FOI: ASIC disclosure log archive (2018-2021)
The table below contains the disclosure log archive from 2018 to 2021.
Refer to FOI disclosure log for more information.
| Disclosure log number | Date information listed in disclosure log | Summary of FOI request received | Description of information released (and whether released in full or part) | Other information |
|---|---|---|---|---|
| FOI 251-2021 | 23 December 2021 | ASIC correspondence and correspondence between ASIC and other agencies concerning the CDDA claim made to ASIC in 2019 on behalf of investors in the Prime Retirement & Aged Care Property Trust | 61 documents released in part | FOI 251-2021 (ZIP 22.5MB) |
| FOI 217-2021 | 13 December 2021 | The Lynxx report on an Australian Crypto Landscape, as listed on AusTender with CN377160 | 1 document released in part | To access the document, please email foirequest@asic.gov.au |
| FOI 219-2021 | 8 December 2021 | Correspondence between ASIC and Magnis Energy Technologies | 2 documents released in full | To access the document, please email foirequest@asic.gov.au |
| FOI 216-2021 | 1 December 2021 | Any record of any communication, including file notes, about the KPMG Australia exam cheating allegations | 18 documents released in part, with material that was irrelevant to the request removed under s 22 of the FOI Act | To access the document, please email foirequest@asic.gov.au |
| FOI 191-2021 | 22 November 2021 |
Documents relating to ASIC's assessment of the prospectus issued by Happy Valley Nutrition - ASX code - HVM |
7 documents released in full |
To access the document, please email foirequest@asic.gov.au
|
| FOI 190-2021 | 22 November 2021 | Documents relating to ASIC's assessment of the prospectus issued by Intelicare Holdings - ASX code ICR. |
2 documents released in part |
To access the document, please email foirequest@asic.gov.au |
| FOI 195-2021 | 22 November 2021 | Request for number of no action letters on matters referred to ASIC by the Financial Services Royal Commission. |
1 document released in part |
To access the document, please email foirequest@asic.gov.au |
| FOI 188-2021 | 18 November 2021 | ASIC's assessment of the prospectus issued by Propell Holdings. |
1 document released in full |
To access the document, please email foirequest@asic.gov.au |
| FOI 183-2021 | 17 November 2021 | Any ASIC documents relating to the assessment of a prospectus issued by Laybuy Group Holdings ASX code - Ltd. |
5 documents released in part |
To access the document, please email foirequest@asic.gov.au |
| FOI 151-2021 | 16 November 2021 | Documents concerning the registration of ‘Google My Business Australia’. |
6 documents released in part |
To access the document, please email foirequest@asic.gov.au |
| FOI 185-2021 | 16 November 2021 | • ASIC’s primary submission document to the AWEI scheme; • Results of AWEI employee survey conducted by ASIC on ASIC employees; • Invoices to or from ACON and Pride in Diversity 2019-2021 |
8 documents released in part |
To access the document, please email foirequest@asic.gov.au |
| FOI 180-2021 | 15 November 2021 | Correspondence to and from ASIC and to and from Latitude Financial Services regarding the company's prospectus ahead of its ASX listing |
4 documents released in part |
To access the document, please email foirequest@asic.gov.au |
| FOI 169-2021 | 5 November 2011 | 1. Records of meetings between Sargon Capital Pty Ltd and representatives of ASIC and APRA relating to the external administration of Sargon Capital.
