Banned and disqualified persons registers

ASIC keeps public registers of people it, or a court, has barred from parts of the financial system: directors disqualified from managing corporations, and representatives banned from providing financial services. Checking these registers is a routine step in director onboarding, adviser recruitment and AML/CTF customer due diligence, because a person who appears on them cannot lawfully act in the role while the ban is in force, and any company that lets them do so is itself exposed. The registers are searchable by family name, and a full extract gives the ban's type, duration, appeal status and any exceptions the order allows.

The registers

The DD, BS and BF registers are browsable and extractable through GET /v1/registers/{register}/entries. The FX register appears as a licence role on a person extract (the person licence and register roles table) rather than as a browsable register, so a people search followed by a person extract is the way to find current financial services bans.

Ban types

Bans on the BS and BF registers carry a licence ban type from the licence ban types table that says which activities the person is barred from:

A disqualification on the DD register has no ban type; it is a single prohibition on managing corporations, which covers acting as a director or secretary, participating in decisions affecting a substantial part of the business, exercising significant capacity to affect the company's financial standing, or giving instructions that directors are accustomed to follow.

Duration, permanence and appeals

Every ban has a start date. A time-limited ban has an end date, after which the person may act again without further action. A permanent ban has permanent: true and a null end date. The underAppeal flag is true when the person has lodged an appeal against the banning order, for example to the Administrative Review Tribunal or a court; a ban under appeal remains in force unless a stay has been granted, so treat it as current.

Exceptions

A court disqualifying a director, or ASIC banning a representative, can carve out exceptions. A disqualified person may be given leave to remain a director of one named family company, or a banned representative may be permitted to provide a narrow class of service. ASIC records the exception wording, and the API returns it as up to five lines of text in exceptions[]. Read the exceptions before concluding that a role is prohibited.

Addresses and documents

Address and document details are provided for the disqualified directors register only. A DD extract includes the person's last recorded address and a list of the documents that record the disqualification, newest first: court orders, ASIC notices under section 206F and related lodgements, each with its document number, form code, page count and description. These documents can be ordered as images through the document image order flow, which is how you obtain the court order itself. BS and BF extracts carry neither an address nor documents.

Disclaimer

Every extract has a disclaimer flag. When it is true ASIC requires this text to be shown:

There are documents recorded as received by the Commission that may affect the contents of the Commission's registers in relation to the above person or organisation that are unprocessed as at the stated date of this extract.

Browsing

Browse by family name prefix of at least two characters. name=SM returns every entry whose family name starts with SM. Results are registerEntry summaries carrying the ASIC identifier, name, ban start and end dates, underAppeal, and for DD an address and the document number of the disqualification. Browsing is free.

curl "https://api.asicapi.dev/v1/registers/DD/entries?name=NGUYEN" \
  -H "Authorization: Bearer $ASICAPI_KEY"

Purchasing and reading an extract

The full entry is a purchased register extract. Buy it with POST /v1/registers/{register}/entries/{number}/extracts (product register_extract); the response is the complete extract with HTTP 201 and an ext_ id, retained for 12 months. GET /v1/registers/{register}/entries/{number} then reads it for free, with an extract reference on the response, and returns extract_required (HTTP 402) if you hold no extract for that entry.

curl -X POST https://api.asicapi.dev/v1/registers/DD/entries/023456789/extracts \
  -H "Authorization: Bearer $ASICAPI_KEY" \
  -H "Content-Type: application/json" \
  -d '{}'

{
  "object": "extract",
  "id": "ext_01J9J6B2F8R4T1",
  "kind": "register",
  "type": "current",
  "subject": { "register": { "code": "DD", "label": "Disqualified directors" }, "number": "023456789" },
  "purchasedAt": "2026-09-04T04:20:05Z",
  "asOf": "2026-09-04T04:20:03Z",
  "expiresAt": "2027-09-04T04:20:05Z",
  "disclaimer": "This extract contains information derived from the Australian Securities and Investments Commission's (ASIC) database under section 1274A of the Corporations Act 2001. Please advise ASIC of any error which you may identify.",
  "person": {
    "asicIdentifier": "023456789",
    "name": { "familyName": "NGUYEN", "givenNames": ["DAVID", "MINH"], "formatted": "DAVID MINH NGUYEN" },
    "disclaimer": false
  },
  "meta": { "billable": true, "product": "register_extract", "requestId": "req_01J9J6C3D5Q8S2" }
}

The purchase response also carries the address, bans and documents keys exactly as they appear in the read response below.

curl https://api.asicapi.dev/v1/registers/DD/entries/023456789 \
  -H "Authorization: Bearer $ASICAPI_KEY"

{
  "object": "registerEntry",
  "register": { "code": "DD", "label": "Disqualified directors" },
  "number": "023456789",
  "person": {
    "asicIdentifier": "023456789",
    "name": { "familyName": "NGUYEN", "givenNames": ["DAVID", "MINH"], "formatted": "DAVID MINH NGUYEN" },
    "disclaimer": false
  },
  "address": { "careOf": null, "line1": null, "street": "8 HARBOUR VIEW ROAD", "locality": "MOSMAN", "state": "NSW", "postcode": "2088", "country": "AUSTRALIA" },
  "bans": [
    {
      "type": null,
      "from": "2024-02-19",
      "to": "2029-02-18",
      "permanent": false,
      "underAppeal": false,
      "exceptions": [
        "The disqualified person may continue to act as a director of NGUYEN FAMILY INVESTMENTS PTY LTD ACN 004 249 987 for the purpose of managing the company's passive investments."
      ]
    }
  ],
  "documents": [
    {
      "object": "document",
      "documentNumber": "7E7654321",
      "formCode": "5601",
      "formDescription": "Notice of disqualification from managing corporations",
      "subForms": [],
      "receivedAt": "2024-02-19",
      "processedAt": "2024-02-20",
      "effectiveAt": "2024-02-19",
      "qualifier": null,
      "pageCount": 5,
      "imaged": true,
      "underRequisition": false,
      "xbrlAvailable": false,
      "xbrlDocumentNumber": null,
      "status": null,
      "priced": true
    }
  ],
  "extract": { "id": "ext_01J9J6B2F8R4T1", "type": "current", "purchasedAt": "2026-09-04T04:20:05Z", "asOf": "2026-09-04T04:20:03Z" },
  "meta": { "billable": false, "product": null, "requestId": "req_01J9J6D4E6R9T3" }
}

Weekly summary of disqualified directors

ASIC publishes a weekly list of people newly disqualified from managing corporations. Purchase it with POST /v1/weekly-summaries using "type": "disqualified-directors" and a weekStarting Monday, then read the resulting extract as often as you need. Each item has sub-type DISQ, the person's name and birth details as subject, the notifying document number and a postcode. Monitoring this feed lets you flag an existing director the week their disqualification is recorded rather than at the next periodic review.

Cross-checking a director against the register