ASIC Banned and Disqualified Persons
People listed in ASIC’s weekly snapshot of corporate, financial-service, credit, securities, futures and SMSF-auditor bans or disqualifications.
Source availability
Available for screening
7,227 source records are available in the current dataset.
Records can overlap across lists; this is not a count of unique people or organizations.
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- Our refresh schedule
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Data overview
ASIC Banned and Disqualified Persons is published by Australian Securities and Investments Commission.
The available version contains 7,227 source records before any name search.
The entity-type breakdown is 7,227 people.
- Source records
- 7,227
- Publicly browsable records
- 7,227
- Entity types present
- 1
Record types and how to read these counts
Records by entity type
- People
- 7,227
- Other / unspecified
- 0
What these numbers mean
Counts describe this source’s current available records, before any name search. Records can overlap within and across lists. They are not counts of unique entities.
Publicly browsable records are the portion available in the public directory. A record’s presence does not by itself establish an active sanction.
Organizations include companies and other bodies. Other / unspecified means the source record has no more specific supported type.
What this source covers
Records retain each distinct published row and its order-document reference. Similar names and repeated document references are not assumed to identify the same person. These are role-specific regulatory restrictions, not asset freezes. Historical entries and restrictions subject to permissions or review remain visible with their stated scope.
Read the individual ASIC order
Review ASIC’s original register and order. Source comments can be truncated and can describe stays, replaced decisions, revocations or limited permissions. Unknown or unresolved comment scope, conflicting end dates and invalid periods are excluded from current matching and retained for reference. A missing end date does not establish permanence. Rows with unqualified publication-restriction or publication-stay wording remain only in the private original artifact. Corrections change content-fingerprint record URLs.
- Identify the order type and official reference.
- Read the start, end and any variation or cancellation.
- Distinguish the person’s identity from the activities restricted by each order.
Public source records
- BABBAGE, MARK CHRISTOPERASIC records a credit restriction for BABBAGE, MARK CHRISTOPER. The published period runs from 11 Mar 2022 to 10 Mar 2028.PersonASIC Banned and Disqualified Persons
- LIN, WENJIANGASIC records a director disqualification for LIN, WENJIANG. The published period runs from 18 Jun 2017 to 17 Jun 2019. This source entry is excluded from current screening matches.PersonASIC Banned and Disqualified Persons
- RAFTERY, SIMON JOHNASIC records a director disqualification for RAFTERY, SIMON JOHN. The published period runs from 4 Jul 2025 to 3 Jan 2028.PersonASIC Banned and Disqualified Persons
- PICKERING, JULIE MAYASIC records a director disqualification for PICKERING, JULIE MAY. The published period runs from 24 Apr 2020 to 23 Apr 2022. This source entry is excluded from current screening matches.PersonASIC Banned and Disqualified Persons
- HAWKINS, DAVID CHARLESASIC records a director disqualification for HAWKINS, DAVID CHARLES. The published period runs from 23 Aug 2010 to 22 Aug 2014. This source entry is excluded from current screening matches.PersonASIC Banned and Disqualified Persons
- LUPIS, DOMENICOASIC records a financial-services restriction for LUPIS, DOMENICO. The source gives 17 Sep 2026 as the start date.PersonASIC Banned and Disqualified Persons
- HICKMAN, SHAUNASIC records a financial-services restriction for HICKMAN, SHAUN. The published period runs from 30 Jul 2015 to 29 Jul 2021. This source entry is excluded from current screening matches.PersonASIC Banned and Disqualified Persons
- COLLINS, PETER JOHNASIC records a financial-services restriction for COLLINS, PETER JOHN. The published period runs from 18 Oct 2023 to 17 Oct 2031.PersonASIC Banned and Disqualified Persons
- LUFF, CHRISTOPHERASIC records a financial-services restriction for LUFF, CHRISTOPHER. The published period runs from 9 Apr 2024 to 8 Apr 2029.PersonASIC Banned and Disqualified Persons
- PEARSON, CYRIL JOHNASIC records a securities restriction for PEARSON, CYRIL JOHN. The published period runs from 12 Sep 1995 to 5 Jul 1998. This source entry is excluded from current screening matches.PersonASIC Banned and Disqualified Persons
- DUIN, PAUL EMMERICHASIC records a director disqualification for DUIN, PAUL EMMERICH. The published period runs from 9 Sep 2010 to 8 Jun 2013. This source entry is excluded from current screening matches.PersonASIC Banned and Disqualified Persons
- HORNER, DARREN CHARLESASIC records a securities restriction for HORNER, DARREN CHARLES. The published period runs from 4 Aug 2003 to 4 Aug 2006. This source entry is excluded from current screening matches.PersonASIC Banned and Disqualified Persons
- ZIVANOVIC, LUBOASIC records a director disqualification for ZIVANOVIC, LUBO. The published period runs from 19 Feb 2016 to 18 Feb 2019. This source entry is excluded from current screening matches.PersonASIC Banned and Disqualified Persons
