FOI: ASIC disclosure log table

FOI 292-2025

19-Dec-25

05-Dec-25

I formally request access to documents constituting correspondence between ASIC and the private credit funds surveyed for ASIC Report 820, "Private credit surveillance: retail and wholesale funds" (released November 2025).

The correspondence sought relate exclusively to drafts of Report 820 prior to publication on November 5, 2025, in e-mailed format.

This includes all feedback, comments, and responses exchanged between ASIC and the surveyed funds regarding the report's content. The request also includes internal correspondence relating to the feedback.

This request is limited to the date range: October 29, 2025 to November 5, 2025 (inclusive).

14 documents released in part

FOI 292-2025

FOI 238-2025

4 December 2025

30 October 2025

Documents relating to North Ryde RSL Community Club Ltd (ACN 001 022 699). Ltd between 1 January 2013 and the present, including but not limited to:

1. Annual Financial Reports (Form 388 lodgements, including audited accounts and directors’ reports).
2. Auditor appointments, cessations, and reports (Form 6010 series).
3. Notices of change to company details (Form 484), including appointments and cessations of directors and secretaries.
4. Constitution amendments and special resolutions lodged under the Corporations Act.
5. Applications for relief or instruments granted by ASIC (including, for example, ASIC Instrument 23-0312).
6. Any other statutory filings made by the company in this period.

1 document released in part

FOI 238-2025

FOI 264-2025

28 November 2025

12 November 2025

Summary or list of all RCA applications refused between 2015 and 2025, including the reason for refusal.

1 document released in full

FOI 264-2025

FOI 265-2025

27 November 2025

13 November 2025

Under the Freedom of Information Act 1982 (Cth), I request access to any brief, advice, file note or other material that the Australian Securities and Investments Commission (ASIC) has provided to the Treasurer or his Office in regard to ASIC’s action against the Construction and Building Unions Superannuation Fund.

For the sake of clarity, I refer to the following ASIC action announced on 12 November 2024: https://www.asic.gov.au/about-asic/news-centre/find-a-media-release/2024-releases/24-251mr-asic-sues-cbus-alleging-systemic-claims-handling-failures/

The request covers documents created or received from 12 November 2024 to the date of this request.

7 documents released in part

FOI 265-2025

FOI 254-2025

17 November 2025

31 October 2025

ASIC recently published Report 816, titled "Accounting for your super: ASIC’s review into the financial reporting and audit of super funds".

I seek access to the following:

1. The comment forms sent to four out of the five audit firms (BDO, Deloitte, Ernst & Young, KPMG and PricewaterhouseCoopers) setting out ASIC's findings and the basis for ASIC's concerns, which were referred to on page 12 of Report 816;
2. the audit firms' responses to the comment forms and their proposed remedial actions, which were referred to on page 12 of Report 816;
3. the communications from ASIC to superannuation trustees providing ASIC's findings and the auditors’ responses and proposed remedial actions, which were referred to on page 12 of Report 816

10 documents released in part

FOI 254-2025

FOI 252-2025

31 October 2025

31 October 2025

Documents held by ASIC that record the number of sole practitioners who have been granted registration as a Registered Company Auditor (RCA) from 1 January 2016 to present.

1 document released in full

FOI 236-2025

30 October 2025

15 October 2025

Correspondence between ASIC chair Joe Longo and ANZ CEO Nuno NATO's for the period of May 1 2025 to September 15 2025.

Correspondence between ASIC chair Joe Longo and ANZ chair Paul O'Sullivan for the period of May 1 2025 to September 15 2025.

1 document released in part

FOI 236-2025

• The total cost incurred for the purchase, installation, and maintenance of indoor and outdoor plants and flowers.
• Payments made to external contractors or horticultural services for plant care, landscaping, or floral arrangements.
• Contracts, invoices, or procurement documents related to the services.
• Any records indicating the number of staff or contractors involved in plant and flower maintenance.
• Any estimates or logs of hours spent on related tasks (watering, pruning, replacing, seasonal arrangements, etc)

FOI 226-2025

17 October 2025

3 October 2025

• Any briefings and/or submissions regarding the UK Serious Fraud Office investigation into the Gupta Family Group Alliance, including any correspondence between ASIC and SFO.
• Any briefings and/or submissions relating to public reports of and/or any direct complaints about delayed payments to trade and other creditors from companies within GFG Alliance.
• Any briefings and/or submissions relating to the decision to commence legal proceedings against companies in the GFG Alliance Group regarding the filing of outstanding annual reports to ASIC.

4 documents released in part

FOI 226-2025 (ZIP, 1MB)

FOI 217-2025

10 October 2025

25 September 2025

On 13 August, ASIC announced a “review of superannuation investment requirements” outlined in RG97 relating to property investment.

I request a copy of any guidance, briefing notes, memos or correspondence from Treasurer Jim Chalmers’ office, Treasury and or other government agencies regarding this decision to review RG97.

I also request any internal ASIC reports or documents detailing the reasoning behind the decision to review RG97.

5 documents released in part

FOI 217-2025 (ZIP, 1MB)

FOI 202-2025

1 October 2025

15 September 2025

Documents — including spreadsheets, reports, dashboards, or a database extract under s 17 of the FOI Act — that record counts of ASIC actions relating to social-media “finfluencers”, as used in ASIC communications (e.g., Information Sheet 269 and June 2025 materials for the Global Week of Action Against Unlawful Finfluencers).

Period: Please provide totals broken down by calendar year or financial year (whichever ASIC holds) for 2020, 2021, 2022, 2023, 2024 and 2025 YTD. If full coverage would be onerous, I’m happy to limit the scope to 2023–2025.

Please provide counts of:

1. Warning letters/notices issued to finfluencers.
2. Infringement notices issued concerning finfluencer conduct.
3. Compulsory examinations held in matters concerning finfluencer activity (e.g., examinations using ASIC’s compulsory powers).
4. Matters referred to the CDPP for criminal prosecution arising from finfluencer activity; and any civil proceedings commenced by ASIC in such matters.

2 documents released in full and 1 document released in part

FOI 202-2025 (ZIP, 522KB)

FOI 128-2025

17-July 2025

3 July 2025

I seek copies of correspondence between ANZ CEO Nuno Matos and ASIC.

I seek a copy of correspondence sent by Nuno Matos to ASIC upon his entry to the role of CEO.

1 document released in part

FOI 128-2025 (PDF 254KB)

FOI 124-2025

16 June 2025

10 June 2025

I wish to FOI copies of briefings held by ASIC chair Joe Longo or other senior members of the commission for the period of 1 July 2024 to 1 May 2025 concerning Macquarie Bank, Macquarie Group, or any company within the broader group of companies controlled by Macquarie. For the purposes of this request senior members should include:

• Simone Constant
• Greg Yanco
• Sarah Court
• Scott Gregson
• Shelley Denniss
• Diana Steicke
• Peter Soros
• Nathan Bourne

I am happy to redact the names and personal information of ASIC and bank staff within those documents - I wish to retain their positions when these documents are published.

6 documents released in part

FOI 124-2025 (ZIP, 2MB)

FOI 057-2025

26 May 2025

12 May 2025

I seek documents from ASIC reflecting discussions between ASIC and APRA over private market, private credit, unlisted assets. The terms of the FOI concern communications between ASIC and APRA for the period of July 2024 through to February 2025. This application is restricted to only documents and discussions exchanged between ASIC and APRA in relation to the preparation of and publication of the discussion paper of February 26.

I seek correspondence, or other documents that reflect written communication between APRA and ASIC in relation to consideration between the two agencies of private markets, private credit, or unlisted assets, in relation to the February 26 discussion paper.

49 documents released in part

FOI 057-2025 (ZIP, 128MB)

FOI 090-2025

15 May 2025

2 May 2025

Seeking all documents pertaining to:

• The application for dissolution lodged by Luvium Pty Ltd.
• Any objection to the dissolution received by ASIC

1 document released in part.

FOI 090-2025 (PDF, 586KB).

FOI 070-2025

30 April 2025

14 April 2025

All records relating to the appointment of Global Investment Marketing Pty Ltd (ACN 663 732 296) ("GIM") as an authorised representative of Pulse Markets Pty Ltd, including:

1. The authorised representative agreement between GIM and Pulse Markets.
   Any correspondence between ASIC and Pulse Markets concerning GIM’s appointment and cessation as an authorised representative.
2. Any notifications or filings submitted to ASIC regarding GIM’s status as an authorised representative.

Documents evidencing the professional indemnity insurance (PI Insurance) held by Pulse Markets Pty Ltd during the period in which GIM was an authorised representative, specifically:

1. Certificates of Currency covering the period from 12 November 2024 to 7 January 2025.
2. The insurance policy documentation, including details of coverage for claims related to the misconduct of authorised representatives.

