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Australian Financial Regulatory Check
Multi-industry
What the check is?
Identifies whether a candidate is or has been banned, disqualified, or sanctioned by financial regulators such as ASIC or APRA.
What the value is?
Confirms whether a candidate is licensed or restricted under Australian financial regulations.
What does it check?
ASIC, APRA and other regulatory registers for licensing, restrictions or disciplinary actions.
Why do you do it?
Protects your organisation from compliance risk and reputational damage by ensuring you’re not hiring individuals barred from financial practice or subject to regulatory penalties.
How often does it need to be checked?
Typically pre-employment; in regulated environments, re-checked periodically (often annually or aligned with audits).
Is this industry specific? If yes, what industries?
Banking and financial services; insurance; superannuation; fintech; audit and accounting; legal and compliance functions.
Risk of not doing it?
Hiring without this check could result in compliance breaches and reputational damage if the candidate is not properly authorised.
