Sanctions

Consolidated List

What is the Consolidated List?

The Consolidated List is a list of all persons and entities who are subject to targeted financial sanctions or travel bans under Australian sanctions laws. We maintain the Consolidated List and update it regularly.

Consolidated List

Updated 16 April 2014

The Consolidated List includes all persons and entities to which the Charter of the United Nations Act 1945 and the Autonomous Sanctions Act 2011 currently applies. This follows the transition of Australia's targeted financial sanctions from the Banking (Foreign Exchange) Regulations 1959 to the Autonomous Sanctions Regulations 2011.

Download

Consolidated List [XLS 1.6 MB]

Receiving updates to the Consolidated List

We maintain a mailing list for people interested in receiving updates on Australian sanction laws, including updates to the Consolidated List.

If you are already subscribed to the mailing list you can unsubscribe.

Your email address will only be used for the purpose of receiving updates to Australian sanction laws. We will not use your email address for any other purpose or share it without your consent. For more information see our privacy statement.

Implementation of Targeted Financial Sanctions

A number of sanctions regimes make it a criminal offence to:

  • use or deal with the assets of designated persons or entities; or
  • make assets available to designated persons or entities.

The penalty for these offences is:

  • for individuals, a maximum 10 years’ imprisonment and a fine the greater of $425,000 or three times the transaction value; and
  • for bodies corporate, a fine the greater of $1.7 million or three times the transaction value (the offence is a strict liability offence for bodies corporate)

LinkMatchLite

The LinkMatchLite (LML) software is designed to assist asset holders in finding possible matches between their clients’ names and names on the Consolidated List.

LML does not indicate whether there are any relationships between the name provided and any name on the Consolidated List. It is only designed to provide an indication of how similar the name provided is to any name on the Consolidated List to mitigate the difficulties faced by subtle name variations and aliases.

Before using this software, users should note:

  • the important licence information in the manual;
  • that this is only one method and will miss some variations;
  • that it requires input data in a specific format;
  • that the internal lists are only valid until superceded; and
  • that users must agree to the conditions of use.

If you want a copy of this software, email us at asset.freezing@dfat.gov.au and we will direct you to the download site.

Reporting to the Australian Federal Police

Regulation 42 of the Charter of the United Nations (Dealing with Assets) Regulations 2008 and regulation 24 of the Autonomous Sanctions Regulations 2011 require asset holders to provide the Australian Federal Police with specific information about freezable or controlled assets, as defined under that legislation.

Please see the following legislation:

Australian Federal Police assistance to find a match

As it may not always be clear whether there is a match between the name provided and any name on the Consolidated List, asset holders may request the assistance of the Australian Federal Police (AFP) to determine whether or not an asset is owned or controlled by a person or entity on the Consolidated List.

To facilitate this process, a referral process has been agreed between DFAT, the AFP and asset holders represented by the Australian Bankers' Association and the major banks

The relevant referral form to the AFP can be downloaded, printed and filled out with:

  • as much information about the asset, including information about its owner or controller, as is known to the asset holder, and
  • the asset holder’s contact details

The referral form should be sent to the AFP at the following address:

AFP Operations Coordination Centre

Application to use or deal with frozen assets

Applications to use or deal with frozen assets, or to make assets available to designated persons or entities, must be made using the Online Sanctions Administration System (OSAS).

Consolidated List alias screening expectations

What are weak aliases (AKAs)?

A “weak AKA” is a term for a relatively broad or generic alias that may generate a large volume of false hits.  Weak AKAs include nicknames, noms-de-guerre, and unusually common acronyms.  DFAT includes these AKAs because, based on information available to it, the sanctions targets refer to themselves, or are referred to, by these names.  As a result, these AKAs may be useful for identification purposes, particularly in confirming a possible “hit” or “match” triggered by other identifier information.  Realizing, however, the large number of false hits that these names may generate, DFAT distinguishes them from other AKAs. 

Am I required to screen for weak aliases (AKAs)?

Australia’s sanctions laws do not explicitly require any specific screening regime.  Financial institutions and others must make screening choices based on their circumstances and compliance approach.  As a general matter, though, DFAT does not expect that persons will screen for weak AKAs, but expects that such AKAs may be used to help determine whether a “hit” arising from other information is accurate. 

Will I be penalized for processing an unauthorised transaction involving a weak alias (AKA)?

A person who processes an unauthorised transaction involving a designated person or entity may have contravened an Australian sanctions law and may be subject to an enforcement action.  Generally speaking, however, if (i) the only sanctions reference in the transaction is a weak AKA, (ii) the person involved in the processing had no other reason to know that the transaction involved a designated person or entity or was otherwise in violation of Australian law, and (iii) the person maintains a rigorous risk-based compliance program, DFAT will not commence enforcement action against an individual or entity for processing such a transaction.