Please note the two documents released relate to category 3 of the request. |
2 documents released in full, with material that was irrelevant to the request removed under s 22 of the FOI Act |
To access the document, please email foirequest@asic.gov.au |
| FOI 133-2021 | 3 November 2021 | Additional material released for FOI 133-2021 following expiration of review rights. |
1 document released in part |
To access the document, please email foirequest@asic.gov.au |
| FOI 175-2021 | 26 October 2021 | Position titles and employment dates of specified current and former ASIC staff. |
1 document released in part |
To access the document, please email foirequest@asic.gov.au |
| FOI 210-2021 | 25 October 2021 | The voluntary undertaking entered into by Atle Crowe-Maxwell in 2011 referred to in ASIC Media release 11-184MR. |
1 document released in full |
To access the document, please email foirequest@asic.gov.au |
| FOI 199-2021 | 25 October 2021 | A document confirming ANZ subscribes to ASIC news alerts. |
1 document released in full, with material that was irrelevant to the request removed under s 22 of the FOI Act |
To access the document, please email foirequest@asic.gov.au |
| FOI 212-2021 | 20 October 2021 | • All authorisations from the Treasurer (or Assistant Treasurer) to ASIC (or select officials within ASIC), to consider and decide applications made under the Scheme for Compensation for Detriment due to Defective Administration ("CDDA Scheme"), as issued during the Relevant Period; • All revocations of the above authorisations, as issued during the Relevant Period; • A copy of each Guide to Assessing Claims for Compensation under the CDDA Scheme, as issued by ASIC during the Relevant Period; • A copy of each ASIC announcement or other communication revoking any Guide to Assessing Claims for Compensation under the CDDA Scheme, as issued by ASIC during the Relevant Period; • A summary of the total amounts of compensation paid by ASIC under the CDDA Scheme for each year of the Relevant Period; and • All Media Releases issued by ASIC which relate to the CDDA Scheme during the Relevant Period.
|
3 documents released in full, relevant to categories 1 and 5 of the request. |
To access the document, please email foirequest@asic.gov.au |
| FOI 181-2021 | 19 October 2021 | Documents of an ASIC assessment relating to the prospectus issued by BikeExchange Limited - ASX code BEX |
1 document released in part. |
To access the document, please email foirequest@asic.gov.au |
| FOI 182-2021 | 19 October 2021 | ASIC documents relating to the assessment of a prospectus issued by Payright Limited - ASX code PYR |
1 document released in part. |
To access the document, please email foirequest@asic.gov.au |
| FOI 187-2021 | 19 October 2021 | Documents relating to ASIC's assessment of the prospectus issued by SRJ Technologies - ASX code SRJ |
2 documents released in part. |
To access the document, please email foirequest@asic.gov.au |
| FOI 150-2021 | 12 October 2021 | Correspondences in relation to the resignation of PwC as auditor of A.C.N 618937054. |
4 documents released in part. |
To access the document, please email foirequest@asic.gov.au |
| FOI 141-2021 | 7 October 2021 | Emails from Greenbox Systems to ASIC attaching data destruction certificates between 2012 and 2015. |
2 documents released in part. |
To access the document, please email foirequest@asic.gov.au |
| FOI 073-2021 | 6 October 2021 | A copy of former ASIC Chair James Shipton’s diary of meetings from 1 March 2021 until 21 May 2021. |
1 document released in part, with material that was irrelevant to the request removed under s 22 of the FOI Act. |
To access the document, please email foirequest@asic.gov.au |
| FOI 136-2021 | 5 October 2021 | Position titles and employment dates of specified current and former ASIC staff. |
1 document released in part. |
To access the document, please email foirequest@asic.gov.au |
| FOI 139-2021 | 5 October 2021 | Correspondence relating to the resignation of Ernst & Young as auditor of BrainChip Holdings Limited and the appointment of HLB Mann Judd as auditor of BrainChip Holdings Limited. |
2 documents released in full. |
To access the document, please email foirequest@asic.gov.au |
| FOI 133-2021 | 30 September 2021 | In ASIC's report to Treasury "Ending grandfathered conflicted remuneration June 2021", ASIC found 4 per cent, or 46 products, failed to [fully] terminate GCR [arrangements] prior to the deadline of 1 January 2021. Under the purpose of the FOI Act, I request a list of these products and the supplier. |
1 document released in part, with material withheld pending expiry of review rights. |
To access the document, please email foirequest@asic.gov.au |
| FOI 134-2021 | 28 September 2021 | Correspondence from ASIC to AMP ‘informing the company the investigation into suspected criminal conduct in relation to fees for no service had been finalised with no further action taken’. |
1 document released in part.
