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

Guidance on code of ethics compliance schemes for financial advisers

ASIC has released guidance on its proposed approach to approving and overseeing compliance schemes for financial advisers. 18-290MR. 28 September

ASIC review finds unacceptable delays by financial institutions in reporting, addressing and remediating significant breaches

ASIC has identified serious, unacceptable delays in the time taken to identify, report and correct significant breaches of the law among Australia's most important financial institutions.  18-284MR. 25 September.

Financial firms must join AFCA now

ASIC warns all Australian financial services licensees, Australian credit licensees, authorised credit representatives and superannuation trustees that they must join the Australian Financial Complaints Authority (AFCA) now if they have not already done so. 18-275MR. 20 September

More financial services releases

ASIC industry funding

Last updated: 20/10/2014 12:00