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 |
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FOI 133-2024 | 4 October 2024 | 20 September 2024 | Request for documents relating to the ASIC 2023 Culture Survey. |
7 documents released in part |
FOI 133-2024 (ZIP, 5MB) |
FOI 069-2019 | 3 October 2024 | 18 September 2024 | A report prepared by Quantium for the Commonwealth Bank regarding term deposits, prepared between January 1, 2000 and December 15, 2008. |
1 document released in part |
FOI 069-2019 (PDF, 1MB) |
FOI 132-2024 | 30 September 2024 | 30 September 2024 | Documents concerning disclosures of interests and conflicts of interests relating to James Shipton, Joe Longo and Sarah Court. |
7 documents released in part |
FOI 132-2024 (ZIP, 2MB) |
FOI 174-2024 | 20 September 2024 | 11 September 2024 | The ASIC document titled “Gender Affirmation Guidelines” dated August 2021. |
1 document released in part |
FOI 174-2024 (PDF, 246KB) |
FOI 178-2024 | 12 September 2024 | 9 September 2024 | I seek data relating to the number of Suspicious Activity Reports (SARs) received annually for the last 10 years, including 2024 year to date. |
1 document released in full |
FOI 178-2024 (ZIP, 74KB) |
FOI 165-2024 | 4 September 2024 | 26 August 2024 |
|
1 document released in part |
FOI 165-2024 (ZIP, 58KB) |
FOI 150-2024 | 19 August 2024 | 12 August 2024 |
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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:
|
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 |
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FOI 230-2021 | 14 August 2024 | 31 July 2024 |
ASIC emails to members of the markets team from October 11 through to October 20 concerning Magnis Energy |
16 documents released in part |
FOI 230-2021 (ZIP, 4MB) |
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:
|
29 documents released in part |
FOI 112-2024 (ZIP, 7MB) |
FOI 162-2024 | 9 August 2024 | 9 August 2024 |
Policies and Guidelines: Current documents that outline the policies, guidelines, or directives that allow transgender women to use women's toilets and other gender-specific facilities in departmental offices. |
1 document released in part |
FOI 162-2024 (PDF, 476KB) |
FOI 154-2024 | 9 August 2024 | 6 August 2024 |
Details of the debenture holder/trustee of Latitude Financial Services (Pty Ltd)/Latitude Group Holdings Limited. |
1 document released in full |
FOI 154-2024 (PDF, 415KB) |
FOI 102-2024 | 6 August 2024 | 30 July 2024 |
Correspondence between ASIC's markets team and the AOFM for the period of January 1 2023 to May 17 2024, in reference to ANZ Bank. |
3 documents released in part |
FOI 102-2024 (ZIP, 1MB) |
FOI 105-2024 | 5 August 2024 | 22 July 2024 |
A description of all Artificial Intelligence (AI) tools (e.g. applications) and/or capabilities (e.g. Large Language Models, Neural Networks) currently being used (whether by ownership or licence), trialled or considered for future use by ASIC to assist/enhance employee productivity (or has replace employees) or to assist in or perform Agency functions. |
10 documents released in full |
FOI 105-2024 (PDF, 2MB) |
FOI 131-2024 | 25 July 2024 | 19 July 2024 |
Number of whistleblower reports received each month from Jan 2018 – June 2024. |
1 document released in full |
FOI 131-2024 (PDF, 185KB) |
FOI 077-2024 | 24 July 2024 | 10 July 2024 |
All correspondence between ASIC and Nuix concerning the investigation into Nuix CEO Jonathan Rubinsztein and allegations of insider trading. |
22 documents released in part |
FOI 077-2024 (PDF, 9MB) |
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 070-2024 | 19 July 2024 | 5 July 2024 |
All correspondence between Magnis Energy Technologies and ASIC for the period of January 1 2024 through to April 1 2024. |
1 document released in part |
FOI 070-2024 (PDF, 232KB) |
FOI 142-2024 | 17 July 2024 | 17 July 2024 |
Eight examples of ASIC stating that it was no longer authorised to determine CDDA claims. |
7 documents released in part |
FOI 142-2024 (ZIP, 2MB) |
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. 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 107- 2024 | 25 June 2024 | 20 June 2024 |
I am requesting information on the outstanding property which includes real estate and all other assets vested in ASIC, tangible or otherwise. |
1 document released in part |
FOI 107-2024 (PDF, 372KB) |
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:
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 054-2024 | 24 May 2024 | 10 May 2024 |
List of 3500 websites that ASIC has stated that they have shut down in this article: 'ASIC shuts down nearly 3,500 scam websites, steps up surveillances in push to protect consumers' |
1 document released in full |
FOI 054-2024 (PDF, 162KB) |
FOI 059-2024 | 17 May 2024 | 30 April 2024 |
Usage data of the ASIC Company Register in relation to ASIC Connect and Information Brokers in FY21, FY22 and FY23. |
1 document released in full |
FOI 059-2024 (PDF, 207KB) |
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 |
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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. |
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 149-2019 | 26 April 2024 | 15 April 2024 |
Documents created by ASIC in the period 1 February 2015 until 30 December 2015 relating to discussions with Morgans about the imposition of any license conditions/restrictions/penalties/action by ASIC. This request excludes documents captures by previous FOI request FOI 140-2019 |
5 documents released in part |
FOI 149-2019 (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.
