financial advisers, who are currently authorised, to make sure that they are on ASIC’s Financial Advisers Register no later than 31 December 2018, before new professional standards requirements take effect. 18-355MR. 27 November

More financial services releases

ASIC industry funding

Last updated: 20/10/2014 12:00