Codes

Australian Securities and Investments Commission (ASIC) reports often include abbreviations or codes.

While most code sets are static, new codes may be added or removed at the discretion of the ASIC. This document is a guide only.

Address type code

Code Description
RG Registered office
RP Registered office in Australia
PA Principal place of business
RO Registered address in place of incorporation

Authorities held

Code Description
RD Authorities held from futures advisers
RF Authorities held from futures brokers
RI Authorities held from investment advisors
RS Authorities held from securities dealers

Charge status

Code Description
DELT Deleted
SATF Satisfied

Charge type

Code Description
B Both fixed and floating
F Floating
X Fixed

Court type

Code Description
F Federal
M Family
S Supreme

Deregistration reason

Code Description
ALTREGN Altered registration
BINT Bank Integration Act
S138 Section 138
S147A Section 147A – Transfer of incorporation to another jurisdiction
S350 Section 350
S380(1) Section 380(1)
S380(2) Section 380(2)
S411 Section 411 Companies Code
S413 Section 413
S459 Section 459 Companies Code
S481 Section 481
S509 Section 509
S574 Section 574
S601AA Section 601AA
S601AB Section 601AA

Governance type

Code Description
C Constitution
R Replaceable rules

Information status

Code Description
C Current
E Ceased/Former
F Future

Licence ban type

Code Description
BSA Securities dealer
BSB Investment adviser
BSC Securities dealer and investment adviser
BFA Futures broker
BFB Futures adviser
BFC Futures broker and futures adviser

Licence status

Code Description
APPR Application approved and licence granted
NOAC Not active (revoked)
PEND Decision pending
REFS Application refused
SUSP Suspended

Licence type – relational extract

Code Description
FB Futures broker
FD Futures adviser
FL Financial services licencee
FR Financial services representative
FX Banned financial services representative
IA Investment advisor
SD Securities dealers

Licence/Register roles – personal name extract

Code Description
BF Banned futures representative
BI Liquidator of a simplified liquidation
BM Restructuring practitioner
BP Restructuring plan practitioner
BS Banned securities representative
DD Disqualified director
FB Futures broker
FD Futures adviser
FJ Financial journalist
FL Financial services licencee
FP Financial industry representative
FR Financial services representative
FX Banned financial services representative
IA Investment adviser
LP Lodging party
OQ Official liquidator
RQ Registered liquidator
SD Securities dealer
SP Securities representative

Officer roles for registers

Code Description
AA Appointed auditor
CA Compliance plan auditor
DR Director
EO Previous PEO
FE Member of a futures exchange
RN Responsible entity
SR Secretary
TN Temporary responsible entity

Organisation class

Code Description
EQUT Equity
LMGT Limited by guarantee
LMSG Limited by shares and guarantee
LMSH Limited by shares
MORT Mortgage
NLIA No liability
NONE Does not have an equivalent Australian liability
PROP Property
UNKN Liability unknown
UNLM Unlimited

Organisation status

Code Description
APPR Approved (trust)
ARCH Business names – archived
ASOS Association strike off status
CNCL Cancelled
CONV Converted (trust)
DISS Dissolved by special act of parliament
DIV3 Organisation transferred registration via DIV3
DMNT Dormant
DRGD Deregistered
EXAA External administration – associations
EXAD Externally administered and/or controller appointed
NOAC Not active
NRGD Not registered (organisations of type NONC and NRET)
PEND Pending – schemes
PROV Provisional
REGD Registered
REXP Business name expired
RMVD Business name removed
SOFF Strike‐off action in progress
WDUP Winding up – managed investments scheme
WDPI Winding up – prescribed interest schemes