|
To access the document, please email foirequest@asic.gov.au |
| FOI 112-2021 | 28 September 2021 |
• Any internal correspondence including emails, file notes, phone calls, that relate to Project Tiger Lilly, which was launched by Macquarie in Jan 2018. • Any letters and phone calls and file notes between January 2 to June 28 this year from ASIC’s David Jeyaratnam to current and former Macquarie staff from the wealth division. Any template letters sent by ASIC to current [and] former staff related to this inquiry into Macquarie's wealth management division. • Any internal correspondence including emails and file notes to and from Mr Jeyaratnam that refers to Macquarie’s wealth division between Jan 2020 to June 28, 2021. The correspondence may refer to Macquarie’s WRAP platform called Macquarie Vision. |
84 documents released in part, with material exempted and material that was irrelevant to the request removed under s 22 of the FOI Act. |
To access the document, please email foirequest@asic.gov.au |
| FOI 115-2021 | 8 September 2021 | Documents of an ASIC assessment relating to the prospectus issued by Whispir - ASX code WSP | 2 documents released in full, with material that was irrelevant to the request removed under s 22 of the FOI Act. |
To access the document, please email foirequest@asic.gov.au |
| FOI 119-2021 | 31 August 2021 | Documents relating to the joint ASIC and APRA letter published on 30 June 2021 concerning oversight of advice fees charged to members’ superannuation accounts | 5 documents released in part. |
To access the document, please email foirequest@asic.gov.au |
| FOI 094-2021 | 26 August 2021 | Correspondence relating to INFO 255 that can be described as third party consultation and ASIC’s response to third party consultation. |
2 documents released in full.
28/09/2021 - Additional 3 documents released. |
To access the document, please email foirequest@asic.gov.au |
| FOI 062-2021 | 25 August 2021 | Correspondence between IOOF and ASIC pertaining to the surveillance findings referred to in Media Release 21-084MR “IOOF advice licensees to implement changes following ASIC surveillance.” | 20 documents released in part, with material exempted and material that was irrelevant to the request removed under s 22 of the FOI Act. |
To access the document, please email foirequest@asic.gov.au |
| FOI 109-2021 | 10 August 2021 | Form EX07 lodged on behalf of Top Notch Energy Pty Ltd | 1 document released in part. |
To access the document, please email foirequest@asic.gov.au |
| FOI 099-2021 | 9 August 2021 | Correspondence between ASIC and Tupicoffs Pty Ltd (and/or Neil Kendall) between the dates 22 November 2020 and 4 June 2021 | 10 documents released in full, 7 documents released in part. |
To access the document, please email foirequest@asic.gov.au |
| 145 | 22 July 2021 | Documents concerning Gadens in matters involving Mr Bradley Sherwin and related businesses | 32 documents released in part, with material exempted and material that was irrelevant to the request removed under s 22 of the FOI Act. |
To access the document, please email foirequest@asic.gov.au |
| FOI 072-2021 | 21 July 2021 | Documents concerning the service outage of the system operated by Tyro Payments Limited that occurred in January 2021 | 11 documents released in part, with material exempted and material that was irrelevant to the request removed under s 22 of the FOI Act. |
To access the document, please email foirequest@asic.gov.au |
| FOI 086-2021 | 21 July 2021 | Documents or correspondence related to Cleanaway Waste Management and continuous disclosure obligations and/or the sale of shares by Vik Bansal, since June 2020. | 12 documents released in part, with material exempted and material that was irrelevant to the request removed under s 22 of the FOI Act. |
To access the document, please email foirequest@asic.gov.au |
| FOI 077-2021 | 14 July 2021 | Any written advice or correspondence provided by ASIC to Treasurer Josh Frydenberg, members of his staff or Treasury officials on the matter of the FFSP AFSL exemption in the period January 2020 to May 2021. | 4 documents released in part, with material exempted and material that was irrelevant to the request removed under s 22 of the FOI Act. |
To access the document, please email foirequest@asic.gov.au |