Any complaints, investigations, or regulatory actions involving GIM and/or Pulse Markets Pty Ltd related to financial misconduct, fraud, or supervisory failures, including:

1. Internal ASIC reports or memoranda discussing complaints or investigations.
   Correspondence between ASIC and Pulse Markets regarding allegations of misconduct by GIM.
2. Any regulatory action taken or proposed by ASIC in relation to Pulse Markets' supervisory obligations.

4 documents released in part

FOI 070-2025 (PDF, 508KB)

FOI 065-2025

22 April 2025

8 April 2025

Copies of all email and written correspondence relating to the Assessment of ASX Clearing and Settlement Facilities September 2024 - sent between the RBA and ASIC, for the period 1 July 2024 to 1 October 2024.

1 document released in full and 4 documents released in part

FOI 065-2025 (PDF, 878KB)

FOI 026-2025

16 April 2025 and 6 August 2025

2 April 2025 and 23 July 2025

Copies of all email correspondence relating to the ASX CHESS outage in December 2024, between email addresses containing asx.com.au and ASIC, for the time period December 19 2024 to February 6 2025.

16/04/2025 - 3 documents released in full

06/08/2025 - 20 documents released in part, following an internal review

FOI 026-2025 (PDF, 787KB)

FOI 026-2025 (Additional Documents) (ZIP, 8MB)

FOI 076-2025

15 April 2025

1 April 2025

I seek documents showing ASIC’s total expenditure for its investigation and legal action regarding G8 Education Ltd, stemming from its initial investigation of the attempted takeover by G8 Education of Affinity Education in 2015. For sake of clarity, the documents would involve the investigation and legal action involving Jennifer Joan Hutson (25-044MR),
David Burke (25-045MR), and
Mary-Anne Greaves (19-141MR).

1 document released in full

FOI 076-2025 (PDF, 138KB)

FOI 058-2025

9 April 2025

2 April 2025

For the period January 2023 to December 2024, I seek documents:

1. From ASIC reflecting discussions between ASIC and the ATO over PwC Australia and the tax scandal surrounding former and current members of the firm.
2. Correspondence or other documents that reflect written communications between ASIC and the ATO in relation to consideration between the two agencies of the PwC matter.

2 documents released in part

FOI 058-2025 (ZIP, 726KB)

FOI 055-2025

31 March 2025

21 March 2025

Request for access to two documents referred to in paragraph [50] of the decision of Sweeney J in R v Iervasi (Sentence) [2024] NSWSC 1116:

50 In December 2014 the offender received a letter from ASIC advising him of its concern that Courtenay Trading was carrying on a financial services business without holding a licence. In March 2015 ASIC sent a second letter to the offender about the same issue.

3 documents released in part

FOI 055-2025 (ZIP, 1.95MB)

• Unplugged Education Nominee PTY LTD (ACN: 164 584 356)
• Luminous Crystals PTY LTD (ACN: 124 729 540)
• Luminous Crystals PTY LTD (ACN: 628 791 113)
• Luminous Crystals Enterprises PTY LTD (ACN: 633 289 111)
• Soul Ventures (Aust) PTY LTD (ACN: 137 006 136
• Soul Ventures PTY LTD (ACN 145 837 994)

FOI 004-2025

21 February 2025

5 February 2025

1. A copy of the 2019 ASIC questionnaires relating to the operation of managed discretionary accounts and the answers.
2. Any other internal unpublished reports or briefings on the topic of MDAs.

4 documents released in full and 1 document released in part

FOI 004-2025 (PDF, 17MB)

FOI 003-2025

11 February 2025

23 January 2025

Documents held by ASIC on unpaid fines it has issued.

To narrow this search, I seek ASIC's latest aggregate estimate of the total $ of
unpaid fines, any descriptive details of who the money is owed by and what
the fines were issued for. I also seek the most up to date information on unpaid
fines that ASIC has written off as unrecoverable.

1 document released in full

FOI 003-2024 (PDF, 644KB)

FOI 281-2024

7 February 2025

24 January 2025

1. All information, documents, reports, investigations, correspondence or otherwise in relation to any investigation, scam, report relating to or involving the following bank account between 2021 – 2022 (inclusive):
   1. Sovereign Green Group
   2. Moneytech Payments (the Accounts)
2. All correspondence, warnings or otherwise provided to any of the following financial institutions in relation to the Accounts:
   1. Deutsche Bank;
   2. Suncorp Bank;
   3. ANZ Bank;
   4. Bendigo Bank;
   5. Monoova Payments Pty Ltd (formerly Moneytech Payments Pty Ltd); and
   6. Wise Australia Pty Ltd
   7. and/or all financial institutions and banks involved in this matter.

2 documents released in part

FOI 281-2024 (PDF, 383KB)

FOI 270-2024

24 January 2025

9 January 2025

1. Access to a copy of the unredacted document (excluding the phone numbers of ASIC staff) of the attached document.
2. In relation to the reference in that document to: “it appears from the information FOS provided me that ANZ informed FOS that they were keeping ASIC updated on the issue”, access to:
   1. the documents ANZ gave to ASIC as part of the updates they informed FOS they had been giving to ASIC (as outlined above);
   2. any documents ANZ gave to ASIC in relation to the overcharging of interest on purchases issue to which the FOS determination relates in accordance with their obligations under the Corporations Act; and
   3. any resulting communications between ASIC and ANZ in relation to those documents.
3. Access to documents that outline the outcome of ASIC’s review of the ANZ overcharging issue.

1 document released in part

FOI 270-2024 (PDF, 2MB)

FOI 254-2024

6 January 2024

19 December 2024

2 documents released in part

FOI 254-2024 (PDF, 956KB)

FOI 262-2024

16 December 2024

2 December 2024

1. Relevant code that is making decisions on the basis of submitted director name change forms
2. Any associated documentation, system design or architecture describing the specific system requirements that relate to this form. This may include where requirements extend to error and exception handling with human review.

4 documents released in full

FOI 262-2024 (PDF, 1MB)

FOI 253-2024

18 December 2024

4 December 2024

1. Unredacted copies of the progress report documents previously provided as per item 71 of ASIC’s FOI disclosure log archive (2011-2017), which are described in the log as in response to a request for “Documents concerning ASIC's investigation into ABC Learning Centres Ltd”.
2. All other progress reports created as part of the ABC Learning investigation.
3. A document recording the inception of the investigation pursuant to s13 of the ASIC Act.
4. A document recording the end of the investigation.
5. A copy of the CDPP advice referred to in the 23 February 2016 press release.
6. All no further action letters sent as a result of the investigation.
7. Transcripts of any examinations conducted under s19 of the ASIC Act as part of this investigation.

26 documents released in part

FOI 253-2024 (PDF, 5MB)

FOI 185-2024

10 December 2024 and 18 March 2025

26 November 2024 and 3 March 2025

1. Reports of serious contraventions of the law related to general insurance made by AFCA to ASIC under S1052E of the Corporations Act, received by ASIC from 1 July 2021 onwards.
   
   
2. Internal correspondence related to Federal Court case NSD406/2021, Mark Baxter v RACQ Operations Pty Ltd & Ors.

10/12/2024 - 4 documents released in part

18/03/2024 - 10 documents released in part following IC review

FOI 185-2024 (ZIP, 1.5MB)

FOI 185-2024 (Additional Documents) (PDF, 2MB)

FOI 228-2024

6 December 2024

22 November 2024

• All documents, emails, messages and other communications (including decision and brief papers) concerning Christof Melchizedek, Regan Hillyer, The Lumiere Project and The Conscious Crypto Circle generated by M and BR (Misconduct and Breach Reporting).
• All documents, emails, messages, and other communications (including decision and brief papers) concerning Christof Melchizedek, Regan Hillyer, The Lumiere Project and The Conscious Crypto Circle generated by RTC (Regulatory Triage Commission).
• All emails and other communications (including minutes from review meetings) between M & BR, RTC and senior management concerning Christof Melchizedek, Regan Hillyer, The Lumiere Project and The Conscious Crypto Circle.
• All ROMs (Report of Misconduct) received by ASIC concerning Christof Melchizedek, Regan Hillyer, The Lumiere Project and The Conscious Crypto Circle.
• Any brief or draft provided to ASIC’s media team concerning Christof Melchizedek, Regan Hillyer, The Lumiere Project and The Conscious Crypto Circle.
• All correspondence between ASIC and New Zealand’s Financial Markets Authority between February 1st 2024 and November 6th 2024 concerning Christof Melchizedek, Regan Hillyer, The Lumiere Project and The Conscious Crypto Circle.
• All correspondence between ASIC and any UK or US financial regulatory body between February 1st 2024 and November 6th 2024 concerning Christof Melchizedek, Regan Hillyer, The Lumiere Project and The Conscious Crypto Circle.
• Any correspondence between ASIC and Andrew Chambers, the CEO of Hoopla Animation (UK), Future Media Rights (UK) and Yappa World UK February 1st 2024 and November 6th 2024 concerning Christof Melchizedek, Regan Hillyer, The Lumiere Project and The Conscious Crypto Circle.

