Reference checking directory for the 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	National names index - find basic details about current and former companies, business names, schemes, trusts and non-registered entities; ABNs, ACNs. Banned and disqualified persons register - search for people who have been banned or disqualified. Enforceable undertakings register - find undertakings that have been accepted by ASIC. AFS licensee register - search for all people or organisations holding an Australian financial services licence. AFS authorised representatives register - search for all people or organisations that are authorised as representatives by an Australian financial services licensee for by a corporate representative of a licensee. Pre FSR licensees and property authority holders - search for people or organisations who were registered before 11 March 2004 as securities representatives, futures representatives, investment advisers, security dealers, futures advisers and/or futures brokers.
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: Financial Planning Association of Australia – for financial planners National Insurance Brokers Association of Australia – for life and general insurance brokers Investment and Financial Services Association – for the retail and wholesale funds management, superannuation and life insurance industries Securities & Derivatives Industry Association - for stockbroking firms and investment banks Australian Financial Markets Association - for participants in Australia's wholesale banking and financial markets Association of Financial Advisers – for financial advisers Australasian Compliance Institute – for compliance professionals
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 NSW Police Force Victoria Police Queensland Police Service Western Australia Police South Australia Police Tasmania Police Northern Territory Police CrimTrac - a federal government agency formed to facilitate national police information sharing. It offers a National Criminal History Reference Check
APRA	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.
Brokers	ASIC approved Information Brokers provide information for reference checking purposes. Note: ASIC does not endorse any particular broker
Bankruptcy searches	Insolvency and Trustee Service Australia (ITSA) is the government agency that administrates and regulates the personal insolvency system in Australia and operates the bankruptcy registry.

ASIC Website: Printed 03/17/2010

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