Overseas regulators public warnings and alerts
Some overseas regulators provide public warnings and information on their websites about individuals, companies and other entities against whom legal or administrative action has been taken.
Links to overseas regulators’ websites that provide such information are provided below.
It is not a complete list of overseas regulators' websites and ASIC does not maintain or review the content of the websites.
International Organization of Securities Commissions
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Warnings and alerts from IOSCO members about firms which are not authorised to provide investment services in the jurisdictions which issued the alert/warning. |
United States
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Information on SEC enforcement actions, including litigation releases, administrative proceedings, trading suspensions, stop orders and accounting and auditing enforcement releases. |
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CFTC disciplinary history available for registration and trading sanctions currently in effect as a result of administrative enforcement or statutory disqualification proceedings. |
Canada
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Includes ‘Disciplined List’ and 'Investor Warnings and Alerts', recent and searchable historical details for entities and individuals. |
United Kingdom
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Includes searching Financial Services Register, Warning List, and Notices and decisions (under Publications). |
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| Searchable register of persons who have either been disqualified through a court order or by undertaking from being directors of companies or members of limited liability partnerships. |
Singapore
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Includes Investor Alert List and Enforcement Actions. |
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List of Restricted schemes. |
Malaysia
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Includes Investor Alert List, Enforcement Actions and ‘Have you seen these people?’ page, Beware of Scams and related media releases page. |
New Zealand
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FMA's latest warnings and alerts, and names of firms and individuals 'to be wary of' |
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Includes search of register of disqualified directors |
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| New Zealand Companies Office |
Information about investigations and prosecutions involving both corporate entities and directors |
Hong Kong
| Enforcement actions | Securities & Futures Commission of Hong Kong Commission (SFC) |
Enforcement page displaying disciplinary and enforcement actions, an upcoming hearings calendar, and a list of people subject to arrest warrants or who may have information relevant to a current inquiry. |
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Includes 'Register of Disqualification Orders'. The list is limited to disqualified company directors, and is available to unregistered users, however a small fee is required to obtain an online copy of the disqualification order. |
See also the Investor alert list on ASIC's Moneysmart website.