11 documents released in part

FOI 228-2024 (PDF, 2MB)

1 document released in part

FOI 257-2024

3 December 2024

26 November 2024

1. All documents pertaining to the deregistration of the company which you hold; and
2. Any other documents or forms which have been received and retained by you in respect of the company from its inception and until the date of its deregistration in 2022.

1 document released in part

FOI 257-2024 (ZIP, 80KB)

FOI 231-2024

3 December 2024

26 November 2024

All reports, warnings or notifications in relation to the Scams (as defined in our letter) provided to any of the following financial institutions between 6 July 2021 and 28 April 2022:
a. Deutsche Bank;
b. Suncorp Bank
c. ANZ Bank;
d. Bendigo Bank;
e. Monoova Payments.

6 documents released in part

FOI 231-2024 (ZIP, 636KB)

FOI 166-2024

14 November 2024

31 October 2024

I wish to FOI copies of all bank CEO briefings held by ASIC chair Joe Longo or other senior members of the commission for the period of 1 July 2023 to 1 August 2024.

For the purposes of this FOI this should be taken to reflect documents prepared internally by ASIC for its chair Joe Longo, commissioners, and the ASIC steering committee, regarding the following banks and their CEOS:

• CBA
• ANZ
• NAB
• Westpac
• Macquarie

13 documents released in part

FOI 166-2024 (PDF, 4MB)

FOI 161-2024

4 November 2024

24 October 2024

• Correspondence between ASIC's markets supervision team and the AOFM for the period of May 18 2024 to July 26 2024.
• Correspondence between ASIC's markets enforcement team and the AFOM for the period of May 18 2024 to July 26 2024.

44 documents released in part

FOI 161-2024 (ZIP, 11MB)

FOI 237-2024

1 November 2024

25 October 2024

1. Documents containing information about the number, classification levels, type of employment (e.g. full time, part time, fractional, casual) functions and position descriptions of Indigenous Liaison Officers or equivalent (e.g. First Nations Liaison Officer or Aboriginal and Torres Strait Islander Officer), if any, in your agency from 1 January 2014 until the present.
2. Documents containing information about the number of staff currently employed in your agency who identify as Aboriginal or Torres Strait Islander.

4 documents released in full and 1 document released in part

FOI 237-2024 (ZIP, 3MB)

FOI 222-2024

24 October 2024

17 October 2024

1. Documents indicating the following information about each civil and criminal penalty case commenced in a court by ASIC (or the ASC), including, to avoid any confusion, cases prosecuted by the Commonwealth Director of Public Prosecutions which were commenced by ASIC investigation:

1. 1. The name of the case;
   2. The name of all persons against whom action was brought (or, if this is not possible, whether they were natural persons or body corporates);
   3. The case outcome (including whether it was contested/plead guilty to; the penalty; litigation ongoing/judgment on reserve; abandoned; settled);
   4. The provision which ASIC (or the CDPP) alleged was contravened;
   5. The nature of any resulting civil penalty or criminal sentence;
   6. The name of the court in which the case was commenced.

2 documents released in full and 6 documents released in part.

Note: these documents have been generated in accordance with s 17(1) of the FOI Act. ASIC is unable to guarantee that the documents are a complete and accurate reflection of the information requested.

FOI 222-2024 (PDF, 1.2MB)

FOI 217-2024

18 October 2024

11 October 2024

I am writing to request, under the Freedom of Information Act 1982 (Cth), the following records of ASIC officials Dayle Buckley, Kelly Rodgers, Rhys Bollen and Lisa Saunders for the period 13 January 2020 to 31 January 2020 relating to Mayfair 101, IPO Wealth Pty Ltd, Mayfair Wealth Partners Pty Ltd, Quattro Capital Group Pty Ltd, IPO Wealth Fund, Vasco Trustees Ltd, D H Flinders Pty Ltd and Mr Craig Dunstan:

1. all internal records including emails, phone messages including WhatsApp messages, file attachments, internal notes, memos and documents sent, received, written or otherwise between:
   i. the above mentioned officers; and
   ii. the above mentioned officers and the following ASIC officials:
   1. Karen Chester;
   2. Joanna Bird;
   3. Hugh Copley; and
   4. Sharon Concisom.
2. all internal records of any meeting(s) between ASIC officers and Mr Craig Dunstan of Vasco Trustees Limited on or around 29 January 2020 including but not limited to a list of attendees, files notes, agenda items, meeting invitation(s) and action items arising from the meeting(s).

11 documents released in full and 23 documents released in part

FOI 217-2024 (PDF, 16MB)

1. Notices issued to and correspondence with Hopkins, his related entities (including trusts), and his or their solicitors relevant to the interim orders ASIC obtained on 31 May 2022, 3 June 2022 and 7 June 2022 in the proceeding to freeze the assets of Hopkins and his related entities;
2. All documentation (including affidavits with their exhibits) served on Hopkins by ASIC in relation to the proceeding during the period 1 February 2022 to 31 August 2022 (inclusive);
3. All documentation (including affidavits with their exhibits) served on ASIC by Hopkins in relation to the proceeding during the period 1 February 2022 to 31 August 2022 (inclusive);
4. All documentation including statements, letters and emails exchanged between Hopkins and ASIC in relation to the orders ultimately made on 31 May 2022, 3 June 2022 and 7 June 2022 or proposed orders including (but not limited to) any negotiations, proposals, counter proposals or notice regarding the orders made on 31 May 2022, 3 June 2022 and 7 June 2022;
5. All documentation (including correspondence with Hopkins, his related entities and his or their solicitors) relating to Happiness Lives Here Pty Ltd (ACN 655 814 734), a company associated with Hopkins;
6. All documentation (including correspondence with Hopkins, his related entities and his or their solicitors) relating to any funds available to Hopkins and/or his related entities from Happiness Lives Here Pty Ltd’s sale of 5 Burgess Street, Beaumaris, VIC 3193 on 23 June 2022;
7. Any correspondence, transcripts or file notes relating to Hopkins’ potential purchase of a property located at 16 Fifth Street, Black Rock, VIC 3193 which was due for settlement on 18 July 2022 (later amended to 20 July 2022);
8. Any correspondence, transcripts or file notes relating to Hopkins’ potential purchase of a property located 16 Fifth Street, Black Rock, VIC 3193 using funds available to Hopkins through Happiness Lives Here Pty Ltd (ACN 655 814 734); and
9. All documents relating to property developments Hopkins and his related entities (including trusts) were involved in which were relevant to ASIC’s investigation and the proceeding.

• Final Flight itinerary(s) (including associated costs of flights)
• Final Accommodation arrangements (including associated cost of that accommodation)
• Final Registration details for any conferences / formal meetings attended (including any associated costs of that registration)

For the one (1) international trip to Athens and the United Kingdom (multi-leg trip) by the Chair of the Australian Securities and Investments Commission for the period 01 March to 31 May 2024?

5 documents released in full, and 5 documents released in part

FOI 202-2024

16 October 2024

2 October

Please provide:

• Final Flight itinerary(s) (including associated costs of flights)
• Final Accommodation arrangements (including associated cost of that accommodation)
• Final Registration details for any conferences / formal meetings attended (including any associated costs of that registration)

For the one (1) international trip to Japan by the Deputy Chair of the Australian Securities and Investments Commission for the period 01 March to 31 May 2024?

3 documents released in full, and 1 document released in part

FOI 202-2024 (PDF, 970KB)

1 document released in part

FOI 165-2024

4 September 2024

26 August 2024

1. A copy of any emails, correspondence, telephone call notes between ASIC Chairman, Joe Longo, and HWL Ebsworth
2. A copy of any emails, correspondence, telephone call notes between Mr Joe Longo and the WA government and WA Dept of Consumer Protection (DMIRS)

1 document released in part

FOI 165-2024 (ZIP, 58KB)

FOI 150-2024

19 August 2024

12 August 2024

1. A copy of the CDDA authorisation by the Minister that was in place until it purportedly lapsed in 2015
2. A copy of any correspondence, subsequent to the lapsing, from ASIC to the relevant Minister (incl their office) where ASIC agitates to be re-authorised for CDDA
3. A copy of any correspondence that is a reply to the correspondence in [2]

1 document released in full

FOI 150-2024 (ZIP, 144KB)

FOI 141-2024

16 August 2024 and 9 September 2024

9 August 2024 and 9 September 2024

Emails sent by ASIC between 1 and 5 July 2024, where:

• the author is an ASIC Executive Director (or equivalent), including acting Executive Director
• the email relates in any way to the SERC report on ASIC investigation and enforcement (whether before or after the report’s formal tabling), and
• the email was not sent outside the Commonwealth.

