ASIC Banned & Disqualified Persons Check

Description

About this check

The ASIC Banned & Disqualified Persons Check helps you identify whether an individual is currently banned or disqualified by the Australian Securities & Investments Commission (ASIC).

This check searches ASIC’s public enforcement and disqualification registers and returns a clear, easy-to-read Worker Checks report you can keep on file for audit and compliance purposes.

What this check covers

• ASIC Banned & Disqualified Persons registers
• Individuals banned or disqualified from:
  • Managing corporations (directors and officers)
  • Providing financial services or credit
  • Acting as an auditor or SMSF professional
• Key information where a match is found, including where available:
  • Individual’s name and any matching details
  • Type of banning or disqualification
  • Relevant legislation or enforcement action
  • Start and (if available) end date of the disqualification
  • Any summary information published by ASIC
• A “no record found” confirmation where no match is located

Who should order this check?

This check is ideal for organisations who need to be confident that key people are not banned or disqualified by ASIC, including:

• Board and committee appointments
• Senior executives and responsible managers
• Authorised representatives and AFSL / ACL roles
• Compliance, risk and governance positions
• Professional roles involved in managing client funds or advice

How it works

1. Place your order: Add this product to cart and complete checkout.
2. Provide details: We’ll ask for the individual’s full name and other identifying details to ensure an accurate search.
3. Search & verification: Worker Checks searches the relevant ASIC banned and disqualified registers.
4. Your report: You receive a Worker Checks branded report confirming whether the person appears on the ASIC banned / disqualified lists, and any available detail of the disqualification.

Turnaround time

Most ASIC Banned & Disqualified Persons checks are completed rapidly after we receive the required information. If additional clarification is required (e.g. similar names), we will contact you.

What you receive

• Worker Checks PDF report for your records
• Clear statement of whether a matching banned / disqualified record is found
• Details of any match, including type of action and relevant dates, where published by ASIC
• Reference to the underlying ASIC source used for the search

Combining with other checks

For higher-risk or regulated roles, we recommend combining this product with:

• Bankruptcy Check (National Personal Insolvency Index)
• National Police Check (ACIC accredited)
• Other Worker Checks products relevant to your industry

Important information & limitations

• This check is based on public information published by ASIC at the time of the search.
• The report is intended to support your own risk and suitability assessment and is not legal advice.
• Results are point-in-time. Individuals may subsequently become banned or disqualified after the date of your check.
• You must have a lawful and informed consent from the individual where required under privacy and workplace laws.

If you need help choosing the right combination of checks for a role, please contact Worker Checks and our team can guide you.