AU Info 优先级 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

4,898
受制裁实体
Info
严重程度
INFORM
所需操作
Jul 21
最后更新 2026
关于此列表

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.

详细信息

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).

列表名称 Australia-ASIC-BD
全名 Australia-ASIC-BD
实体数量 4,898 个实体
严重程度 Info - 仅为信息性数据（非制裁列表）
所需操作 INFORM - 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
最后更新 July 21, 2026 at 09:52 UTC (5 小时前)
合规影响

这仅为信息性数据，不构成制裁或禁止列表。示例包括国际刑警组织红色通缉令或执法数据库。这些包含在综合筛查中，但匹配不表示违反制裁。

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免责声明： 此信息仅供参考。数据来自官方政府出版物并定期更新。请始终核实官方来源的制裁信息，并在做出商业决策时咨询合格的合规专业人员。