16/08/2024 - 5 documents released in part and 6 documents released in full

09/09/2024 - 3 additional documents released in part, following an internal review

FOI 141-2024 (PDF, 7MB)

FOI 141-2024 (Additional Documents) (ZIP, 1MB)

FOI 112-2024

14 August 2024

31 July 2024

I seek copies of documents related to the appointment of the current CEO as CEO and to his previous role as COO.

For each of the above appointments, I seek copies of:

1. Advertisements, external or internal, of the position
2. The selection criteria
3. Documents outlining how the selection process was to be organised
4. Documents showing the composition of the interview panel
5. The decision by ASIC's commissioners to make the appointment
6. Minutes of ASIC commission meetings where the appointment was discussed and approved
7. Copies of any delegations relating to the power to make the appointment

29 documents released in part

FOI 112-2024 (ZIP, 7MB)

FOI 123-2024

24 July 2024

22 July 2024

We are seeking information pertaining to the reinstatement of Boral Bricks Western Australia Pty Ltd ACN 008 674 244.

Specifically, we request a copy of the Form 581 Application for reinstatement of company filed with ASIC, including any associated documents, correspondence, and communications related to this reinstatement.

5 documents released in part

FOI 123-2024 (ZIP, 3MB)

FOI 117-2024

9 July 2024

28 June 2024

I have spoken to a number of Australians who have lost millions to financial advisers who have acted inappropriately with their funds.
This includes financial advisers who have been full-time employed by a financial advice firm, and financial advisers who act independently.

I would like to know how many financial advisers ASIC has investigated in the past year, how many of those resulted in a ban, and exactly how many current investigations into the professional behaviour of financial advisers remain open right now?

Also, how long does an investigation tend to take, and what does the process of an investigation entail? Do you speak to victims who have lost money in the process of an investigation?

1 document released in part

FOI 117-2024 (ZIP, 98KB)

FOI 092-2024

9 July 2024

1 July 2024

I wish to FOI all briefings to ASIC chair Joe Longo concerning moves by Commonwealth Bank of Australia to dump bonus caps.

The time period for this FOI should cover the period of January 2023 through to April 2024.

4 documents released in part

FOI 092-2024 (ZIP, 2MB)

FOI 106-2024

5 July 2024

21 June 2024

I request a copy of any submissions by the Australian Securities and Investments Commission to Treasury’s Quality of Advice Review and its multiple subsequent consultations, and/or its submission to the Senate Economics Legislation Committee ― Treasury Laws Amendment (Delivering Better Financial Outcomes & Other Measures) Bill 2024 inquiry.

Separately and in addition, I request any written briefs or advice provided by the Australian Securities and Investments Commission to Treasury, Assistant Treasurer and Minister for Financial Services Stephen Jones or his staff relating to the topic of trustee oversight of advice fee deductions from members’ superannuation accounts.

5 documents released in part

FOI 106-2024 (ZIP, 3MB)

FOI 091-2024

19 June 2024

19 June 2024

This letter is a request for the purposes of the Freedom of Information Act 1982 seeking access to emails, correspondence and/or briefs sent or delivered to The Office of the Hon Stephen Jones MP, Assistant Treasurer and Minister for Financial Services from the Australian Securities and Investment Commission (ASIC), over the period 1 June 2022 to 30 Mar 2024 relating to:

• Managed Investment Schemes, or
• Thresholds for determining if an investor is a wholesale client, or
• Roles and/or obligations of responsible entities, or
• Review of the Regulatory Framework for Managed Investment Schemes.

I do NOT seek access to duplicates of any document captured within the scope of the request; nor the mobile numbers or full email addresses of government officials, nor the names and contact details of government officials not in the Senior Executive Service or equivalent.

I do ask that junior official’s position or titles be left unredacted, along with email domains that provide useful information as to the origin and destination of communication e.g. ‘[redacted]@asic.gov.au’.

5 documents released in part

FOI 091-2024 (ZIP, 1MB)

FOI 005-2024

13 May 2024 and 19 July 2024

29 April 2024 and 5 July 2024

All correspondence between Magnis Energy Technologies and ASIC for the period of 2023.

13/5/2024 - 1 document released in part

19/7/2024 - 7 additional documents released in part, following an internal review

FOI 005-2024 (PDF, 259KB)

FOI 005-2024 (Additional Documents) (PDF, 2MB)

FOI 065-2024

8 May 2024

8 May 2024

All the "offers to buy" Tibra Capital Pty Ltd has lodged with ASIC under ss 257G and 257E of the Corps Act.

All ASIC records in relation to action taken by ASIC concerning Tibra's failure to have lodged with ASIC the requisite "offers to buy" in accordance with ss 257G and 257E of the Corps Act.

4 documents released in full

FOI 065-2024 (ZIP, 660KB)

FOI 043-2024

29 April 2024

23 April 2024

I am seeking documents that outline any assessments of insurance agencies and in relation to the collapse of Greensill Group companies (that includes Greensill Capital (UK) Ltd, Greensill Capital Pty Ltd, Greensill Bank) in March 2021.

We seek documents including risk registers, or briefs, summaries or reviews to executives or commissioners overseeing the Credit, Banking and General Insurance team, or the Regulation and Supervision division and its licensing team.

The key words for any search could include: Greensill, Bond and Credit Co, BCC, Tokio Marine and IAG (or Insurance Australia), or Greg Brereton. The documents would either include references to insurance agencies or Bond and Credit Co (or BCC) or Greg Brereton.

We seek documents that capture assessments of how insurance agencies have performed in the context of the problems with the Greensill Group and insurance contracts.

The timeframe for this request is from March 2020 until March 2023.

5 documents released in part

FOI 043-2024 (ZIP, 1MB)

FOI 140-2019

26 April 2024

15 April 2024

The following documents for the period Jan 1 2011 until 30 November 2015 relating to the findings on which licence conditions were imposed on Morgans Financial's financial services licence in 2015.

• internal summaries by ASIC of the problems/infractions mentioned in the below media release
• https://asic.gov.au/about-asic/news-centre/find-a-media-release/2015-releases/15-357mr-asic-imposes-licence-conditions-on-morgans-financial-limited/
• Correspondence from Morgans to any summaries (initially given by ASIC verbally or in writing) about the problems/infractions mentioned.

7 documents released in part

FOI 140-2019 (ZIP, 1MB)

FOI 039-2024

8 April 2024

22 March 2024

I am writing to request, under the Freedom of Information Act 1982 (Cth), the following records of former ASIC Commissioner, Ms Cathie Armour, for the period 12 May 2021 to 21 May 2021 relating to Nuix Limited:
a. all internal emails with ASIC officials;
b. all emails with external parties (i.e., external to ASIC);
c. handwritten notes;
d. phone logs;
e. chat messages;
f. non-encrypted sms messages (both with ASIC officials as well as external parties); and
g. encrypted messages (whether they be WhatsApp or Signal).

11 documents released in part

FOI 039-204 (ZIP, 2MB)

FOI 009-2024

26 February 2024

26 February 2024

• Any emails or other communications (eg. meeting invitations/speeches/ videos/transcripts/memorandums/revised chief executive instructions or equivalent) directed at all staff about either the Royal Commission on the Robo-debt Scheme (‘the Royal Commission’), or the government response to the Royal Commission
• Any emails or other communications (eg. meeting invitations/speeches/ videos/transcripts/memorandums/revised chief executive instructions or equivalent) directed at all SES (or equivalent) staff about the Royal Commission on the Robo-debt Scheme, or the government response to the Royal Commission
• Any brief prepared for Senate estimates in October 2023 relating to how the agency was responding to the Royal Commission or the government response to the Royal Commission
• Any brief, agenda paper, submission (or similar) to the agency’s executive leadership group/senior leadership group (or however named in your agency) about how the agency was responding to the Royal Commission or implementing the government response to the Royal Commission
• Any document relating to changing training modules/induction (or similar) (whether internally or externally delivered), to incorporate information about the Royal Commission or the government response to the Royal Commission

7 documents released in part

FOI 009-2024 (ZIP, 3MB)

FOI 248-2023

19 February 2024

12 February 2024

• Jan 27 2010 Documents produced in response to ASIC notice number: S01546287 to NAB (13 documents)
• April 16 2010 Documents produced in response to ASIC notice number: S02044299 to ANZ (7 documents)
• April 16 2010 Documents produced in response to ASIC notice number: S02009723 to ANZ (9 documents)

3 documents released in part

FOI 248-2023 (ZIP, 1.5MB)

FOI 243-2023

16 February 2024

9 February 2024

On 17 March 2017, a Report of Misconduct was received by ASIC from the WA Dept of Commerce. Between 20 March 2017 and 31 May 2017 various communications are noted in ASIC’s Sterling Income Trust Chronology document, page 9. I would like a copy of the Report of Misconduct sent by the WA Dept of Commerce as well as copies of each of the referenced communications.