| FOI 096-2021 | 22 June 2021 | Documents identifying the professional indemnity insurance of BBY Limited. | 2 documents released in part with material irrelevant to the request removed under s 22 of the FOI Act. |
To access the document, please email foirequest@asic.gov.au |
| FOI 097-2021 | 18 June 2021 | The FOI decision for request FOI 039-2021 | 1 document released in part with material irrelevant to the request removed under s 22 of the FOI Act. |
To access the document, please email foirequest@asic.gov.au |
| FOI 060-2021 | 2 June 2021 | Copies of letters sent by ASIC to potential "laggard" companies concerning their climate related disclosures (as referred to in https://asic.gov.au/about-asic/news-centre/articles/managing-climate-risk-for-directors/) | 5 documents released in part, with material that was irrelevant to the request removed under s 22 of the FOI Act. |
To access the document, please email foirequest@asic.gov.au |
| FOI 011-2021 | 31 May 2021 | Correspondence and internal ASIC documents concerning the IPO of Nuix from Nov/Dec 2020 | 19 Documents plus attachments released in full 2 documents released in part |
To access the document, please email foirequest@asic.gov.au |
| FOI 039-2021 | 24 May 2021 | Communications to and from ASIC relating to the financial accounts of Nuix Limited (ACN 117 140 235) including communications querying the lateness of the filing of financial accounts between 1 October 2019 and 31 March 2020. | 3 documents released in part. |
To access the document, please email foirequest@asic.gov.au |
| FOI 038-2021 | 14 May 2021 | All documents, including emails sent and received by ASIC (other than emails from Nuix or its lawyers), referring to or relating to the Nuix prospectus or Nuix financial statements. | 36 documents released in full |
To access the document, please email foirequest@asic.gov.au |
| FOI 041-2021 | A | Documents, in respect of the roles listed below, that outline the key performance indicators required to receive a performance payment/bonus. • Executive Director, Financial Services and Wealth • Senior Executive Leader, Financial Advisers • Executive Director, Assessment and Intelligence • Senior Executive Leader, Misconduct and Breach Reporting |
3 documents released in part, with material that was irrelevant to the request removed under s 22 of the FOI Act. |
To access the document, please email foirequest@asic.gov.au |
| FOI 029-2021 | 30 April 2021 | Documents evidencing communications between ASIC and AFCA regarding ISG Financial Services Limited between 18 February 2020 and 18 February 2021. | 5 documents released in full. |
Available to download at: |
| FOI 051-2021 | 26 April 2021 | Request for Record No. F20200000017597 | 3 documents released in part, with material that was irrelevant to the request removed under s 22 of the FOI Act. |
To access the document, please email foirequest@asic.gov.au |
| FOI 025-2021 | 8 April 2021 | Correspondence between Louise Macaulay, Kate Metz, Joanna Bird and Tupicoffs Pty Limited and/or Neil Kendall between 1 January 2016 to 15 February 2021. | 5 documents released in full, with material that was irrelevant to the request removed under s 22 of the FOI Act. | To access the document, please email foirequest@asic.gov.au |
| FOI 016-2021 | 7 April 2021 | Correspondences between ASIC and MyPlanner Australia Pty Ltd and MyPlanner Professional Services Pty Ltd between 1 January 2019 to 7 June 2019. | 24 documents released in part. | To access the document, please email foirequest@asic.gov.au |
| FOI 010-2021 | 25 March 2021 | Disclosures made by James Shipton under either s 123 of the ASIC Act, s29 of the PGPA Act, or any other disclosure of interests or conflicts of interest made to either ASIC or Treasury. | 7 documents released in part, with material that was irrelevant to the request removed under s 22 of the FOI Act. | To access the document, please email foirequest@asic.gov.au |
| FOI 250-2020 | 19 March 2021 | Information provided to ASIC that satisfied ASIC that Stuart Adamson consented to be an officeholder of Squirrel Superannuation Services Pty Limited. | 1 document released in part. | To access the document, please email foirequest@asic.gov.au |
| FOI 040-2021 | 16 March 2021 | Report relating to compliance with s 10 of the Public Governance, Performance and Accountability Rule 2014 for the years 2016 to 2019. | 1 document released in full. | To access the document, please email foirequest@asic.gov.au |
