Australia ASIC Financial Adviser Portfolio Status Monitor

Watch named ASIC Financial Advisers Register (FAR) adviser numbers against the official ASIC Financial Advisers Dataset published weekly on data.gov.au (CC BY 3.0 AU).

Who this is for: AFS licensee compliance managers watching their own and recruited advisers; superannuation trustees and platforms that check an adviser is still registered before deducting or paying advice fees; professional-indemnity insurers; product issuers and research houses with adviser distribution lists; accountant / mortgage-broker referral networks; and compliance consultants. The recurring job is the same each week: tell me when someone on my adviser list stops being registered, gets banned, fails CPD, or moves licensee.

Billable events (PPE asic-adviser-status-event-delivered @ $0.02):

Group	Event	Meaning
status	STATUS_CHANGED	Overall registration status changed (Registered / Not Registered / Prohibited)
status	DISCIPLINARY_ACTION_ADDED	New banning / disqualification / enforceable undertaking / FSCP action / registration prohibition or suspension order on the register
status	CPD_FAILURE_RECORDED	CPD failure year recorded against the adviser
licensee	AUTHORISATION_ADDED / AUTHORISATION_CEASED	Adviser gained or lost a current AFSL authorisation (licensee move)
licensee	AFSL_REGISTRATION_STATUS_CHANGED	Registration status under a current AFSL changed (e.g. Registered → Suspended)
directory	APPEARED / DROPPED	Number appeared on / disappeared from the published file
attributes (opt-in)	NAME_CHANGED / SUB_TYPE_CHANGED	Name or sub-type (e.g. Provisional → Financial Adviser) changed

Non-billable: RUN_STATUS (FIXTURE_HEALTH, MONITOR_IDLE, CATCHUP_COMPLETE, HEALTH_OK), first-run baselines, duplicates. Quiet books cost only the platform start fee.

Not a FAR dump billed per row (watchlist only). Not AFSL-level aggregate adviser-movement counts. Not a name-screening search tool.

Quick start

1. Replace the example adviserNumbers with your watchlist (e.g. 000222780; leading zeros optional).
2. Set sourceMode = live.
3. Save as an Actor Task and schedule weekly (ASIC republishes the dataset weekly) or daily.
4. First run vs later runs: run 1 baselines each adviser (no change events, no product charge). Run 2+ emits diffs against that checkpoint — keep the same Task.

Default sourceMode=fixture is a free health check (one non-billable RUN_STATUS row), not product data.

What you get per $0.02 event

One delivered unique change for a named adviser, with adviser name, overall registration status, current licensee(s), disciplinary actions, before/after values, as_of and the official source URL. Never charged: RUN_STATUS, baselines, quiet MONITOR_IDLE, invalid numbers, duplicates, fixture SAMPLE rows.

Example output (SAMPLE)

SAMPLE — illustrative field shape; not a real event:

{
  "adviser_number": "SAMPLE02",
  "adviser_name": "EXAMPLE ADVISER B (SAMPLE)",
  "event_type": "DISCIPLINARY_ACTION_ADDED",
  "event_subtype": "AFS banned/disqualification",
  "new_value": "AFS banned/disqualification | 2026-09-20 | ",
  "registration_status": "Prohibited",
  "billable": false,
  "sample": true,
  "summary": "SAMPLE (fixture demo data with placeholder entities, not a real event)"
}

Input

• adviserNumbers — FAR adviser numbers (aliases: advNumbers, farNumbers)
• sourceMode — fixture (free health check) | live (official ASIC dataset)
• signalGroups — directory, status, licensee, attributes (default: directory+status+licensee)

Source and honesty notes

• Official dataset: ASIC Financial Advisers Dataset (asic-financial-adviser on data.gov.au); the current file is resolved from package metadata each run (file names roll monthly).
• Durable key: ADV_NUMBER (~42,400 unique advisers; ~14,600 currently Registered). The file has one row per authorisation / disciplinary action; this Actor aggregates per adviser. Person-level fields (name, overall status, CPD failure year) were verified consistent across rows (0 conflicts, 2026-10-05).
• Cadence: ASIC weekly republish — not a real-time push. as_of = data.gov.au resource last-modified date.
• Attribution: Source: Australian Securities & Investments Commission (ASIC) Financial Advisers Dataset via data.gov.au, licensed CC BY 3.0 AU. This Actor is not affiliated with or endorsed by ASIC.

Pricing

Event	USD
asic-adviser-status-event-delivered	$0.02
apify-actor-start	$0.00005

Limitations

• Lag follows ASIC's weekly dataset publish; always confirm decisions on ASIC's own register (Moneysmart FAR search).
• Historic advisers with blank overall status (pre-2023 registration regime) are still tracked; status events only fire on change.
• The dataset covers relevant providers (financial advisers) only — not authorised representatives who are not advisers, credit representatives or licensees.