12 documents released in full, 23 documents released in part

FOI 243-2023 (ZIP, 37MB)

The summary document prepared by ASIC of SERC Submissions circulated to ASIC personnel in an internal June/July update (2023).

1 document released in full

I request please any presentations delivered to ASIC staff about the proposed restructure that took place in July. To narrow the scope of this request, I request slides mentioning the Corporate Finance Team or the corporate finance function.

3 documents released in part

A copy of the ASIC delegate’s decision in relation to the application by Capital Mortgage Group Pty Ltd to seek an amendment of its credit licence to add the debt management authorisation.

1 document released in part

Documents / web links that identify the laws that govern credit licences.

1 document released in full

Any correspondence/ emails/encrypted communications between current ASIC Commissioners, the CEO (formerly COO), Executive Directors Mr Tim Mullaly, Mr Chris Savundra, Mr Zak Hammer and CHOICE CEO, Mr Alan Kirkland, since 1 September 2022.

15 documents released in part, with staff contact details redacted under s 11C(1)(a)

I note that on 31 July 2023, journalist David Ross from The Australian newspaper reported the following:
“ASIC declined to comment on several WhatsApp messages sent by Mr Hempton to
Ms Chester, but The Australian understands the deputy chair reported three messages from her former colleague on WhatsApp from about the beginning of 2022.
“These messages, according to ASIC sources, were forwarded to the regulator’s general counsel Chris Savundra, who then passed them on to “relevant ASIC staff” to be recorded as misconduct reports.”

Given Mr Ross’ reporting, I am now seeking the following:

1. any emails, hand written notes, chat messages and text messages on Commonwealth (or ASIC) or privately purchased devices from the following ASIC officials and teams:
   1. Karen Chester;
   2. Chris Savundra; and
   3. misconduct and breach reporting team
      which relate to the three Whatsapp messages sent from Mr Hempton to Ms Chester.
2. the three Whatsapp messages that were sent from Mr Hempton to Ms Chester.

4 documents released in part, with staff contact details redacted under s 11C(1)(a)

Document showing number of FTE assigned to the Corporate Finance team under the current ASIC structure

1 document released in full

Copies of messages, emails, WhatsApp messages sent by Deputy Chair Karen Chester to General Counsel Chris Savundra in 2022 concerning:

• John Hempton; and/or
• WhatsApp messages exchanged between Mr Hempton and Karen Chester.

2 documents released in part, with staff contact details redacted under s 11C(1)(a)

1. The documents I am seeking only include email correspondence.
2. The documents include information received and sent by ASIC's Media team.
3. The recipients include, but are not limited to, ASIC’s Media team.
4. I would like to submit a revised timeframe, of between to 01/06/2021 to 01/09/2023.

16/10/2023 - 5 documents released in full and 3 documents released in part

16/11/2023 - 1 additional document released in part, following an internal review

FOI 169-2023 (ZIP, 5MB)

FOI 169-2023 (Additional Document) (PDF, 406KB)

Every encrypted message that Ms Chester has sent or received with Mr John Hempton related to official ASIC business.

Records or documents relating to when Ms Chester was originally issued with her Commonwealth (or ASIC) issued mobile phone device.

A copy of the 2018 APS Employee Census Results for ASIC.

Any documents (including organisation charts) that show the number of staff and/or full time equivalent staff or the individuals: (a) in the Financial Reporting & Audit Team at any time from 30 June 2021 to 3 July 2023; (b) involved in the surveillance and regulation of financial reports and audits in the Companies and Small Business Team at any time from 3 July 2023 to date; and (c) formerly from the Financial Reporting & Audit Team in the Companies and Small Business Team at any time from 3 July 2023 to date.

Any organisation charts or staff listings for the Financial Reporting & Audit Team and the Companies and Small Business Team at any time from 1 July 2021 to date. Names of individuals could be redacted.

Any documents showing the number of financial reports reviewed as a part of the financial reporting surveillance program during the period from 1 July 2021 to 30 June 2022 (including any parts thereof) and during the period from 1 July 2022 to 30 June 2023 (including any parts thereof), on the basis of reviews commenced and/or on the basis of reviews completed.

Given that the second sentence on page 8 of Report 743 ‘Audit Inspection report: 1 July 2021 to 30 June 2022’ says “This year we reviewed 220 entity financial reports under our separate financial reporting surveillance program …”, a request could be made for any documents showing the equivalent number of financial reports reviewed for the following year. I would like to request any documents showing the number of audit files and key audit areas reviewed in the 12 months to 30 June 2023 on a similar basis to the following numbers shown on page 5 of ASIC Report 743 for the 12 months to 30 June 2022 – 45 “Audit files reviewed” and 146 “Key audit areas reviewed”.

…a copy of the report or findings presented to deputy chair Karen Chester concerning a review conducted on behalf of ASIC concerning the use of ASIC credit cards, travel expenses, and allowances.

The review was conducted by the Pitt Group on behalf of ASIC.

The expenses review was conducted in the period November 2020 to January 2021.

Under freedom of information laws, I'm seeking access to the following documents:
- Drafts and final version of the PwC 'Infrastructure Review' report ASIC commissioned in June 2021.

Correspondence from ASIC to Petsure in relation to Pet Insurance and ASIC's stop order issued on June 29 2023 excluding the names of ASIC staff and Petsure staff.

Correspondence from ASIC to Hollards in relation to Pet Insurance and ASIC's stop order issued on June 29 2023 excluding the names of ASIC staff and Hollard staff.

I wish to FOI all correspondence between ASIC chief operating officer Warren Day and ASIC deputy chair Karen Chester from the period of December 2019 to January 2023 concerning:

- travel expenses
- travel allowance
- accommodation costs
- accompanied accommodation costs
- payment of travel expenses
- hotels
- airfares

I wish to receive copies of all email communications between Mr Day and Ms Chester including any explanation from Ms Chester to Mr Day regarding the reasons for the claiming of these expenses.

This would include correspondence from Ms Chester to Mr Day detailing the meetings she undertook in Canberra in the period and how this related to her travel expenses.

I wish to FOI a tally of the total spend of all travel expenses of ASIC commissioners for the periods of the periods of:

FY2019-2020
FY2020-2021
FY2021-2022
FY2022-2023
FY2023-2024

This tally should be broken down by commissioners, chairs, and deputy chairs. IF chairs, commissioners, or deputy chairs were not present during these periods, please note this in the timeframe in the tally.

If possible, this tally should also include how much of the total travel expenditure budget was used by the commissioner, chair, or deputy chair in that period.

For the purposes of this FOI the term travel expenses refers to any and all variation of the term. this may include travel costs, travel expenditure, travel budget, living expenses, relocation costs, work away costs, remote working costs.

1. ASIC's Information and Records Management Policy; and
2. internal policies, guidelines and operational procedures concerning the use of phones for official ASIC use (whether they be ASIC (or Commonwealth) issued phones privately purchased phones).

1. I am writing to request under the Freedom of Information Act 1982 (Cth), all documents, emails, chat messages or text messages on any government issued mobile phone or tablet device or phone calls held by the ASIC that concern the establishment of the current parliamentary inquiries into ASIC.
2. Specifically, I am seeking records from 26 October 2022 to 28 October 2022 for the following ASIC officials:

• Jesse Krncevic – Head of Government Relations at ASIC;
• Vicky Finn – Senior Manager, Government Relations and Regulatory;
• and Any other ASIC Senior Manager who is responsible for Government Relations and External Affairs.

I am writing to request records under the Freedom of Information Act 1982 (Cth) regarding the “organisational design, and restructure, of ASIC”– which has been publicly confirmed by ASIC Chair Joseph Longo. Specifically, I seek the following documents:

1. all proposals by consulting firms who submitted a tender application to ASIC related to the provision of services in assisting the “organisational design, and restructure, of ASIC”;
2. ASIC’s consulting proposal evaluation report (or any other similar document);
3. the ASIC-Nous Group contract relating to the specific “organisational design, and restructure, of ASIC” engagement;
4. any status reports which Nous Group submitted to ASIC as part of the “organisational design, and restructure, of ASIC”;
5. any draft reports submitted by Nous Group; and
6. the final report submitted by Nous Group.

1. I am writing to request under the Freedom of Information Act 1982 (Cth) all documents and emails held by ASIC relating to the:

• “Senate Economics References Committee Inquiry Steering Group”; or
• “SERC Inquiry Steering Group”.

2. Specifically, I am seeking planning documents, agenda papers and minutes of meetings for the period of 1 November 2022 to 14 July 2023.

Establishment of the Parliamentary Inquiry into ASIC

Documents, emails, chat messages or text messages on any government issued mobile phone or tablet device or phone calls held by the ASIC that concern the establishment of the current parliamentary inquiries into ASIC.

