FOI: ASIC disclosure log table (2022-current)

The table below contains the disclosure log entries from January 2022 to current.

Refer to FOI disclosure log for more information.

Reference number Date of publication Date of access Summary of FOI request Description of documents published (and whether released in full or part) Documents published
FOI 066-2023 9 June 2023 26 May 2023

…any 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.

6 documents released in part

FOI 066-2023 (ZIP 2MB)

FOI 049-2023 30 May 2023 18 May 2023

A copy of Form RL30 (Notice of significant events involving a liquidator) that would have been lodged by a now bankrupt Liquidator Mr Riad Tayeh (Liquidator Number 16521).

1 document released in full

FOI 049-2023 (PDF 701KB)

FOI 046-2023 29 May 2023 15 May 2023

..a copy of any reports or memos, and any correspondence between ASIC and the ASX, relating to the following companies, between 2018 and 2021:

XPD SOCCER GEAR GROUP LIMITED
DONGFANG MODERN AGRICULTURE HOLDING GROUP LIMITED

5 documents released in part

FOI 046-2023 (ZIP 1MB)

FOI 039-2023 25 May 2023 11 May 2023 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
2 documents released in part

FOI 039-2023 (ZIP 7MB)

FOI 068-2023 17 May 2023 15 May 2023 Emails received by ASIC from WA Consumer Protection in relation to Sterling New Life dated 12 April 2017 6 documents released in part

FOI 068-2023 (ZIP 10.8MB)

FOI 033-2023 27 March 2023 10 March 2023 Any documents relating to Adani Australia, Adani Mining Pty Ltd, Bravus Mining and Resources, Adani Enterprises prepared between the period of 24 January 2023 to 24 February 2023. 5 documents released in part

FOI 033-2023 (ZIP 2MB)

FOI 023-2023 24 March 2023 9 March 2023 Numbers from the last five years relating to:
• 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?
1 document released in full

FOI 023-2023 (PDF 131KB)

FOI 015-2023 14 March 2023 27 February 2023 A copy of the Australian Securities and Investments Commission’s submissions to
the Quality of Advice Review's Proposal Paper and/or Conflicted Remuneration
consultations. We also request access to any briefing documents to Treasury or Financial
Services Minister Stephen Jones about the proposals, recommendations or implementation
of the Quality of Advice Review
5 documents released in part

FOI 015-2023 (ZIP 2MB)

FOI 011-2023 22 February 2023 8 February 2023 Websites, apps or forms of content that ASIC has through any means requested be removed, blocked etc in 2015 – 2023 10 documents released in part

FOI 011-2023 (ZIP 2MB)

FOI 213-2022 8 February 2023 23 January 2023 Letter from ASIC to Cresco Pharma dated 21 November 2022 1 document released in part

FOI 213-2022 (PDF 85KB)

FOI 226-2022 8 February 2023 1 February 2023 Correspondence between May 2018 and August 2018 sent between ASIC and DMIRS relating to the June 2018 interviews of investors of Sterling First. 2 documents released in part

FOI 226-2022 (ZIP 1.89MB)

FOI 217-2022 30 January 2023 23 January 2023 Communications between HWL Ebsworth and/or AGS Commercial pursuant to which ASIC authorised AGS Commercial with Eligible Applicant Status. 6 documents released in part

FOI 217-2022 (ZIP 2.09MB)

FOI 211-2022 30 January 2023 24 January 2023 1. All documents in relation to FTX Australia commencing operations using AFSL 323193.
2. All communications about the decision to suspend the AFSL of FTX Australia (as mentioned in the media release https://asic.gov.au/about-asic/news-centre/find-a-media-release/2022-releases/22-316mr-asic-suspends-ftx-australia-s-afs-licence/)
56 documents released in part

FOI 211-2022 (ZIP 20MB)

FOI 231-2022 30 January 2023 18 January 2023 The minutes of all enforcement committee meetings that took place in August 2022. 3 documents released in part

FOI 231-2022 (ZIP 705KB)

