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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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
- GRATION, DAMIAN LAWRENCEASIC records a director disqualification for GRATION, DAMIAN LAWRENCE. The published period runs from 23 Jan 2008 to 23 Jan 2013. This source entry is excluded from current screening matches.PersonASIC Banned and Disqualified Persons
- OGILVIE, PAULASIC records a director disqualification for OGILVIE, PAUL. The published period runs from 24 Jul 2014 to 24 Jan 2016. This source entry is excluded from current screening matches.PersonASIC Banned and Disqualified Persons
- LUPLAU, DESMOND WINTONASIC records a financial-services restriction for LUPLAU, DESMOND WINTON. The published period runs from 17 May 2018 to 16 May 2023. This source entry is excluded from current screening matches.PersonASIC Banned and Disqualified Persons
- WILLIAMSON, WAYNE THOMASASIC records a director disqualification for WILLIAMSON, WAYNE THOMAS. The published period runs from 5 Jul 2023 to 4 Jan 2027.PersonASIC Banned and Disqualified Persons
- FARRELLY, JAIMEASIC records a director disqualification for FARRELLY, JAIME. The published period runs from 24 Oct 2023 to 23 Oct 2025. This source entry is excluded from current screening matches.PersonASIC Banned and Disqualified Persons
- DHAMI, RAJINDER SINGHASIC records a director disqualification for DHAMI, RAJINDER SINGH. The published period runs from 22 Jul 2009 to 21 Jul 2014. This source entry is excluded from current screening matches.PersonASIC Banned and Disqualified Persons
- BLAIKIE, WALTER WILLIAM DENNISASIC records a director disqualification for BLAIKIE, WALTER WILLIAM DENNIS. The published period runs from 29 Nov 2011 to 28 Nov 2016. This source entry is excluded from current screening matches.PersonASIC Banned and Disqualified Persons
- NIVEN, SEAN COLVILLEASIC records a credit restriction for NIVEN, SEAN COLVILLE. The source gives 17 Feb 2023 as the start date.PersonASIC Banned and Disqualified Persons
- ZAPPIA, MARK NICHOLASASIC records a director disqualification for ZAPPIA, MARK NICHOLAS. The published period runs from 7 Jul 2025 to 6 Jul 2030.PersonASIC Banned and Disqualified Persons
- GINNS, ALAN FRANCISASIC records a director disqualification for GINNS, ALAN FRANCIS. The published period runs from 11 Nov 2008 to 10 Nov 2010. This source entry is excluded from current screening matches.PersonASIC Banned and Disqualified Persons
- PLEIKSNA, VERNERS ZIGMAR FILIPSASIC records a director disqualification for PLEIKSNA, VERNERS ZIGMAR FILIPS. The published period runs from 4 Nov 1999 to 4 Nov 2002. This source entry is excluded from current screening matches.PersonASIC Banned and Disqualified Persons
- PLEIKSNA, VERNERS ZIGMAR FILIPSASIC records a securities restriction for PLEIKSNA, VERNERS ZIGMAR FILIPS. The source gives 20 Apr 1999 as the start date.PersonASIC Banned and Disqualified Persons
- QUIROGA, CARLOS ALBERTOASIC records a director disqualification for QUIROGA, CARLOS ALBERTO. The published period runs from 22 Jun 2007 to 22 Jun 2008. This source entry is excluded from current screening matches.PersonASIC Banned and Disqualified Persons
- HODGETTS, MARTIN ROBERTASIC records a financial-services restriction for HODGETTS, MARTIN ROBERT. The source gives 3 Aug 2015 as the start date.PersonASIC Banned and Disqualified Persons
- KEMP, JAMESASIC records a director disqualification for KEMP, JAMES. The published period runs from 19 Nov 1987 to 19 Nov 1992. This source entry is excluded from current screening matches.PersonASIC Banned and Disqualified Persons
- ROGERS, JILLASIC records a financial-services restriction for ROGERS, JILL. The published period runs from 30 Aug 2016 to 29 Aug 2018. This source entry is excluded from current screening matches.PersonASIC Banned and Disqualified Persons
- RICE, MALCOLM JOHNASIC records a director disqualification for RICE, MALCOLM JOHN. The published period runs from 10 May 1998 to 10 May 1999. This source entry is excluded from current screening matches.PersonASIC Banned and Disqualified Persons
- HARRISON, JAMES LEEASIC records a director disqualification for HARRISON, JAMES LEE. The published period runs from 2 Apr 2017 to 1 Apr 2020. This source entry is excluded from current screening matches.PersonASIC Banned and Disqualified Persons
- ECKFORD, OLIVIA THERESEASIC records a director disqualification for ECKFORD, OLIVIA THERESE. The published period runs from 20 Dec 2014 to 19 Dec 2017. This source entry is excluded from current screening matches.PersonASIC Banned and Disqualified Persons
- LAPSLEY, GRAEME LAURANCEASIC records a SMSF auditor disqualification for LAPSLEY, GRAEME LAURANCE. The source gives 23 Feb 2009 as the start date.PersonASIC Banned and Disqualified Persons
- PLUMLEY, NERELLE LEIGHASIC records a director disqualification for PLUMLEY, NERELLE LEIGH. The published period runs from 18 Mar 1998 to 18 Mar 1999. This source entry is excluded from current screening matches.PersonASIC Banned and Disqualified Persons
- RITCHIE, PAUL LEONARDASIC records a director disqualification for RITCHIE, PAUL LEONARD. The published period runs from 16 Jul 2011 to 15 Jul 2013. This source entry is excluded from current screening matches.PersonASIC Banned and Disqualified Persons
- HOWARTH, PETER MICHAELASIC records a director disqualification for HOWARTH, PETER MICHAEL. The published period runs from 17 Aug 1988 to 17 Aug 1993. This source entry is excluded from current screening matches.PersonASIC Banned and Disqualified Persons
- COLES, RONALDASIC records a director disqualification for COLES, RONALD. The published period runs from 26 Oct 2012 to 25 Oct 2017. This source entry is excluded from current screening matches.PersonASIC Banned and Disqualified Persons
- DE CARLI, JOHNASIC records a director disqualification for DE CARLI, JOHN. The published period runs from 29 Sep 2017 to 28 Mar 2020. This source entry is excluded from current screening matches.PersonASIC Banned and Disqualified Persons
- YOUNG, WILLIAM EDWARDASIC records a director disqualification for YOUNG, WILLIAM EDWARD. The published period runs from 9 Jul 1989 to 9 Jul 1991. This source entry is excluded from current screening matches.PersonASIC Banned and Disqualified Persons
- ILIOSKI, ANNIEASIC records a director disqualification for ILIOSKI, ANNIE. The published period runs from 23 May 1995 to 23 Nov 1997. This source entry is excluded from current screening matches.PersonASIC Banned and Disqualified Persons
- FIELD, LINDSAY WILLIAMASIC records a director disqualification for FIELD, LINDSAY WILLIAM. The published period runs from 30 Jun 2006 to 30 Jun 2009. This source entry is excluded from current screening matches.PersonASIC Banned and Disqualified Persons
- WARDLAW, RICHARD GEOFFREY LAKEASIC records a financial-services restriction for WARDLAW, RICHARD GEOFFREY LAKE. The published period runs from 23 May 2008 to 23 May 2013. This source entry is excluded from current screening matches.PersonASIC Banned and Disqualified Persons
- CACCIOLA, DAVID JAMESASIC records a credit restriction for CACCIOLA, DAVID JAMES. The published period runs from 25 Aug 2014 to 25 Aug 2023. 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.