ASIC Banned & Disqualified Persons Check

Screen a list of names and companies against ASIC's Banned and Disqualified Persons register and Banned and Disqualified Organisations register — the official Australian Securities and Investments Commission records of people banned from providing financial services, disqualified from managing corporations, banned under the credit legislation, or disqualified as an SMSF auditor.

Feed it a batch of candidates, directors, responsible managers, authorised representatives or supplier companies. Get back one result per name, with every matching register entry labelled current or expired, plus the ban type, the ASIC document number, the start and end dates, the recorded locality, and ASIC's own comments.

It also screens the same names against the ASIC Court Enforceable Undertakings Register (498 undertakings accepted since 1998) and the APRA Disqualified Individuals Register (178 individuals disqualified from roles in APRA-regulated banks, insurers and superannuation funds) — so a person who carries an undertaking or an APRA disqualification but no ASIC ban is flagged rather than returned clear.

Background-screening vendors sell this exact lookup one name at a time — CVCheck at AU$36.18 per name, WorkerChecks at AU$49.00 per name, and Equifax fit2work and Checkmate as named check types. CVCheck's "Australia: Financial Regulatory" check covers all three of these register families; so does this Actor, over a whole list, for a fraction of one name's price.

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Three registers, one screen

Register	Records	What a match means
ASIC Banned & Disqualified Persons / Organisations	~7,200	A ban or disqualification, labelled current or expired
ASIC Court Enforceable Undertakings	498	A binding agreement given to ASIC. The register records no expiry, so isInForce is null, never guessed
APRA Disqualified Individuals	178	Disqualification from an APRA-regulated role, labelled in force, expired or revoked

hasCurrentBan keeps its original meaning — a current ASIC ban — so existing integrations are unaffected. The new headline field is hasAdverseFinding: true if there is a current ASIC ban, an enforceable undertaking, or an APRA disqualification still in force.

The two ASIC/APRA register pages are HTML, not open-data files, so each is checked on every run against its expected columns and record count. If a page has been restructured or is unreachable, that register is dropped and the result says so — sourcesUnavailable names it, requiresManualVerification becomes true, and the guidance text spells out which register was not screened. A partial answer that admits it is partial; never a quiet "no match".

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What it does that a plain name search does not

1. It tells you whether the ban is still in force.

This is the thing that matters, and it is the thing a naive name match gets wrong. ASIC's register is historical, not current-only: of the 7,202 person records in the July 2026 release, 5,251 — 73% — are bans that have already ended. The very first row in the file is a securities banning that expired in 1999. Report that as a hit and you have just failed a candidate over a twenty-seven-year-old spent order.

Every match here carries a banStatus:

banStatus	Meaning
in_force	End date recorded, still in the future
no_end_date	ASIC records no end date for this ban
expired	End date recorded, already passed

and an isCurrent boolean, and each result counts currentBanMatchCount against expiredBanMatchCount so you can route only the live ones for review.

A blank end date is reported as current — 1,234 person records have one, and blank means ASIC recorded no expiry rather than that the data is missing. Where ASIC writes the words itself, as with the organisations register's literal Permanent banning, that text is passed straight through in banEndDateRaw rather than being reinterpreted.

2. It does not overclaim on identity.

The persons register has no date of birth and no identifier of any kind — just an uppercase SURNAME, GIVEN NAMES string. ASIC's own help file states:

There may be multiple instances of identical or similar names in the dataset, with slight differences in address, place of birth, and other details. The data is recorded as it was reported to ASIC and we cannot confirm if these similar records are/are not the same person.

So a person match is reported as a possible match, always, with requiresManualVerification: true and a link to ASIC Connect. The only identifier-grade result this Actor will assert is an ACN match against the organisations register, because an ACN uniquely identifies a company. Matches are graded so you can triage them:

acn_exact › organisation_exact › name_exact › name_partial › organisation_fuzzy › name_fuzzy › surname_only

3. It survives ASIC's release cycle.

The download filename embeds the release month (bd_per_202607.csv), so any hardcoded URL breaks at the next publication. This Actor resolves the current resource through the data.gov.au CKAN API on every run, sniffs the delimiter from the header rather than trusting the file extension (the persons .csv is comma-separated, the organisations .csv is genuinely tab-separated), checks the column names, and fails the run loudly if the register looks truncated or frozen. It will never quietly report "no bans found" because the source was unreachable.