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7 documents released in part |
FOI 140-2019 (ZIP, 1MB) |
FOI 045-2024 | 22 April 2024 | 15 April 2024 |
Emails either sent or received between ASIC and the National Anti-Corruption Commission (NACC); and any emails or documents internal within ASIC which discusses or makes mention of the NACC. The request is for the period 1 July 2023 to 26 February 2024, excludes public documents and covers the following ASIC officials: Joseph Longo. |
4 documents released in part |
FOI 045-2024 (PDF, 7MB) |
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: |
11 documents released in part |
FOI 039-204 (ZIP, 2MB) |
FOI 029-2024 | 27 March 2024 | 13 March 2024 |
Handling Sensitive and Classified Information Protocol |
1 document released in part |
FOI 029-2024 (PDF, 2MB) |
FOI 024-2024 | 25 March 2024 | 25 March 2024 |
All documents recording communications from 11 July 2014 to 6 April 2019 between any officer, employee, agent, contractor or representative of ASIC and any officer, employee, agent or representative of the Department of Treasury, regarding the scope and effect of section 596AB of the Corporations Act 2001 (Cth) as in force prior to 6 April 2019. We are particularly interested in communications that relate to the need for legislative amendment to section 596AB of the Corporations Act. |
14 documents released in part |
FOI 024-2024 (ZIP, 11MB) |
FOI 011-2024 | 20 March 2024 | 8 March 2024 |
Any letters, emails or other correspondence dated or created during the period from 1 July 2017 to 21 September 2020 to or from ASIC to Phoslock Environmental Technologies Limited. |
1 document released in part |
FOI 011-2024 (ZIP, 85KB) |
FOI 021-2024 | 19 March 2024 | 4 March 2024 | ASIC emails between 2013-2016 about a possible cold-calling scam |
81 documents released in part |
FOI 021-2024 (ZIP, 16MB) |
FOI 189-2023 | 8 March 2024 | 20 October 2023 | • ASIC’s Information and Records Management Procedure • ASIC’s Records Disposal procedures • Documents relevant to the supply, use and return of mobile phone devices to and by ASIC staff • Documents relevant to restoring ASIC mobile devices to factory settings |
3 documents released in full, and 1 document released in part |
FOI 189-2023 (ZIP, 9MB) |
FOI 007-2024 | 27 February 2024 | 22 February 2024 | A copy of the Style Guides/Brand Guides/Writing Guides currently used by ASIC. |
1 document released in full, and 2 documents released in part |
FOI 007-2024 (ZIP, 10MB) |
FOI 255-2023 | 26 February 2024 | 12 February 2024 | Documents relating to any investigation, inquiry, enquiry, notice, notification or similar, into matters relating to the departure from IAG (Insurance Australia Group Limited and subsidiaries) in December 2023, of its general counsel, Peter Horton. |
2 documents released in full, and 3 documents released in part |
FOI 255-2023 (PDF, 2MB) |
FOI 009-2024 | 26 February 2024 | 26 February 2024 |
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7 documents released in part |
FOI 009-2024 (ZIP, 3MB) |
FOI 248-2023 | 19 February 2024 | 12 February 2024 |
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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) |
FOI 220-2023 | 8 February 2024 | 24 January 2024 |
Could I request, under the FOI Act, a copy of correspondence between ASIC and the Australian Securities Exchange relating to Magnis Energy Technologies (MNS) since the beginning of this calendar year? |
6 documents released in part |
FOI 220-2023 (ZIP, 2MB) |
FOI 199-2023 | 18 January 2024 | 4 January 2024 |
I am requesting the PwC report commissioned by TerraCom delivered on 16 December 2019 investigating whistleblower allegations regarding fraudulent reporting of coal quality through testing firm ALS. |
1 document released in part |
FOI 199-2023 (PDF, 8MB) |
FOI 234-2023 | 17 January 2024 | 11 January 2024 |
All internal ASIC correspondence and external correspondence between ASIC and third parties relating to Mount Rommel Mining Ltd between the date range of the 20th September 2021 and 27th July 2023. I don't need any duplicates of information or current or historical company extracts, documents provided by third parties such as Financial statements and company announcements etc. |
34 documents released in part |
FOI 234-2023 (ZIP, 6MB) |
FOI 218-2023 | 2 January 2024 | 16 December 2023 |
Correspondence between ASIC deputy chair Sarah Court and lawyers for former PwC head of international tax Peter John Collins or Mr Collins himself. |
3 documents released in full, with a staff signature redacted under s 11C(1)(a) |
FOI 218-2023 (PDF, 737KB) |
FOI 223-2023 | 7 December 2023 | 27 November 2023 |
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 |
FOI 223-2023 (PDF, 753KB) |
FOI 209-2023 | 7 December 2023 | 23 November 2023 |
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 |
FOI 209-2023 (ZIP, 597KB) |
FOI 195-2023 | 27 November 2023 | 27 November 2023 |
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 |
FOI 195-2023 (PDF, 559KB) |
FOI 233-2023 | 16 November 2023 | 10 November 2023 |