| FOI 006-2021 | 12 March 2021 | Information provided to ASIC regarding the question of consent to act as an officeholder of AD Astra Institute Pty Ltd. | 1 document released in part and 2 documents released in full. | To access the document, please email foirequest@asic.gov.au |
| FOI 014-2021 | 12 March 2021 | Any internal communications as well as briefings prepared by ASIC in relation to the Gamestop-Reddit stockmarket controversy in the United States in the past two weeks (15 January 2021 – 29 January 2021). | 35 documents released in part, with material that was irrelevant to the request removed under s 22 of the FOI Act. | To access the document, please email foirequest@asic.gov.au |
| FOI 008-2021 | 10 March 2021 | A document showing the number of criminal and civil penalties cases commenced, for which a decision has yet to be handed down, for each 6-month period from Jan 2017 to July 2020. | 1 document created and released in full. | To access the document, please email foirequest@asic.gov.au |
| FOI 259-2020 | 10 March 2021 |
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4 documents released in full and a further 19 released in part. | To access the documents, please email foirequest@asic.gov.au |
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FOI 273-2020 |
9 March 2021 |
Request for information provided to ASIC regarding the question of consent to act as an officeholder of various companies. |
Released in part – response provided by relevant companies regarding the consent to act as an officeholder of:
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To access the documents, please email foirequest@asic.gov.au |
| FOI 271-2020 | 8 March 2021 | Email correspondences and internal notes that relate to the prospectus lodged by Nuix. | 23 documents released in full. | To access the documents, please email foirequest@asic.gov.au |
| FOI 232-2020 | 23 February 2021 | Request for access to documents relating to the request to defer the deregistration of Plastic Processing WA Pty Ltd. | 1 document released in part. | To access the document please email foirequest@asic.gov.au |
| FOI 256-2020 | 22 February 2021 | Certain documents in relation to CN3408601, CN3660258, CN3713010 and CN3734046 as listed on AusTender. | 13 documents released in part with material that was irrelevant to the request removed under s 22 of the FOI Act. | To access the document please email foirequest@asic.gov.au |
| FOI 224-2020 | 16 February 2021 | The first email warning sent to banks about cold-calling scams sent in the calendar years 2013, 2014, 2015 and 2016. | 4 documents released in full with material that was irrelevant to the request removed under s 22 of the FOI Act. | To access the document please email foirequest@asic.gov.au |
| FOI 247-2020 | 12 Feburary 2021 | Correspondence between ASIC and Tupicoffs and/or Neil Kendall between the dates 16 November 2020 and 21 November 2020 in relation to the use of the word 'independent' under section 923A of the Corporations Act 2001 (Cth). | 1 document released in full with material that was irrelevant to the request removed under s 22 of the FOI Act. | To access the document please email foirequest@asic.gov.au |
| FOI 250-2020 | 1 February 2021 | Request for access to information provided to ASIC that satisfied ASIC that Stuart Adamson consented to be an officeholder of Squirrel Superannuation Services Pty Limited | 2 documents released in full. | To access the document please email foirequest@asic.gov.au |
| FOI 229-2020 | 28 January 2021 | Documents related to ASIC’s internal review of its handling of the Sterling Group matter | 5 documents released in full and 2 documents released in part. | To access the document please email foirequest@asic.gov.au |
| FOI 254-2020 | 27 January 2021 | Any written complaints received relating to IOOF’s use of the COVID-19 waiver or its capital raising in September. Any letters or emails between ASIC and the ASX relating to IOOF’s use of the COVID-19 waiver or its capital raising in September. |
Four documents released in full and one document released in part, with material that was irrelevant to the request removed under s 22 of the FOI Act. | To access the document please email foirequest@asic.gov.au |
