AFS Licensees Register
This register lists all holders of an Australian financial services (AFS) licence. Under the Financial Services Reform (FSR) Act, an AFS licence is required if an entity is providing, or intending to provide, financial services. AFS licensees may be individuals, companies, partnerships or trustees and their licence can authorise them to provide different types of financial services and products (authorisations).
You should also check the Enforceable Undertakings Register to find out whether the person has undertaken not to carry on a financial services business as an AFS Licensee.
How do I search?
- Open the AFS Licensees Register.
- Type in the name (or the first few characters of the name) or the licence number of the licensee. When searching please note that some company names start with a symbol or a number. Where the licensee is a person, names are ordered by family name. For other licensees, names are ordered by licensee's name.
- Your search results will include names of people and/or organisations.
- Partnerships sometimes include first names or initials in their name eg T J SMITH & P D BROWN. This will appear under T rather than SMITH.
- The first screen will show basic details for the first 10 licences starting from the name entered. You may
- click on the licence number to see more details
- enter a new starting name at the bottom of the list and press SUBMIT
- press the MORE button to continue with the next 10 names
- start a new search (SEARCH AGAIN)
- Clicking on a licence number will show you the licence details, including addresses, previous licences held and business names. Options appear at the bottom to display the representatives for that licence or licence authorisations.
- Clicking the representative option will show you a list of all the representatives for that licence.
- Clicking on a representative number will show you the details (business name, address and authorisations) for that representative as an authorised representative of that licensee (a representative may be authorised by more that one licensee and will appear against each). Representative authorisations do not show individual financial products.
- Clicking the authorisation will show you the licensee authorisations as they appear on the actual licence. If these have changed then a list of the dates on which the authorisations were changed will appear and you can select the data you wish to see.
- Other licence conditions may be printed on the actual licence and they relate to the licensee's obligations to, eg, maintain assets, employ 'key persons' and report to ASIC. To look at the printed licence, ask the licensee for a copy or order a copy through an ASIC information broker.
Search the AFS Licensees Register
ASIC Website: Printed 07/29/2010
