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COMPLIANCE VERIFICATIONS

ASIC Financial Regulatory Screen

Before someone joins your board, your advice team or your credit business, make sure they aren’t banned, disqualified or restricted. The registers aren’t linked, so we search each one separately and record a result for each.

Five registers, one request

Directors in any industry

Monthly alerts on monitored plans

Who are you ordering a verification for today?

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ASIC Financial Regulatory Screen

$19.95

including GST per verification, paid on order.

Before someone joins your board, your advice team or your credit business, make sure they aren’t banned, disqualified or restricted. The registers aren’t linked, so we search each one separately and record a result for each.

Start ordering verifications

With Kinatico, you get

  • Clear, not listed on any register searched.
  • A match found, banned or disqualified, with the register named and the nature, date and status of the listing.

Organisations require a Kinatico Compliance account.

How it works

What you’ll need

What you get back  

  • Clear, not listed on any register searched. 

  • A match found, banned or disqualified, with the register named and the nature, date and status of the listing. 

The five registers searched 

  • Corporate disqualification. Confirms the person isn’t disqualified from managing a corporation. Disqualification is automatic for undischarged bankrupts and for people convicted of certain offences, including dishonesty offences. A court can disqualify a person for any period it considers appropriate, and ASIC can disqualify for up to five years. 

  • Financial services banning and disqualification. Confirms the person isn’t banned from providing financial services. It applies to licensees, authorised representatives, financial advisers and others in financial services roles. 

  • Credit banning and disqualification. Confirms the person isn’t banned from engaging in credit activities. It applies to credit licensees, credit representatives and mortgage brokers. 

  • Prudential disqualification. Confirms the person isn’t disqualified from a prudentially significant role in a bank, insurer, superannuation fund or other entity regulated by the Australian Prudential Regulation Authority. 

  • Enforceable undertakings. Confirms the person hasn’t entered into an enforceable undertaking with the Australian Prudential Regulation Authority. 

One request instead of five lookups 

Searching the registers yourself means five separate lookups and five records to keep. This returns one outcome, with the detail of each register. 

It isn’t only for financial services. Corporate disqualification applies to directors, company secretaries and senior officers in any industry. 

Where there’s a match, it comes back with the register it was found on, the nature of the listing, the date and the current status. On our monitored plans, we monitor the registers every month and alert you to a new banning or disqualification. On the Verified plan, it’s a point-in-time verification you can re-run whenever you choose. 

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Need to keep track after the verification?

Registers change. On the monitored plans, Kinatico Compliance monitors them every month and keeps a dated record. 

Frequently asked questions 

  • Corporate disqualification, financial services banning and disqualification, credit banning and disqualification, prudential disqualification, and enforceable undertakings. 

  • No. Corporate disqualification applies to directors, company secretaries and senior officers in every industry. 

  • This one confirms someone isn’t on a banning or disqualification register. The ASIC Professional Register Screen confirms someone is on the professional register for their role. Use both for the full picture. 

  • On our monitored plans, we monitor the registers every month and alert you to a new banning or disqualification. On the Verified plan, it’s a point-in-time verification you can re-run whenever you choose.