| FOI 238-2020 | 27 January 2021 | The terms of engagement for Egon Zehnder for conducting a 'behavioural' review of ASIC's leadership team in late 2019’ | 1 document released in part. | To access the document please email foirequest@asic.gov.au |
| FOI 269-2020 | 27 January 2021 | A document showing the number of criminal and civil penalty proceedings initiated annually by ASIC between 2000 and 2019, and their success rates | 1 document created and released in full. | To access the document please email foirequest@asic.gov.au |
| FOI 242-2020 | 25 January 2021 | Any documents or correspondence related to Daniel Crennan joining EverBlue Capital |
1 document released in full. | To access the document please email foirequest@asic.gov.au |
| FOI 252-2020 | 12 January 2021 | Document concerning current outcome of ASIC’s surveillance of climate change related disclosure | 1 document released in part. | To access the document please email foirequest@asic.gov.au |
| FOI 232-2020 | 8 January 2021 | Request for access to documents relating to the request to defer the deregistration of Plastic Processing WA Pty Ltd | 1 document released in full. | To access the document please email foirequest@asic.gov.au |
| FOI 237-2020 | 7 January 2021 | Documents and correspondence between the ASX and ASIC about system outages in the week of November 16 | 1 document released in full. | Available to download at https://download.asic.gov.au/media/5853659/asx-statement-on-the-equity-market-outage-november-2020.pdf |
| FOI 225-2020 | 7 January 2021 | Any documents or communications in which Mr Crennan was assured that the payment of his rental allowance was consistent with ASIC policy. | 1 document released in part, with material that was irrelevant to the request removed under s 22 of the FOI Act. | To access the document please email foirequest@asic.gov.au |
| FOI 223-2020 | 17 December 2020 | The notification sent to banks on 12 May 2017 in which PWRTrade is mentioned. | 1 document released in full, with material that was irrelevant to the request removed under s 22 of the FOI Act.
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To access the document please email foirequest@asic.gov.au |
| FOI 207-2020 | 16 December 2020 | A document that confirms the appointment of James Shipton to the role of ASIC Chair | 1 document (Instrument of Appointment for James Shipton to the role of ASIC Chair) released in full | To access the document please email foirequest@asic.gov.au |
| FOI 227-2020 | 14 December 2020 | Documents identifying the financial cost paid by ASIC to external suppliers in its case brought against Harold Mitchell and Stephen Healy | 1 document released in full | To access the document please email foirequest@asic.gov.au |
| FOI 186-2020 | 7 December 2020 | The no action letters sent to individuals relating to ASIC's investigation of matters raised by the Royal Commission into Misconduct in the Banking, Superannuation and Financial Services Industry and list of recipients of such no action letters. | 1 document released in full. 1 document released in part. | To access the document please email foirequest@asic.gov.au |
| FOI 211-2020 | 3 December 2020 | A copy of the written procedures in force up until 1 July 2019 pursuant to Subsection 15(3) of the Public Service Act 1999. | 1 document (ASIC Code of Conduct Policy) released in full | To access the document please email foirequest@asic.gov.au |
| FOI 187-2020 | 10 November 2020 | Findings letters issued to each of the responsible entities of the 14 “cash” funds and the three funds ‘with redemption features not matching the liquidity of underlying assets’ referenced in ASIC’s media release titled ‘20-218MR ASIC tells fund managers to be ‘true to label’. | 2 documents released in full | To access the document please email foirequest@asic.gov.au |
| FOI 203-2020 | 9 November 2020 | Request for access to a copy of Form 362 document number 7E5519977 | 1 document released in full | To access the document please email foirequest@asic.gov.au |
| FOI 177-2020 | 9 November 2020 | Correspondence between ASIC and Tupicoffs Pty Ltd and/or Neil Kendall between 1 July 2013 and 4 July 2014 in relation to the use of 'independent' under section 923A. | 6 documents released in part, with material that was irrelevant to the request removed under s 22 of the FOI Act. | To access the document please email foirequest@asic.gov.au |