FOI 210-2022 18 January 2023 17 January 2023 Correspondence between ASIC and the Liquidator for Bolinda Park Pty Ltd 6 documents released in part

FOI 210-2022 (ZIP 1.24MB)

FOI 207-2022 17 January 2023 16 January 2023 Copy of the Australian Securities and Investments Commission’s estimates briefing pack for the 2022 October and November Budget Estimates, for the Big 8 and Markets Group only 32 documents released in part

FOI 207-2022 (ZIP 8.47MB)

FOI 199-2022 5 January 2023 23 December 2022 A copy of SPL 1574 – Review of Moneysmart Money Management Kit, under contract CN ID: CN3775905, undertaken by Settlement Council of Australia 2 documents released in part

FOI 199-2022 (PDF 9.25MB)

FOI 209-2022 4 January 2023 19 December 2022 Final correspondence sent by ASIC to ALS Limited or its representatives outlining a notice of no action being taken 1 document released in full

FOI 209-2022 (PDF 1.3MB)

FOI 198-2022 4 January 2023 13 December 2022 Copy of the Review of ASIC’s Evidence Management Policies, Practices and Procedures. Identify Opportunities and Make Recommendations, undertaken by Kordamentha Pty Ltd, under contract CN ID: CN3787008. 1 document released in part

FOI 198-2022 (PDF 741KB)

FOI 200-2022 15 December 2022 12 December 2022 1. On 07 August 2017, there was an internal ASIC email between IMS and Corporations regarding a Sterling First matter in relation to funding. I would like to obtain a copy of this email and the response from Corporations back to IMS.
2. On 06 June 2018, ASIC served a Section 33 Notice on DMIRS in relation to the Sterling First investigation into the SIT SNL and Silverlink SNL. I would like to obtain a copy of this notice to DMIRS and a copy of the response from DMIRS back to ASIC.
2 documents released in part

FOI 200-2022 (ZIP 5.29 MB)

FOI 153-2022 9 December 2022 24 November 2022 Documents regarding the variation of AFS Licence 425165 in the period 1 January 2020 to present 9 documents released in part

FOI 153-2022 (ZIP 3.18MB)

FOI 185-2022 6 December 2022 21 November 2022 Copies of all communications between ASIC and Optus, also known as Singtel Optus pty ltd in the month of September 2022, relating to the Optus data breach.

I am happy to exclude names and contact details.

1 document released in part, with irrelevant matter redacted under s 22

FOI 185-2022 (PDF 359KB)

FOI 156-2022 9 November 2022 25 October 202

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

1 document released in part with irrelevant material redacted under s 22

FOI 156-2022 (PDF 219KB)

FOI 142-2022 3 November 2022 19 October 2022

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.

23 documents released in part

FOI 142-2022 (ZIP 10MB)

FOI 135-2022 20 October 2022 6 October 2022

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

299 documents released in part

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)

FOI 144-2022 27 September 2022 and 27 October 2022 19 September 2022 and 21 October 2022

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)

FOI 166-2022 27 September 2022 26 September 2022

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
1 document released in part

FOI 166-2022 (PDF 209KB)

FOI 145-2022 9 September 2022 26 August 2022

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.

34 documents released in part

FOI 145-2022 (ZIP 9MB)

FOI 127-2022 2 September 2022 24 August 2022 Documents regarding ASIC’s assessment of iSignthis’s June 2018 Full Year accounts 4 documents released in part

FOI 127-2022 (ZIP 2.08MB)

FOI 125-2022 20 August 2022 19 August 2022 Various documents relevant to the operations of Avestra Asset Management Limited (in Liq) and related entities as referenced in Australian Securities and Investments Commission v Avestra Asset Management Limited (In Liquidation) [2017] FCA 497 23 documents released in part and 1 document released in full

FOI 125-2022 (PDF 22MB)

FOI 112-2022 10 August 2022 27 July 2022 Documents relating to the purchase of the land ‘Victorian Certificate of Title Volume 11252 Folio 769’ 13 documents released in full

FOI 112-2022 (ZIP 9MB)