- TOYODA, JUNASIC records a director disqualification for TOYODA, JUN. The published period runs from 20 Jul 2023 to 19 Jul 2026. This source entry is excluded from current screening matches.PersonASIC Banned and Disqualified Persons
- CARCALLAS, PAULASIC records a financial-services restriction for CARCALLAS, PAUL. The published period runs from 13 Dec 2022 to 12 Dec 2032.PersonASIC Banned and Disqualified Persons
- TREVILLIAN, BRETT PAULASIC records a financial-services restriction for TREVILLIAN, BRETT PAUL. The source gives 18 Aug 2025 as the start date.PersonASIC Banned and Disqualified Persons
- TAPIO, YUPAPORNASIC records a director disqualification for TAPIO, YUPAPORN. The published period runs from 28 Sep 1994 to 27 Sep 1996. This source entry is excluded from current screening matches.PersonASIC Banned and Disqualified Persons
- BUTLER, LUKE NORMANASIC records a director disqualification for BUTLER, LUKE NORMAN. The published period runs from 7 Jun 2005 to 7 Jun 2008. This source entry is excluded from current screening matches.PersonASIC Banned and Disqualified Persons
- NOONAN, DANIEL JOSEPHASIC records a financial-services restriction for NOONAN, DANIEL JOSEPH. The source gives 15 Aug 2017 as the start date.PersonASIC Banned and Disqualified Persons
- HATZINIKOLAOU, CHRISTOSASIC records a director disqualification for HATZINIKOLAOU, CHRISTOS. The published period runs from 3 Aug 2010 to 2 Aug 2013. This source entry is excluded from current screening matches.PersonASIC Banned and Disqualified Persons
- GEANEY, JOHN JOSEPHASIC records a director disqualification for GEANEY, JOHN JOSEPH. The published period runs from 17 May 2014 to 16 May 2015. This source entry is excluded from current screening matches.PersonASIC Banned and Disqualified Persons
- ORLANDO, VINCENT FELICEASIC records a director disqualification for ORLANDO, VINCENT FELICE. The published period runs from 22 Oct 2022 to 21 Oct 2025. This source entry is excluded from current screening matches.PersonASIC Banned and Disqualified Persons
- RODWELL, BRENDANASIC records a financial-services restriction for RODWELL, BRENDAN. The published period runs from 23 Oct 2025 to 22 Oct 2027.PersonASIC Banned and Disqualified Persons
- LEIS, ANNE CATHERINEASIC records a director disqualification for LEIS, ANNE CATHERINE. The published period runs from 13 Jun 1991 to 13 Jun 1996. This source entry is excluded from current screening matches.PersonASIC Banned and Disqualified Persons
- MALEY, ADAM CHRISTOPHERASIC records a director disqualification for MALEY, ADAM CHRISTOPHER. The published period runs from 17 Jan 2014 to 16 Jan 2016. This source entry is excluded from current screening matches.PersonASIC Banned and Disqualified Persons
- SPARK, PHILLIP GREGORYASIC records a financial-services restriction for SPARK, PHILLIP GREGORY. The source gives 12 Mar 2014 as the start date.PersonASIC Banned and Disqualified Persons
- BHINDER, RAGHUHIT SINGHASIC records a director disqualification for BHINDER, RAGHUHIT SINGH. The published period runs from 6 May 2012 to 5 May 2013. This source entry is excluded from current screening matches.PersonASIC Banned and Disqualified Persons
- VELLA, CHARLESASIC records a director disqualification for VELLA, CHARLES. The published period runs from 7 Jun 2007 to 7 Jun 2011. This source entry is excluded from current screening matches.PersonASIC Banned and Disqualified Persons
- BAKER, DAVID CHARLESASIC records a securities restriction for BAKER, DAVID CHARLES. The source gives 11 Dec 1991 as the start date.PersonASIC Banned and Disqualified Persons
- MATTHEWS, LARRY JAMESASIC records a director disqualification for MATTHEWS, LARRY JAMES. The published period runs from 10 Dec 2019 to 9 Dec 2024. This source entry is excluded from current screening matches.PersonASIC Banned and Disqualified Persons
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Questions about ASIC Banned and Disqualified Persons
Who publishes ASIC Banned and Disqualified Persons?
The catalog identifies Australian Securities and Investments Commission as the publisher in AU. Open the publisher reference. SanctionsKit’s source profile is separate from that publisher’s original records and notices.
Can I select ASIC Banned and Disqualified Persons for screening?
The current source snapshot marks ASIC Banned and Disqualified Persons as available for screening. Select its source ID, au-asic-banned-persons, when your policy requires it. Check availability again when you run a request. This status does not by itself grant public browsing or export rights.
Can I browse current ASIC Banned and Disqualified Persons records here?
Current public records from ASIC Banned and Disqualified Persons can be browsed here. The current source contains 7,227 records. This counts source records, not distinct people, companies or assets. An empty name search is not a completed screening check.
May I reuse or export ASIC Banned and Disqualified Persons records?
Access to ASIC Banned and Disqualified Persons does not grant every right to copy, export or redistribute it. Read the source reuse terms and the attribution notice for the version you use. A public record page or working screening integration is not an export permission. Follow the conditions that apply to your intended use.
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Source discovery reference: Original publishing authority, captured . Import and record counts above come from SanctionsKit.