Documents / web links that identify the laws that govern credit licences. |
1 document released in full |
FOI 233-2023 (PDF, 324KB) |
FOI 181-2023 | 2 November 2023 | 2 November 2023 |
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) |
FOI 181-2023 (ZIP, 6MB) |
FOI 184-2023 | 30 October 2023 | 30 October 2023 |
I note that on 31 July 2023, journalist David Ross from The Australian newspaper reported the following: Given Mr Ross’ reporting, I am now seeking the following:
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4 documents released in part, with staff contact details redacted under s 11C(1)(a) |
FOI 184-2023 (ZIP, 8MB) |
FOI 186-2023 | 23 October 2023 | 9 October 2023 |
Document showing number of FTE assigned to the Corporate Finance team under the current ASIC structure |
1 document released in full |
FOI 186-2023 (PDF, 207KB) |
FOI 183-2023 | 16 October 2023 | 2 October 2023 |
Copies of messages, emails, WhatsApp messages sent by Deputy Chair Karen Chester to General Counsel Chris Savundra in 2022 concerning:
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2 documents released in part, with staff contact details redacted under s 11C(1)(a) |
FOI 183-2023 (ZIP, 622KB) |
FOI 169-2023 | 16 October 2023 and 16 November 2023 | 5 October 2023 and 16 November 2023 |
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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 |
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FOI 153-2023 | 2 October 2023 | 2 October 2023 |
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. |
15 documents released in part | FOI 153-2023 (ZIP, 9MB) |
FOI 190-2023 | 2 October 2023 | 2 October 2023 |
A copy of the 2018 APS Employee Census Results for ASIC. |
1 document released in full | FOI 190-2023 (PDF, 587KB) |
FOI 156-2023 | 2 October 2023 | 15 September 2023 |
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”. |
7 documents released in part | FOI 156-2023 (ZIP, 1MB) |
FOI 134-2023 | 25 September 2023 | 11 September 2023 |
…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. |
2 documents released in part | FOI 134-2023 (ZIP, 1MB) |
FOI 138-2023 | 25 September 2023 | 11 September 2023 |
Under freedom of information laws, I'm seeking access to the following documents: |
5 documents released in part | FOI 138-2023 (ZIP, 7MB) |
FOI 129-2023 | 22 September 2023 | 8 September 2023 |
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. |
48 documents released in full | FOI 129-2023 (PDF, 3MB) |
FOI 128-2023 | 22 September 2023 | 8 September 2023 |
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. |
86 documents released in full | FOI 128-2023 (PDF, 3MB) |
FOI 158-2023 | 15 September 2023 | 1 September 2023 |
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 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. |
1 document released in part | FOI 158-2023 (PDF, 342KB) |
FOI 157-2023 | 15 September 2023 | 1 September 2023 |
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 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 document released in full | FOI 157-2023 (PDF, 172KB) |
FOI 161-2023 | 8 September 2023 | 7 September 2023 |
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1 document released in full | FOI 161-2023 (PDF, 1.8MB) |
FOI 126-2023 | 7 September 2023 | 7 September 2023 |
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5 documents released in part with staff contact details redacted under s 11C(1)(a) | FOI 126-2023 (PDF, 1MB) |
FOI 119-2023 | 29 August 2023 | 29 August 2023 |
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:
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17 documents released in part | FOI 119-2023 (ZIP, 6MB) |
FOI 137-2023 | 25 August 2023 | 11 August 2023 | Briefing documents developed following the report that addresses initiatives ASIC is taking to implement FRAA’s recommendations. | 9 documents released in part | FOI 137-2023 (PDF, 3MB) |
MR18/00947 | 17 August 2023 | 3 August 2023 | A report or reports compiled by law firm Minter Ellison relating to an investigation into complaints made by a whistleblower at the Commonwealth Bank and provided to ASIC by the CBA after January 1, 2016 | 1 document released in part | MR18/00947 (PDF, 1.09MB) |
FOI 141-2023 | 14 August 2023 | 14 August 2023 |
1. I am writing to request under the Freedom of Information Act 1982 (Cth) all documents and emails held by ASIC relating to the:
2. Specifically, I am seeking planning documents, agenda papers and minutes of meetings for the period of 1 November 2022 to 14 July 2023. |
3 documents released in part | FOI 141-2023 (PDF, 1MB) |
FOI 090-2023 | 19 July 2023 | 7 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:
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:
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17 documents released in part, with staff contact details redacted under s 11C(1)(a) | |
FOI 080-2023 | 28 June 2023 | 27 June 2023 | Initial email or telephone conversation notes which occurred on 12 April 2017 that advise ASIC of the misleading promotion and advertising of the Sterling First product. | 1 document released in part | |