FOI 132-2022 4 August 2022 21 July 2022 PowerPoint slides, notes and any materials relating to the ASIC graduate program's orientation sessions given to new staff from the beginning of this year's graduate program to date. 3 documents released in part

FOI 132-2022 (ZIP 22MB)

FOI 022-2022 6 July 2022 20 July 2022 Documents concerning ASIC's investigation of Regal Funds Management Pty Ltd

(Internal review of FOI 022-2022)

2 documents released in part

FOI 022-2022 (ZIP 2.20MB)

FOI 119-2022 19 July 2022 18 July 2022 • 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).
5 documents released in part

FOI 119-2022 (ZIP 8MB)

FOI 113-2022 13 July 2022 29 June 2022 ASIC’s Incoming Government Brief (IGB) provided to the newly elected government. 1 document released in part

FOI 113-2022 (PDF 644KB)

FOI 066-2022 13 July 2022 7 July 2022 Documents relating to QBE Insurance Group and the circumstances relating to the exit of its former chief executive officer Pat Regan, since 1 September 2020 54 documents released in part

FOI 066-2022 (ZIP 15MB)

FOI 121-2022 12 July 2022 11 July 2022 In relation to Table 3 in the ASIC Report ‘Ending grandfathered conflicted remuneration’ dated June 2021:
The ‘Product’ and ‘GCR paid’ where the ‘Product issuer’ is either Westpac Securities Administration Limited ABN 77 000 049 472, AFSL 233731 or BT Funds Management Limited ABN 63 002 916 458.
1 document released in full

FOI 121-2022 (PDF 300KB)

FOI 086-2022 4 July 2022 20 June 2022 Correspondence between ASIC and IG Markets Limited in relation to ASIC's 2017 and 2019 review of the binary options and CFP sector 12 documents released in part

FOI 086-2022 (ZIP 9.32MB)

FOI 088-2022, FOI 089-2022 30 June 2022 21 June 2022 Documents relating to ASIC MR19-263 dated 24 September 2019 3 documents released in full

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

FOI 065-2022 30 June 2022 16 June 2022 Copies of all messages sent over ASIC internal chat messaging platforms on March 17, 18, 19, 20, 21, 22 concerning the ASX market outage of Thursday 17 March. 13 documents released in part

FOI 065-2022 (ZIP, 6MB)

FOI 111-2022 27 June 2022 24 June 2022 In relation to ASIC Report ‘Ending grandfathered conflicted remuneration’ dated June 2021:
The data in Table 3 as it pertains to Ipac Asset Management Limited (identified in Table 2 as having 58 products).
1 document released in full

FOI 111-2022 (PDF, 241KB)

FOI 100-2022 23 June 2022 9 June 2022 List of dates for reports of misconduct for four named entities 4 documents released in full

FOI 100-2022 (ZIP, 3.95MB)

FOI 090-2022 15 June 2022 31 May 2022 Correspondence from ASIC to Canaccord Genuity and its lawyers since December 1, 2021 13 documents released in part, with irrelevant matter redacted under s 22

FOI 090-2022 (ZIP, 4MB)

FOI 097-2022 10 June 2022 27 May 2022 Detailed ASIC costings in relation to ASIC v Rent 2 Own Cars Australia Pty Ltd and Ors, [QUD 609 of 2018] 1 document released in full

FOI 097-2022 (PDF 1.64MB)

FOI 032-2022 6 June 2022 30 May 2022 Additional material released for FOI 032-2022 following expiration of review rights 2 documents released in part

FOI 032-2022 (PDF 5.12MB)

FOI 061-2022 2 June 2022 19 May 2022 Compliance Committee Minutes and Compliance Breach Register for Theta Asset Group  39 documents released in part

FOI 061-2022 (PDF 30.14MB)

FOI 078-2022 24 May 2022 10 May 2022 List of dates for reports of misconduct for four named entities 4 documents released in full

FOI 078-2022 (PDF 3.82MB)

FOI 032-2022 9 May 2022 29 April 2022 Foreign Financial Services Provider (FFSP) relief applications and corresponding ASIC decisions 10 documents released in full or in part