Specifically, records from 25 October 2022 to 28 October 2022 from the following ASIC officials:

1. Joseph Longo;
2. Sarah Court;
3. Karen Chester;
4. Louise Macaulay;
5. Warren Day;
6. Zoe Viellaris;
7. Tim Mullaly;
8. Sharon Concisom;
9. Brendan Facey; and
10. ASIC Media team.

Data relating to the Office of Enforcement Documents from 2019 to 2023 relating to a profile breakdown of staff within ASIC’s Office of Enforcement by:

1. age; and
2. primary tertiary qualification.

FOI 090-2023 (PDF 5MB)

FOI 080-2023 (PDF 588KB)

Documents held by the Australian Securities and Investments Commission (ASIC) in relation to the decision to reach a settlement agreement with Dixon Advisory and Superannuation Services (DASS).

Specifically, I would like to request any correspondence, including email, letters, memos, or other written communications, to and from ASIC Chair Joe Longo and/or other commissioners relating to the decision to reach a settlement agreement with DASS.

I am seeking access to all documents within the timeframe of January 1st 2020 to December 31, 2021.

FOI 066-2023 (ZIP 2MB)

FOI 049-2023 (PDF 701KB)

FOI 046-2023 (ZIP 1MB)

FOI 046-2023 (Additional Documents) (ZIP 1MB)

Correspondence containing the following individuals/teams views on changes to access to documents for a non-party under Federal Court Legislation Amendment Rule 2022 subrule 2.32:

• The Commission
• ASIC’s Media Unit
• ASIC’s Chief Legal Office (in particular, ASIC’s General Counsel and Special Counsel, Civil Litigation)
• ASIC’s Office of Enforcement leadership team

FOI 039-2023 (ZIP 7MB)

FOI 068-2023 (ZIP 10.8MB)

FOI 033-2023 (ZIP 2MB)

• How many times has ASIC approached the DPP about launching legal action?
• How many of those approaches have resulted in legal proceedings?
• How many people are in legal proceedings?
• How many did not proceed to legal action, and what were the specific reasons given?

FOI 023-2023 (PDF 131KB)

FOI 015-2023 (ZIP 2MB)

FOI 011-2023 (ZIP 2MB)

FOI 213-2022 (PDF 85KB)

FOI 226-2022 (ZIP 1.89MB)

FOI 217-2022 (ZIP 2.09MB)

FOI 211-2022 (ZIP 20MB)

FOI 231-2022 (ZIP 705KB)

FOI 210-2022 (ZIP 1.24MB)

FOI 207-2022 (ZIP 8.47MB)

FOI 199-2022 (PDF 9.25MB)

FOI 209-2022 (PDF 1.3MB)

FOI 198-2022 (PDF 741KB)

FOI 200-2022 (ZIP 5.29 MB)

FOI 153-2022 (ZIP 3.18MB)

I am happy to exclude names and contact details.

FOI 185-2022 (PDF 359KB)

Under the Freedom of Information Act, I request a schedule of correspondence between the ASICs Corporations Team and Bridge SaaS.

I am not interested in the names or email addresses of any public servants

FOI 156-2022 (PDF 219KB)

I wish to FOI all communications for QBE to ASIC and ASIC to QBE concerning QBE's review of its pricing practices.

I am happy to exclude names and contact details from this FOI.

FOI 142-2022 (ZIP 10MB)

• All photographs captured by ASIC’s investigation into Melissa Caddick;
• Any chronology documents of the investigation.

FOI 135-2022 (1) (ZIP 104.76MB)

FOI 135-2022 (2) (ZIP 142.64MB)

FOI 135-2022 (3) (ZIP 104.26MB)

FOI 135-2022 (4) (ZIP 99.08MB)

Documents relating to the application made by Better Lending Pty Ltd for an Australian Credit Licence.

27/9/2022 - 6 documents released in part and 3 documents released in full

27/10/2022 - 1 additional document released in full following expiration of third party review rights

FOI 144-2022 (ZIP 2.18MB)

FOI 144-2022 (Additional document) (PDF 1.16MB)

ASIC’s correspondence with Treasury as detailed in ASIC’s Infographic response to CP 332 under the section ‘Next steps’.

• Specifically any report ASIC produced on the findings of its consultation

FOI 166-2022 (PDF 209KB)

Any record of any communication, including file notes, about the KPMG Australia exam cheating allegations.

You may redact the names and contact details of KPMG staff. You may redact the contact details of all other named individuals.

You may also exclude all material that was provided in this request: Ref 216-2021.

FOI 145-2022 (ZIP 9MB)

FOI 127-2022 (ZIP 2.08MB)

FOI 125-2022 (PDF 22MB)

FOI 112-2022 (ZIP 9MB)

FOI 132-2022 (ZIP 22MB)

(Internal review of FOI 022-2022)

FOI 022-2022 (ZIP 2.20MB)

• ASIC's submission document to the AWEI scheme;
• The results of ASIC's AWEI's submission
• Results of AWEI employee survey conducted by ASIC on ASIC employees;
• Invoices to or from either ACON or Pride in Diversity (from 2021 and 2022).

FOI 119-2022 (ZIP 8MB)

FOI 113-2022 (PDF 644KB)

FOI 066-2022 (ZIP 15MB)

FOI 121-2022 (PDF 300KB)

FOI 086-2022 (ZIP 9.32MB)

FOI 088-2022, FOI 089-2022 (ZIP 921KB)

FOI 065-2022 (ZIP, 6MB)

FOI 111-2022 (PDF, 241KB)

FOI 100-2022 (ZIP, 3.95MB)

FOI 090-2022 (ZIP, 4MB)

FOI 097-2022 (PDF 1.64MB)

FOI 032-2022 (PDF 5.12MB)

FOI 061-2022 (PDF 30.14MB)

FOI 078-2022 (PDF 3.82MB)

FOI 032-2022 (PDF 2.6MB)

FOI 055-2022 (PDF 6.1MB)

FOI 036-2022 (PDF 45MB)

FOI 028-2022 (PDF, 12MB)

FOI 022-2022 (ZIP, 1.7MB)

FOI 004-2022 (PDF, 864 KB)

FOI 029-2022

FOI 029-2022 (ZIP 4MB)

FOI 037-2022

FOI 037-2022 (PDF 869KB)

FOI 015-2022

FOI 016-2022

FOI 015-2022, FOI 016-2022 (PDF 380KB)

To access the document, please email foirequest@asic.gov.au

FOI 044-2022 (PDF 362KB)

1. Correspondence with Canaccord Genuity relating to sell-side research produced by the company in 2021
2. Internal memos or reviews written in 2021 relating to conflicts of interest in sell-side research, relating to Canaccord
3. A list of meetings or calls between ASIC and Canaccord Genuity and the topic of discussion, in 2021

FOI 024-2022 (PDF 6MB)

FOI 263-2021 (PDF 275KB)

FOI 270-2021 (PDF 335KB)

1. Internal and external correspondence referring to ‘confirmation of payee’ as it relates to the ePayments Code Review; and
2. Documents prepared by ASIC containing ASIC's consideration of the merits of implementing a confirmation of payee service in Australia

To access the document, please email foirequest@asic.gov.au

1. ASIC media release titled Barton Capital Securities provides enforceable undertaking dated 9 May 2002 (MR 02/162)
2. Enforceable Undertaking referred to in MR 02/162

FOI 261-2021 (ZIP 496KB)

1. Claims lodged with ASIC under the Compensation for Detriment due to Defective Administration Scheme (CDDA Scheme) from 1 January 2015 to 31 January 2019
2. Internal correspondence which relates to the above claims
3. Decisions made in respect of the above claims

FOI 255-2021 (ZIP 1.4MB)

12/01/2022-2 documents released in part

14/02/2022-10 additional documents released in part, following an internal review

To access the document, please email foirequest@asic.gov.au

To access the document, please email foirequest@asic.gov.au

Documents relating to ASIC's assessment of the prospectus issued by Happy Valley Nutrition - ASX code - HVM

7 documents released in full

2 documents released in part

To access the document, please email foirequest@asic.gov.au

1 document released in part

To access the document, please email foirequest@asic.gov.au

1 document released in full

To access the document, please email foirequest@asic.gov.au

5 documents released in part

To access the document, please email foirequest@asic.gov.au

6 documents released in part

To access the document, please email foirequest@asic.gov.au

8 documents released in part

To access the document, please email foirequest@asic.gov.au

4 documents released in part

To access the document, please email foirequest@asic.gov.au

2. Documents which record ASIC’s consideration of Sargon Capital’s external administration

3. Communications between ASIC and Taiping Trustees Limited in relation to a HK$500 million secured promissory note between 29 January 2020, and 3 February 2020 and
documents that record ASIC’s consideration of any information conveyed by Taiping Trustees Limited

Please note the two documents released relate to category 3 of the request.