FOI 066-2023 | 9 June 2023 | 26 May 2023 |
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 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 046-2023 | 29 May 2023 and 12 July 2023 | 15 May 2023 and 28 June 2023 | 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 |
19/5/2023 - 5 documents released in part 28/6/2023 - 2 additional documents released in part following expiration of third party review rights |
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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:
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2 documents released in part | |
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 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 023-2023 | 24 March 2023 | 9 March 2023 | Numbers from the last five years relating to:
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1 document released in full | |
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 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 213-2022 | 8 February 2023 | 23 January 2023 | Letter from ASIC to Cresco Pharma dated 21 November 2022 | 1 document released in part | |
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 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 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 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 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 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 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 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 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 200-2022 | 12 December 2022 | 15 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 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 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 | |
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 | |
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 135-2022 | 20 October 2022 | 6 October 2022 |
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299 documents released in part |
FOI 135-2022 (1) (ZIP 104.76MB) FOI 135-2022 (2) (ZIP 142.64MB) |
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 |
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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’.
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1 document released in part | |
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 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 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 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 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 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 119-2022 | 19 July 2022 | 18 July 2022 |
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5 documents released in part | |
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 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 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 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 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 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 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 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 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 | |
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 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 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 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 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 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 036-2022 | 3 May 2022 | 19 April 2022 | Letters sent by ASIC to Bill Papas | 27 documents released in part | |
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 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 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 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 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 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 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 024-2022 | 7 March 2022 | 1 March 2022 |
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7 documents released in part | |
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 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 223-2021 | 4 February 2022 | 28 January 2022 |
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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 |
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2 documents released in full | |
FOI 255-2021 | 24 January 2022 | 21 January 2022 |
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6 documents released in part | |
FOI 177-2021 | 12 January 2022 and 14 February 2022 | 24 December 2021 and 4 February 2022 | Documents concerning breach reports received about Insurance Australia Group Limited |
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 |
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 |