Reference checking directory for financial services and credit industries
This directory may be useful for financial services and credit businesses carrying out reference checks.
The directory includes links to ASIC registers, other ASIC resources and service providers holding information that may be appropriate for reference checks.
Media releases covering 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:
Financial Services Council – represents Australia’s retail and wholesale funds management businesses, superannuation funds, life insurers and financial advisory networks
The Australian Prudential Regulation Authority (APRA) maintains a register of individuals it has disqualified from holding prudentially significant roles within the authorised deposit-taking, general insurance and superannuation industries.
Note: ASIC does not endorse any particular broker.
Bankruptcy searches
Australian Financial Security Authority (AFSA) is the government agency that administrates and regulates the personal insolvency system in Australia and operates the bankruptcy registry.
