ASIC - Banned and Disqualified Persons Dataset

###Update April 2022###\r\n\r\nWe have replaced the .xlsx file resources for all our datasets. This was required due to the API and web page search functionality no longer being supported for .xlsx files on the Data.Gov platform.\r\n\r\n***\r\n###Dataset summary###\r\n\r\nASIC is Australia’s corporate, markets and financial services regulator. ASIC contributes to Australia’s economic reputation and wellbeing by ensuring that Australia's financial markets are fair and transparent, and supported by confident and informed investors and consumers.\r\n\r\nThe Banned and Disqualified Persons Dataset file on data.gov.au is extracted from ASIC's Banned and Disqualified Registers. This dataset is a point in time snapshot of the Banned and Disqualified Persons Register data.\r\nThe dataset provides information on persons that are:\r\n\r\n* disqualified from involvement in the management of a corporation\r\n* disqualified from auditing Self-Managed Superannuation Funds (SMSFs) and\r\n* banned from practising in the Australian Financial Services (AFS) or credit industry.\r\n\r\nIt also provides information about persons that have been:\r\n\r\n* banned from the AFS or credit industry and\r\n* banned from the credit industry by a state or territory.\r\n\r\nInformation provided in this search is taken from the following registers:\r\n\r\n* disqualified persons register\r\n* credit banned/disqualified persons register\r\n* AFS banned/disqualified persons register\r\n* banned securities representatives register (pre-AFS licences)\r\n* banned futures representatives register (pre-AFS licences).\r\n\r\nSelected data from the registers will be uploaded each month to www.data.gov.au. The data made available will be a snapshot of the register at a point in time. Legislation prescribes the type of information ASIC is allowed to disclose to the public.\r\n\r\nThere may be multiple instances of identical or similar names in the dataset, with slight differences in address, place of birth, and other details. The data is recorded as it was reported to ASIC and we cannot confirm if these similar records are/are not the same person. \r\n\r\nThe information in the downloadable dataset includes:\r\n\r\n* Register name\r\n* Banned and Disqualified Persons Name\r\n* Banned and Disqualified Persons Type\r\n* Banned and Disqualified Persons Document Number\r\n* Banned and Disqualified Persons Start Date\r\n* Banned and Disqualified Persons End Date\r\n* Banned and Disqualified Persons Address Locality\r\n* Banned and Disqualified Persons Address State\r\n* Banned and Disqualified Persons Address Post Code\r\n* Banned and Disqualified Persons Address Country\r\n* Banned and Disqualified Persons Comments\r\n\r\nAdditional information about Banned and Disqualified Persons can be found via [ASIC's website](http://www.asic.gov.au/ "ASIC website"). To view some information you may be charged a fee. \r\n\r\nMore information about searching [ASIC's registers](http://www.asic.gov.au/online-services/search-asics-registers/ "ASIC registers").

###2022年4月更新###

我们已替换所有数据集的.xlsx文件资源。此举系因Data.Gov平台不再支持.xlsx文件的API及网页搜索功能。

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###数据集概述###

澳大利亚证券和投资委员会（Australian Securities and Investments Commission，ASIC）是澳大利亚的公司、市场及金融服务监管机构。ASIC通过确保澳大利亚金融市场公平透明、拥有自信且知情的投资者与消费者，助力澳大利亚的经济声誉与经济福祉提升。

data.gov.au平台上的《被禁与取消资格人员数据集》提取自ASIC的被禁与取消资格登记册，该数据集为被禁与取消资格人员登记册的某一时间点快照。

本数据集提供以下人员的相关信息：

* 被取消参与公司管理资格的人员
* 被取消审计自我管理超级年金基金（Self-Managed Superannuation Funds，SMSFs）资格的人员
* 被禁止在澳大利亚金融服务（Australian Financial Services，AFS）或信贷行业执业的人员

本数据集同时收录以下人员的相关信息：

* 被禁止进入AFS或信贷行业的人员
* 被州或领地禁止进入信贷行业的人员

本搜索服务所使用的信息取自以下登记册：

* 取消资格人员登记册
* 信贷行业被禁/取消资格人员登记册
* AFS行业被禁/取消资格人员登记册
* 被禁证券代表登记册（AFS牌照核发前）
* 被禁期货代表登记册（AFS牌照核发前）

我们每月会将登记册中的精选数据上传至www.data.gov.au，所提供的数据为对应时间点的登记册快照。相关立法规定了ASIC可向公众披露的信息类型。

本数据集中可能存在多个姓名相同或相似的条目，其住址、出生地及其他细节存在细微差异。数据按上报至ASIC的原样记录，我们无法确认此类相似条目是否为同一人员。

可下载数据集包含的信息如下：

* 登记册名称
* 被禁与取消资格人员姓名
* 被禁与取消资格人员类型
* 被禁与取消资格人员证件号码
* 被禁与取消资格人员资格生效日期
* 被禁与取消资格人员资格终止日期
* 被禁与取消资格人员住址所在地区
* 被禁与取消资格人员住址所在州/领地
* 被禁与取消资格人员住址邮政编码
* 被禁与取消资格人员住址所在国家
* 被禁与取消资格人员备注

如需了解被禁与取消资格人员的更多信息，可访问[ASIC官网](http://www.asic.gov.au/ "ASIC官网")。查看部分信息可能需要支付费用。

如需了解搜索[ASIC登记册](http://www.asic.gov.au/online-services/search-asics-registers/ "ASIC登记册")的更多信息。