FOI 032-2022 (PDF 2.6MB)

FOI 055-2022 5 May 2022 26 April 2022 Documents of communication to and from ASIC and Barton Capital Securities Pty Ltd relating to the withdrawal of the s 93 Enforceable Undertaking dated 9 May 2002 and revocation of trading licence 19 documents released in full or in part

FOI 055-2022 (PDF 6.1MB)

FOI 036-2022 3 May 2022 19 April 2022 Letters sent by ASIC to Bill Papas 27 documents released in part

FOI 036-2022 (PDF 45MB)

FOI 028-2022 19 April 2022 4 April 2022 Documents relating to ASIC's assessment of the prospectus issued by Dragonfly Biosciences Limited 14 documents released in full

FOI 028-2022 (PDF, 12MB)

FOI 022-2022 11 April 2022 28 March 2022 Documents concerning ASIC's investigation of Regal Funds Management Pty Ltd 3 documents released in part

FOI 022-2022 (ZIP, 1.7MB)

FOI 004-2022 5 April 2022 22 March 2022 Emails from an ASIC employee's inbox when 'Sterling First Projects Pty Ltd' is searched 8 documents released in part

FOI 004-2022 (PDF, 864 KB)

FOI 029-2022

30 March 2022 16 March 2022 Emails from the Senior Specialist to the Senior Executive Leader, or from the Senior Executive Leader to the Senior Specialist, as referred to in document 54 in 223-2021, that contain the keywords ‘scams’ and ‘epayments code’ between 1 June 2021 and 1 February 2022 12 documents released in part

FOI 029-2022 (ZIP 4MB)

FOI 037-2022

25 March 2022 16 March 2022 Messages sent in ASIC internal messaging platforms concerning the Beforepay IPO on January 16,17, and 18 1 document released in part

FOI 037-2022 (PDF 869KB)

FOI 015-2022

FOI 016-2022

23 March 2022 11 March 2022 All electronic correspondence sent to and from Karen Chester alleging insider trading, and/or theft of fund assets and fee for no service by Superannuation funds and/or revaluation of unlisted assets and/or material non-public information between 1 March 2020 and 30 June 2020 1 document released in part, responsive to ‘revaluation of unlisted assets’

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

FOI 223-2021 22 March 2022 7 March 2022 Additional material released for FOI 223-2021 following expiration of review rights 2 documents released in part

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

FOI 044-2022 15 March 2022 3 March 2022 A list of reports of misconduct about 3 different entities 3 documents released in full

FOI 044-2022 (PDF 362KB)

FOI 024-2022 7 March 2022 1 March 2022
  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
7 documents released in part

FOI 024-2022 (PDF 6MB)

FOI 263-2021 18 February 2022 4 February 2022 Documents disclosed by ASIC in response to FOI 169-2021 2 documents released in part

FOI 263-2021 (PDF 275KB)

FOI 270-2021 16 February 2022 3 February 2022 Documents that contain ASIC's reasons to accept an Enforceable Undertaking from Franchelen Pty Ltd 2 documents released in part 

FOI 270-2021 (PDF 335KB)

FOI 177-2021 14 February 2022 4 February 2022 Documents concerning breach reports received about Insurance Australia Group Limited 12 documents released in part

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

FOI 223-2021 4 February 2022 28 January 2022
  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
59 documents released in part

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

FOI 261- November 20222021 27 January 2022 13 January 2022
  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
2 documents released in full

FOI 261-2021 (ZIP 496KB)

FOI 255-2021 24 January 2022 21 January 2022
  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
6 documents released in part

FOI 255-2021 (ZIP 1.4MB)

FOI 177-2021 12 January 2022 24 December 2021 Documents concerning breach reports received about Insurance Australia Group Limited 2 documents released in part

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

FOI 230-2021 5 January 2022 23 December 2021 ASIC correspondence from October 19 to October 21 regarding Telegram small cap stocks 30 documents released in part

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

Last updated: 09/06/2023 10:14