ASIC: Australian Securities and Investments Commission

Australia’s corporate, markets and financial services regulator. Firms providing financial services to Australian retail clients are generally expected to hold an Australian Financial Services (AFS) licence or act as an authorised representative of a licensee.

Jurisdiction: Australia. The register is the primary place to confirm an entity’s current status and permissions; this guide does not certify a broker or account.

Australian Financial Services licence (AFSL)

Generally covers dealing in, and advising on, financial products. The licence conditions define which products and client types are covered.

Authorised representative

A firm or person acting under another licensee’s AFSL. Check which licensee they represent and whether that licence covers the activity.

General description only. It does not imply that any particular broker holds any of these authorisations.

1. 1Find the exact legal entity name in the provider’s client agreement or footer, not just the brand name.
2. 2Search ASIC’s professional registers via the official website for that entity or AFSL number.
3. 3Confirm the licence status is current and read the licence conditions for product and client coverage.
4. 4Check that the website’s contact details and domain match those recorded on the register.

• Exact legal entity name and licence or registration number.
• Current licence or registration status and authorised activities.
• Retail or wholesale permissions where the register distinguishes them.
• Registered website, contact details and any authorised-representative relationship.

A licence belonging to one group entity does not automatically apply to every client, country, website or product offered under the same brand. Confirm the contracting entity and whether the listed permissions cover your client type and activity.

For a practical search sequence, read how to check if a broker is regulated and how to read a register entry.