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:
– for financial planners and advisers
– for finance and mortgage brokers
– for finance and mortgage brokers
– for life and general insurance brokers
– represents Australia’s retail and wholesale funds management businesses, superannuation funds, life insurers and financial advisory networks
– for stockbroking firms and investment banks
– for participants in Australia’s wholesale banking and financial markets
– for compliance professionals.
Criminal history checks
Applications should be made to the appropriate police body.
Australian Federal Police (includes ACT) for and the . See also:
– a federal government agency that works with Australian police agencies to deliver the National Police Checking Service.
APRA
maintains a register of individuals it has disqualified from holding prudentially significant roles within the authorised deposit-taking, general insurance and superannuation industries.
Brokers
provide information for reference checking purposes.
Note: ASIC does not endorse any particular broker.
Bankruptcy searches
is the government agency that administrates and regulates the personal insolvency system in Australia and operates the bankruptcy registry.
More information
For further information, see:
(for purchase through the Standards Australia website)
, and
Information Sheet 257 ASIC reference checking and information sharing protocol (INFO 257).
Note: Some service providers may charge for their information.
