Info Prioridad
INFORM
Australia-ASIC-BD
Regulatory exclusion — banned/disqualified from financial services, credit activities, or company-director roles under Australian law (Corporations Act 2001, NCCPA 2009, SIS Act 1993); informational, not a sanction
Acerca de esta lista
Australia-ASIC-BD is a register maintained by the Australian Securities and Investments Commission flagging 4,865 unlicensed or banned financial service providers operating in or targeting Australia, widely used during broker onboarding and retail investment platform due diligence.
Información detallada
ASIC Banned & Disqualified Register is maintained by the Australian Securities and Investments Commission (ASIC). It lists individuals who have been banned or disqualified from providing financial services, engaging in credit activities, or directing companies under the Corporations Act 2001, the National Consumer Credit Protection Act 2009, and related legislation. Categories include: financial services bans, credit activity bans, company director disqualifications (court-ordered or ASIC-initiated), and SMSF trustee disqualifications. Essential for financial services due diligence in Australia.
Official source: ASIC Banned & Disqualified Register. Updates: Weekly (Tuesdays).
Implicaciones de cumplimiento
Estos son solo datos informativos y no constituyen una lista de sanciones o bloqueo.
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Aviso legal: Esta información se proporciona solo con fines informativos. Los datos provienen de publicaciones gubernamentales oficiales y se actualizan regularmente.