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 029-2024 27 March 2024 13 March 2024


Handling Sensitive and Classified Information Protocol

1 document released in part, with exempt matter redacted.

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, with exempt and irrelevant matter redacted.

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 with exempt matter redacted. 

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 with exempt and irrelevant matter redacted.

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 with exempt and irrelevant matter redacted.

FOI 255-2023 (PDF, 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, with exempt and irrelevant matter redacted.

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)
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.
ASIC referenced this report in a Notice of Filing to the Federal Court of Australia made on 28 February 2023.

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, with irrelevant matter redacted under s 22

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 irrelevant matter redacted under s 22, and 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:
“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 irrelevant matter redacted under s 22, and 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:

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

2 documents released in part, with irrelevant matter redacted under s 22, and 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
  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)

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:
- Drafts and final version of the PwC 'Infrastructure Review' report ASIC commissioned in June 2021.

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
- 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. 

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
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 document released in full FOI 157-2023 (PDF, 172KB)
FOI 161-2023 8 September 2023 7 September 2023
  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 document released in full FOI 161-2023 (PDF, 1.8MB)
FOI 126-2023 7 September 2023 7 September 2023
  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.
5 documents released in part with irrelevant matter redacted under s 22, and 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:

  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.
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:

  • “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.

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:

  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.
17 documents released in part, with irrelevant matter redacted under s 22, and staff contact details redacted under s 11C(1)(a)

FOI 090-2023 (PDF 5MB)

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 080-2023 (PDF 588KB)

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 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 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

FOI 046-2023 (ZIP 1MB)

FOI 046-2023 (Additional Documents) (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 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 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 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 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

Last updated: 27/03/2024 04:30