2 documents released in full, with material that was irrelevant to the request removed under s 22 of the FOI Act

To access the document, please email foirequest@asic.gov.au

1 document released in part

To access the document, please email foirequest@asic.gov.au

1 document released in part

To access the document, please email foirequest@asic.gov.au

1 document released in full

To access the document, please email foirequest@asic.gov.au

1 document released in full, with material that was irrelevant to the request removed under s 22 of the FOI Act

To access the document, please email foirequest@asic.gov.au

Please note that the Relevant Period is the period 1 July 2013 to 23 September 2021.

3 documents released in full, relevant to categories 1 and 5 of the request.

To access the document, please email foirequest@asic.gov.au

1 document released in part.

To access the document, please email foirequest@asic.gov.au

1 document released in part.

To access the document, please email foirequest@asic.gov.au

2 documents released in part.

To access the document, please email foirequest@asic.gov.au

4 documents released in part.

To access the document, please email foirequest@asic.gov.au

2 documents released in part.

To access the document, please email foirequest@asic.gov.au

1 document released in part, with material that was irrelevant to the request removed under s 22 of the FOI Act.

To access the document, please email foirequest@asic.gov.au

1 document released in part.

To access the document, please email foirequest@asic.gov.au

2 documents released in full.

To access the document, please email foirequest@asic.gov.au

1 document released in part, with material withheld pending expiry of review rights.

To access the document, please email foirequest@asic.gov.au

1 document released in part.

To access the document, please email foirequest@asic.gov.au

• Any internal correspondence including emails, file notes, phone calls, that relate to Project Tiger Lilly, which was launched by Macquarie in Jan 2018.

• Any letters and phone calls and file notes between January 2 to June 28 this year from ASIC’s David Jeyaratnam to current and former Macquarie staff from the wealth division. Any template letters sent by ASIC to current [and] former staff related to this inquiry into Macquarie's wealth management division.

• Any internal correspondence including emails and file notes to and from Mr Jeyaratnam that refers to Macquarie’s wealth division between Jan 2020 to June 28, 2021. The correspondence may refer to Macquarie’s WRAP platform called Macquarie Vision.

To access the document, please email foirequest@asic.gov.au

To access the document, please email foirequest@asic.gov.au

To access the document, please email foirequest@asic.gov.au

2 documents released in full.

28/09/2021 - Additional 3 documents released.

To access the document, please email foirequest@asic.gov.au

To access the document, please email foirequest@asic.gov.au

To access the document, please email foirequest@asic.gov.au

To access the document, please email foirequest@asic.gov.au

To access the document, please email foirequest@asic.gov.au

To access the document, please email foirequest@asic.gov.au

To access the document, please email foirequest@asic.gov.au

To access the document, please email foirequest@asic.gov.au

To access the document, please email foirequest@asic.gov.au

To access the document, please email foirequest@asic.gov.au

To access the document, please email foirequest@asic.gov.au

To access the document, please email foirequest@asic.gov.au

To access the document, please email foirequest@asic.gov.au

To access the document, please email foirequest@asic.gov.au

To access the document, please email foirequest@asic.gov.au

Available to download at:

1. https://service02.afca.org.au/CaseFiles/FOSSIC/629909.pdf
2. https://service02.afca.org.au/CaseFiles/FOSSIC/630080.pdf
3. https://service02.afca.org.au/CaseFiles/FOSSIC/630085.pdf
4. https://service02.afca.org.au/CaseFiles/FOSSIC/630087.pdf
5. https://service02.afca.org.au/CaseFiles/FOSSIC/632991.pdf

• All correspondence between Greg Medcraft and Justin O'Brien (of the Trust Project) between February 2009 and November 2017.
• All ASIC documents and internal relating to Justin O'Brien and "EXISTENTIAL RESEARCH LTD" and the Strike-Off action.

FOI 273-2020

9 March 2021

Request for information provided to ASIC regarding the question of consent to act as an officeholder of various companies.

Released in part – response provided by relevant companies regarding the consent to act as an officeholder of:

• Riverstone Property Consultancy Pty Ltd ACN 607 892 811
• Spark Property Group Pty Ltd ACN 168 355 986
• KMA Developments NO2 Pty Ltd ACN 603 767 639
• KMA Developments NO4 Pty Ltd ACN 603 793 666
• NK7 Pty Ltd ACN 169 017 501.

To access the documents, please email foirequest@asic.gov.au

2 documents released in part, with material that was irrelevant to the request removed under s 22 of the FOI Act.

5 documents released in part

25/08/2020 - Additional 6 documents released.

2. Any minutes or records of meetings between ASIC and Treasury, the Treasurer or the Treasurer's office, regarding the determination

3. Any messages exchanged between ASIC's commissioners and a) officials of Treasury, b) the Treasurer or c) the Treasurer's office regarding the determination

5 documents released in full.

These documents are extracted from ASIC’s systems and cannot be used for submissions.

Released in full.

Released in full - ASIC notice of intent to deregister KMV Constructions Pty Ltd addressed to Brent Vincent.

1 document released in full. 12 documents released in part.

Released in part.

1. The audited accounts for Breakaway Private Equity Fund Pty Limited as trustee for the Breakaway Private Equity Emergency Resources Fund from 2013 to 16 August 2018;
2. The reasons for the cessation of AFSL number 290093 and for the authorised representative AFSL number 000326520.
3. Whether cessation was voluntary or otherwise.

• attachments to emails
• regulatory interactions between ASIC and overseas regulators
• business information of third parties which would require consultation
• personal information of ASIC staff that does not relate to their usual duties and responsibilities

The attachments referred to in the internal correspondence recorded in:
Schedule C Macquarie – 15-022MR

Schedule B Macquarie – 14-201MR

Schedule A Macquarie – 13-010MR

Attachments to internal correspondence relating to development of media releases. Released in full.

Form 912A and one document titled ‘Freedom of Information Request – Document providing information held in electronic form by ASIC’.

Emails and letters sent between ASIC and Local Appliance Rentals Pty Ltd.

15 documents released in full and 10 released in part.

1. Assetless administration funding request
2. Letter from ASIC to Armstrong Wily (released in part)

Released in full.

These included documents sent by KordaMentha to ASIC, and redacted versions of internal ASIC documents in relation to the matter

Released in full

Released in full following IC review

Released in full

• titles, subtitles or headers;
• any wording which forms part of any template form of SPEAR reports; and
• any reference to names of employees or officers of ASIC.

Released in part

Released in part

Released in part

Updated 11.07.19 - document released in full

Released one document in full titled ‘Freedom of Information Request – Document providing information held in electronic form by ASIC‘.

Released in full

• The Section 19 (ASIC Act) notices sent during ASIC’s investigation of MFS Investment Management.

Two additional documents released:

1. 1. File Note dated 1 April 2015
2. Schedule to Notice dated 21 February 2014

Released in part.

1. Delegation, Authorisation and Appointment Instrument – 2018/0241
2. Extract from Business rules for the exercise of regulatory powers.

To access the documents please email foirequest@asic.gov.au

To access the documents please email foirequest@asic.gov.au

To access the documents please email foirequest@asic.gov.au

To access the documents please email foirequest@asic.gov.au

To access the documents please email foirequest@asic.gov.au

• SCT decision dated 3 July 2018, determination number D18-19/002, file number 15-931;
• SCT letter to NULIS Nominees (Australia) Limited dated 11 July 2018, enclosing letter to ASIC dated 11 July 2018 and the section 64 notification to ASIC dated 8 July 2018, and
• SCT letter to ASIC dated 11 July 2018, enclosing the section 64 notification to ASIC dated 8 July 2018.

To access the documents please email foirequest@asic.gov.au

2. Letter from The Hon Dr Andrew Leigh to ASIC (released in full)

3. Letter from ASIC to The Hon Dr Andrew Leigh (released in full)

4. Letter from ASIC to The Hon Dr Andrew Leigh MP and The Hon Clare O’Neill MP (released in full)

To access the documents please email foirequest@asic.gov.au

• notices of intent to deregister ACN 060 104 912 – Hayes Microcomputer Products (Australia) Pty Ltd; and
• a gazette notice of intent to deregister ACN 060 104 912 – Hayes Microcomputer Products (Australia) Pty Ltd.

1. Internal ASIC email dated 12 August 2016 confirming the cancellation of the SMSF auditor registration of Mr John Le Lievre.
2. SMSF Auditor Registration Form Extract: Paragraph 3 – Addresses Details.
Released in part

• application by Orion Corporate Advisory Financial Services for an Australian Financial Services Licence
• assessment of that license application;
• granting of that licence; and
• cancellation of that licence.

• the application by Orion Corporate Advisory Financial Services (OCAF) for an Australian Financial Services Licence;
• supporting documentation including business references, statements of personal information, national police checks, national personal insolvency indexes, transcripts from education providers, and financial statements;
• emails and attachments from affected third parties to ASIC; and
• emails and attachments from OCAF to ASIC.

