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 |
| 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 |
| 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 |
| 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 |
| ARPA |
Australian passport fund |
| ARPF |
Foreign passport fund |
| 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 |
SH – Member
| 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 |