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Input

{
  "records": [
    { "referenceId": "CAND-001", "firstName": "Bruce", "middleName": "Ronald", "lastName": "Clark" },
    { "referenceId": "CAND-002", "fullName": "Jane Example" },
    { "referenceId": "SUPPLIER-88", "organisationName": "M.A.I Pacific Pty Ltd", "acn": "095 393 007" }
  ],
  "banStatusFilter": "all",
  "fuzzyThreshold": 0.85
}

Field	Notes
firstName, middleName, lastName	Preferred for individuals
fullName	Accepted as an alternative; both SURNAME, GIVEN NAMES and Given Names Surname are understood, and the reading used is echoed back in nameInterpretation
organisationName	Legal suffixes (Pty Ltd) are ignored for scoring, so the trading name alone still matches
acn	Nine digits, spaces and hyphens fine. An eleven-digit ABN is rejected rather than silently truncated
referenceId	Any extra fields you include are echoed back with the result
banStatusFilter	all (default), current, or expired
fuzzyThreshold	0–1, default 0.85

Output

One dataset item per input record:

{
  "referenceId": "CAND-001",
  "matchCount": 1,
  "currentBanMatchCount": 1,
  "expiredBanMatchCount": 0,
  "highestConfidence": "name_exact",
  "hasCurrentBan": true,
  "identifierGradeMatch": false,
  "requiresManualVerification": true,
  "guidance": "POSSIBLE match on name only. This register carries no date of birth ...",
  "matches": [
    {
      "register": "Banned and Disqualified Persons",
      "entityType": "person",
      "matchedName": "CLARK, BRUCE RONALD",
      "matchType": "name_exact",
      "matchScore": 1.0,
      "banType": "Disq. Director",
      "documentNumber": "000087047",
      "banStartDate": "1987-10-29",
      "banEndDate": "",
      "banEndDateRaw": "",
      "banStatus": "no_end_date",
      "isCurrent": true,
      "locality": "GISBORNE",
      "state": "VIC",
      "postcode": "3437",
      "country": "AUSTRALIA",
      "comments": null,
      "verifyAt": "https://connectonline.asic.gov.au/RegistrySearch/"
    }
  ],
  "registerAsAt": { "personRecordCount": 7202, "organisationRecordCount": 15, "newestBanStartDate": "2026-07-17" }
}

Organisation matches additionally carry acn and, where ASIC publishes one, a noticeUrl pointing at the PDF of the banning order itself.

Ban types covered

From ASIC's data dictionary: AFS Banned & Disqualified (s922A(2) Corporations Act), Disq. Director (s1274AA), Credit Banned & Disqualified (Part 2-4 NCCP Act), Disqualified SMSF (s130F SIS Act), and the historical Banned Securities and Banned Futures representative registers.

What this does NOT cover

Stated plainly, because a screening tool that implies coverage it does not have is worse than no tool:

• APRA's Enforceable Undertakings register — APRA publishes undertakings separately from its disqualifications; the disqualifications are covered (below), the undertakings are not.
• ASIC's banned-credit-activity and banned-bodies-corporate sub-registers — separate ASIC registers, not included.
• Real-time data. ASIC publishes weekly. Each result carries registerAsAt.personsPublishedAt so you always know the vintage you screened against.
• An identity determination on a person. There is no date of birth in the source. Confirm any hit at ASIC Connect before taking action that affects someone.

Source and licence

Australian Securities and Investments Commission — Banned and Disqualified Persons Dataset and Banned and Disqualified Organisations Dataset, published on data.gov.au under CC BY 3.0 AU. Public data, redistributed with attribution. This Actor is not affiliated with or endorsed by ASIC.