• ASIC Delegation, Authorisation and Appointment Instrument 2018/1010; and
• Business Rules for the Exercise of Regulatory Powers.

Released in part

Released in full

014 - Credit and Investments Ombo corro (F20170000589353)

021 - ACCC Corro (F20170000007843)

Released in part

Internal ASIC emails relating to the development of the media release 14-191MR - Statement on wholesale and retail investors and SMSFs

Released in part

Released in full

Released in part

Released in part

Released in part

Documents relating to hospitality, gift and sponsorship declarations by ASIC staff between 1 January 2014 to 7 December 2017

ASIC's gift registers for calendar years 2014 to 2017

Released in full

Certificate of Currency of PI insurance and the AFSL
application for Citywide Investment Services Pty Ltd

The FS01 application and the Certificate of Currency of PI insurance in relation to Citywide Investment Services Pty Ltd

Released in part

105

8 December 2017

Documents relating to Term Deposits

Letter template dated 2009 regarding Term Deposits to Bank CEOs and attachment

Released in full

To access the document please email foirequest@asic.gov.au

104

4 December 2017

Documents concerning purchases of current and historical extracts of Rescue Medics Australia Pty Ltd

List of purchases of current and historical extracts of Rescue Medics Australia Pty Ltd

Released in part

To access the document please email foirequest@asic.gov.au

103

9 November 2017

Summary notes and agenda of meeting between ASIC and the CEOs of the big 4 accounting firms - KPMG, Deloitte, PwC and EY held in August

Agenda of meeting held between ASIC and the CEOs of the big 4 accounting firms - KPMG, Deloitte, PwC and EY held on 14 August 2017

Released in full

To access the document please email foirequest@asic.gov.au

102

17 October 2017

Correspondence and any related documents between ASIC and PPB Advisory/KPMG on 7, 11 and 13 August 2015

Correspondence and related documents between ASIC and PPB Advisory/KPMG relating to BBY Ltd　

Released in part

To access the document please email foirequest@asic.gov.au

101

16 October 2017

Documents concerning ASIC media release "05-360 ASIC works with superannuation funds to improve exit disclosure" relating to Qantas Superannuation, and investigations, directions or complaints relating to Qantas' handbooks or PDSs

Correspondence between ASIC and Qantas Superannuation, and internal documents relating to compliance with disclosure obligations.

Released in part.

To access the document please email foirequest@asic.gov.au

100

20 September 2017

Documents concerning telecommunications data as defined in the Telecommunications (Interception and Access) Act 1979

Documents concerning ASIC's procedures & policies for accessing telecommunications data

Released in part

To access the document please email foirequest@asic.gov.au

99

1 September 2017

The FS01 (AFSL application) and FS70 & FS71 forms lodged in relation to CPA Australia Advice Pty Ltd

The FS70 & FS71 lodged in relation to CPA Australia Advice Pty Ltd

Released in full

To access the document please email foirequest@asic.gov.au

98

1 September 2017

Documents concerning the reasons for deregistration of Supermarket Group Pty Ltd

Letters from ASIC to Supermarket Group Pty Ltd, Notice from ASIC's company database

Released in part

To access the document please email foirequest@asic.gov.au

97

1 September 2017

Documents containing data sets provided to external organisations responsible for conducting ballots for all Enterprise Agreements proposed to take effect after 30 June 2014

Table describing the data sets ASIC provided to the ballot agent conducting the Enterprise Agreement ballots during the requisite period

Released in full

To access the document please email foirequest@asic.gov.au

96

29 August 2017

Correspondence in 2017 between ASIC and third parties concerning add-on insurance products sold by car dealers

Letter (including Annexure) from ASIC to a third party relating to add on insurance sold through car dealerships

Released in full

To access the document please email foirequest@asic.gov.au

95

22 August 2017

Notices issued by ASIC in relation to ASIC's proactive risk- based surveillance program to the parties referred to in ASIC Report 528 (report item 56 and item 12)

5 Notices issued to parties under s912C & 912E of the Corporations Act 2001 in relation to ASIC's proactive risk- based surveillance program referred to in ASIC Report 528

Released in part

94

7 August 2017

Documents concerning the winding up of Growth Plus Financial Group Pty Ltd.

Form 519 lodged with ASIC in relation to the winding up of Growth Plus Financial Group Pty Ltd. Documents between ASIC and Bendigo & Adelaide banks about ASIC's company alerts service.

Partial release

93

13 July 2017

Documents relating to the development of the following ASIC media releases and reports:　

• 17-076MR - ASIC releases findings of CommInsure investigation　
• Report on ASIC's Investigation into the Colonial Mutual Life Assurance Society Limited　
• 16-347MR - ASIC issues industry review of life insurance claims　
• REP 498 Life Insurance Claims: An industry review.

Internal correspondence and correspondence between ASIC and third parties relating to the development of the media releases and reports

Released in part

To access the document please email foirequest@asic.gov.au

92

8 May 2017

Documents containing summaries of the data ASIC collected on mistaken internet payments from subscribers to the ePayments code.

2 documents containing data regarding mistaken internet payments

Released in part

To access the document please email foirequest@asic.gov.au

91

20 April 2017

Documents relating to the development of the following ASIC media releases:　

Macquarie: 13-010MR, 14-201MR, 15-022MR　

AMP: 06-251　

NAB: 14-093MR　

Westpac: 14-236MR, 14-264MR　

Commonwealth Bank: 11-42AD, 11-229MR, 14-104MR, 14-192MR, 14-302MR

Internal correspondence and correspondence between ASIC and third parties relating to the development of the media releases　

Released in part on 12.4.17　

Additional document released in full on 17.5.17　

Additional documents released in part on 5.6.17

To access the document please email foirequest@asic.gov.au

Copy of correspondence referred to by ASIC's Deputy Chairman before the Senate Economics References Committee on 28 April 2016

Documents concerning ASIC's investigation into ABC Learning Centres Ltd

ASIC investigation progress reports for certain dates (released in part)

Document containing details of ASIC's investigation expenditure (released in full)

Documents containing guidance material governing the handling of FOI applications. Joint protocols for co-operation/ MOUs between ASIC and listed government agencies.

Documents concerning ASIC's arrangements for the handling of FOI requests during the 2015 Christmas period

Internal ASIC email dated 18 December 2015.

Released in full

Copy of ASIC memo concerning Trio Capital Ltd and Shawn Richard

Copy of ASIC memo dated 29 November 2010 concerning Trio Capital Ltd and the Enforceable Undertaking from Shawn Richard.

Released in part

Request for documents concerning an application made to ASIC under the CDDA scheme

Draft ASIC guide for assessing claims for compensation under the CDDA scheme.

Released in full

Australian financial services licence application of Tolhurst Capital Limited

ASIC Form FS01 - Australian financial services licence application for Tolhurst Capital Limited.

Released in part

Correspondence between ASIC and Standard Builders Pty Ltd and any other party about the company from 16 January 2011 to 16 October 2015

A letter from ASIC to Standard Builders Pty Ltd dated 16 January 2011.

Released in full

Documents received by ASIC between 1 January 2014 and 18 May 2015 concerning BBY Pty Ltd

Documents received by ASIC between 1 January 2014 and 18 May 2015 concerning BBY Pty Ltd.

Released in part

A copy of a purported deed dated 26 August 1986 for a superannuation fund where the sponsoring employer was Elders IXL Limited and a copy of the attached purported Rules.

Copy of a deed dated 26 August 1986 between Elders IXL Limited and Elders Superannuation Ltd attaching Elders IXL Superannuation Fund Rules. Released in full.

Documents concerning a prospectus lodged with ASIC by Mazu Alliance Limited

Internal ASIC emails. Released in part

Documents concerning the sale by ASIC of causes of action of deregistered companies vested in ASIC

Documents concerning applications received by ASIC concerning the property of deregistered companies and documents relating to ASIC's policies and procedures concerning the sale by ASIC of the property of deregistered companies

Documents concerning any ASIC investigation into movements in the Australian dollar immediately before the 3 February 2015 RBA interest rate decision

Internal ASIC emails and memo concerning ASIC's enquiries into foreign currency movements during the relevant period. Released in part.

Document containing details of ASIC's investigations expenditure in relation to Trio Capital for the period September 2009 to 22 July 2015

A table containing details of the information sought in the request. Released in full

Documents concerning PM Global Opportunities Fund Limited prospectus lodged on 4 November 2013

Letter to PM Capital Global Opportunities Fund Ltd from ASIC concerning Notice to Extend Exposure period for prospectus

Documents concerning the positions and delegations held by certain ASIC staff during specified periods and codes and policies concerning staff conduct

Codes and policies concerning staff conduct applicable to ASIC staff during certain specified periods.

Released in full

ASIC Form 388 - Financial Statements and reports re: Alpha Strategic Fund.

Email between ASIC and a third party.
Released in part

• Money recovery agency
• ASIC reuniting and;
• Other