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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

Establishment of the Parliamentary Inquiry into ASIC

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

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

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

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

1. age; and
2. primary tertiary qualification.

FOI 090-2023 (PDF 5MB)

FOI 080-2023 (PDF 588KB)

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

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

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

FOI 066-2023 (ZIP 2MB)

FOI 049-2023 (PDF 701KB)

FOI 046-2023 (ZIP 1MB)

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

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

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

FOI 039-2023 (ZIP 7MB)

FOI 068-2023 (ZIP 10.8MB)

FOI 033-2023 (ZIP 2MB)

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

FOI 023-2023 (PDF 131KB)

FOI 015-2023 (ZIP 2MB)

FOI 011-2023 (ZIP 2MB)

FOI 213-2022 (PDF 85KB)

FOI 226-2022 (ZIP 1.89MB)

FOI 217-2022 (ZIP 2.09MB)

FOI 211-2022 (ZIP 20MB)

FOI 231-2022 (ZIP 705KB)

FOI 210-2022 (ZIP 1.24MB)

FOI 207-2022 (ZIP 8.47MB)

FOI 199-2022 (PDF 9.25MB)

FOI 209-2022 (PDF 1.3MB)

FOI 198-2022 (PDF 741KB)

FOI 200-2022 (ZIP 5.29 MB)

FOI 153-2022 (ZIP 3.18MB)

I am happy to exclude names and contact details.

FOI 185-2022 (PDF 359KB)

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

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

FOI 156-2022 (PDF 219KB)

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

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

FOI 142-2022 (ZIP 10MB)

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

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

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

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

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

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

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

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

FOI 144-2022 (ZIP 2.18MB)

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

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

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

FOI 166-2022 (PDF 209KB)

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

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

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

FOI 145-2022 (ZIP 9MB)

FOI 127-2022 (ZIP 2.08MB)

FOI 125-2022 (PDF 22MB)

FOI 112-2022 (ZIP 9MB)

FOI 132-2022 (ZIP 22MB)

(Internal review of FOI 022-2022)

FOI 022-2022 (ZIP 2.20MB)

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

FOI 119-2022 (ZIP 8MB)

FOI 113-2022 (PDF 644KB)

FOI 066-2022 (ZIP 15MB)

FOI 121-2022 (PDF 300KB)

FOI 086-2022 (ZIP 9.32MB)

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

FOI 065-2022 (ZIP, 6MB)

FOI 111-2022 (PDF, 241KB)

FOI 100-2022 (ZIP, 3.95MB)

FOI 090-2022 (ZIP, 4MB)

FOI 097-2022 (PDF 1.64MB)

FOI 032-2022 (PDF 5.12MB)

FOI 061-2022 (PDF 30.14MB)

FOI 078-2022 (PDF 3.82MB)

FOI 032-2022 (PDF 2.6MB)

FOI 055-2022 (PDF 6.1MB)

FOI 036-2022 (PDF 45MB)

FOI 028-2022 (PDF, 12MB)

FOI 022-2022 (ZIP, 1.7MB)

FOI 004-2022 (PDF, 864 KB)

FOI 029-2022

FOI 029-2022 (ZIP 4MB)

FOI 037-2022

FOI 037-2022 (PDF 869KB)

FOI 015-2022

FOI 016-2022

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

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

FOI 044-2022 (PDF 362KB)

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

FOI 024-2022 (PDF 6MB)

FOI 263-2021 (PDF 275KB)

FOI 270-2021 (PDF 335KB)

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

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

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

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

FOI 261-2021 (ZIP 496KB)

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

FOI 255-2021 (ZIP 1.4MB)

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

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