Organisation subclass

Code Description
EXPN Exempt proprietary company – non profit company
EXPS Exempt proprietary and superannuation trustee company
EXPT Exempt proprietary company
FXPT Foreign company exempt from lodging balance sheet
HUNT Home unit proprietary company
LISN Company licensed to omit ‘Limited’ from name
LISS Company licensed under S383 and superannuation trustee
LIST Listed public company
LXPT Company licensed to omit ‘Limited’ and exempt from returns
NEXN Non‐exempt proprietary company – non profit
NEXS Non‐exempt proprietary and superannuation trustee company
NEXT Non‐exempt proprietary company
NONE Unknown
PNPC Non profit proprietary company
PROP Proprietary company
PSTC Superannuation trustee proprietary company
PUBF Foreign company required to lodge a balance sheet
RACA Registrable Australian corporation – association
RACO Registrable Australian corporation – non association
SPEC Special
ULSN Unlisted public company – non‐profit company
ULSS Non‐profit unlisted public and superannuation trustee company
ULST Unlisted public company

Organisation type

Code Description
APTY Australian proprietary company
APUB Australian public company
ASSN Association
BUSN Business name
CHAR Charity
COMP Community purpose
COOP Co‐operative society
FNOS Foreign company (overseas)
LTDP Limited partnership
MISM Managed investment scheme
NONC Non company
NRET Non registered entity
RACN Registered Australian body
REBD Religious body
RSVN Name reservation
SOLS Solicitor corporation
TRST Trust

Register type

Code Description
BF Banned futures representative
BS Banned securities representative
DD Disqualified directors
FB Futures brokers
FD Futures dealer
FP Futures industry representative
IA Investment adviser
OQ Official liquidator
RQ Registered liquidator
SD Securities dealers
SP Securities industry representative

Roles

Code Description
AA Appointed auditor
AC Administrator of a company under administration
AD Administrator under a deed of company arrangement
AG Local agent
AQ Appointed liquidator
BI Liquidator of a simplified liquidation
BM Restructuring practitioner
BP Restructuring plan practitioner
CA Compliance plan auditor
CM Office manager (court)
CQ Appointed liquidator court winding up
CR Controller
DM Deputy official manager
DR Director
EO Principal executive officer
LD Alternate director
MC Managing controller
MQ Appointed liquidator members voluntary winding up
OM Official manager
PQ Provisional liquidator
PT Petitioner court action
RC Receiver
RM Receiver manager
RN Responsible entity
SM Scheme manager
SR Secretary
TN Temporary responsible entity
UH Ultimate holding company
VQ Appointed liquidator creditors voluntary winding up

Roles (additional) – personal extracts

SH – Member

Roles – relational extracts

Codes Description
AG Local agent
DR Director
RN Responsible entity
TM Trust management company
TR Trustee
UH Ultimate holding company

Scheme categories

Code Description
DRVT Derivative scheme
FAST Financial assets scheme
FILM Film scheme
MSTR Member discretionary master fund and similar schemes
MTGE Mortgage scheme
PRIM Primary production
REAL Direct real property scheme
TIME Time‐share scheme

State or Territory

Code Description
ACT Australian Capital Territory
CCK Cocos (Keeling) Islands
CXR Christmas Island
JBT Jervis Bay Territory
NSW New South Wales
NFK Norfolk Island
NT Northern Territory
QLD Queensland
SA South Australia
TAS Tasmania
VIC Victoria
WA Western Australia

Suspension reason

Code Description
ACTN Officer licence revoked or officer banned
APPL Suspended on request of licencee
BREA Licencee contravenes a licence condition
CEAS Licencee ceases to carry on business
CONT Licencee contravenes a securities law
CONV Licencee convicted of serious fraud
DIRE Director of licence fails part 7.3, division 5
EHAF Licencee has or will not act efficiently, honestly, fairly
EXAD Licencee externally administered
FPOD Failure in performance of duties
INCA Licencee incapable of managing affairs
NFAP Not a fit and proper person
NTRS Not resident in Australia
PRVA Prior suspension or cancellation
PRVBR Prior admonition, reprimand, and so on
QUAL Insufficient qualifications or experience of officer
STAT Failure to lodge a statement

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