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. |
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 | 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 |
5 documents released in part | |
| 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 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: • 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 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 | 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 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, with irrelevant matter redacted under s 22 | |
| 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 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 |
• All photographs captured by ASIC’s investigation into Melissa Caddick; |
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 |
|
| 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’.
|
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 | • 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 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, with irrelevant matter redacted under s 22 | |
| 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 |
|
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 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 |
|
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 |
|
2 documents released in full | |
| FOI 255-2021 | 24 January 2022 | 21 January 2022 |
|
6 documents released in part | |
| 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 |