| FOI 194-2020 | 5 November 2020 | Documents containing information about (1) the number of financial advisers on the ASIC Financial Adviser Register that did not complete the continuous professional development (CPD) requirements last financial year; and (2) the names of those who did not complete CPD requirements. | 1 document released in full | To access the document please email foirequest@asic.gov.au |
| FOI 196-2020 | 4 November 2020 | Two ASIC emails notifying certain institutions that Banc de Binary and Option Financial Markets are unlicensed foreign entities making unsolicited calls to Australians. |
2 documents released in part, with material that was irrelevant to the request removed under s 22 of the FOI Act. |
To access the document please email foirequest@asic.gov.au |
| FOI 183-2020 | 28 October 2020 | Internal file note dated 2018 recording ASIC's decision not to take action against the Glaucus report into Blue Sky Alternative Investments Limited. | 1 document released in part, with material that was irrelevant to the request removed under s 22 of the FOI Act. | To access the document please email foirequest@asic.gov.au |
| FOI 171-2020 | 27 October 2020 | Internal notes and email correspondence between 1 July 2017 and 1 July 2020 that contain both terms “923A” and “RG 179” in the context of financial advisers who provide a Managed Discretionary Account service. | 2 documents released in part | To access the document please email foirequest@asic.gov.au |
| FOI 145-2020 | 13 October 2020 | Internal ASIC documents related to a 2016 paper released by the Financial Rights Legal Centre named Guilty Until Proven Innocent that also relate to the racial or ethnic profile of insurance claimants. | 1 document released in full
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To access the document please email foirequest@asic.gov.au |
| FOI 185-2020 | 12 October 2020 | Background research that underpinned findings of ASIC Report 201 Review of disclosure for capital protected products and retail structured or derivative products, excluding the names of companies, products and PDSs. | 4 documents released in part, with material that was irrelevant to the request removed under s 22 of the FOI Act. | To access the document please email foirequest@asic.gov.au |
| FOI 168-2020 | 12 October 2020 | Request for access to a copy of Form 362 lodged in January 2020 by TAX IQ Pty Ltd to act as the registered Agent for LMC Marketing Pty Ltd | 1 document released in full. | To access the document please email foirequest@asic.gov.au |
| FOI 182-2020 | 8 October 2020 | ASIC's "examination plan" dated 2009 or 2010 concerning Trio Capital Limited | 2 documents released in part. | To access the document please email foirequest@asic.gov.au |
| FOI 133-2020 | 5 October 2020 | Exhibit to affidavit of ASIC filed in Federal Court proceedings NSD 1061/2015 re Navra Group Pty Ltd | 1 document released in part | To access the document please email foirequest@asic.gov.au |
| FOI 134-2020 | 5 October 2020 | Documentation on the ASIC v Westpac responsible lending case dated between June 26, 2020 and July 22, 2020. Specifically, documents or emails that relate to ASIC's decision not to pursue a final appeal in the case, including correspondence from within the organisation as well as between ASIC and outside sources, such as Treasury. | 10 documents released in part. | To access the document please email foirequest@asic.gov.au |
| FOI 139-2020 | 28 September 2020 | 'Notes to Treasury' created by ASIC between 1 June and 31 July 2020 relating to the following topics: - The regulation of litigation funders - The continuous disclosure regime in the Corporations Act - The matter of Australian Securities and Investments Commission v Westpac Banking Corporation [2020] FCAFC 111 - Directors' and Officers' liability insurance |
3 documents released, with some material exempted in one document and material that was irrelevant to the request removed from another document under s 22 of the FOI Act. | To access the document please email foirequest@asic.gov.au |
| FOI 126-2020 | 17 September 2020 | Correspondence and internal ASIC documents concerning Senator O’Neill’s request that ASIC investigate AMP’s changes to its buyer of last resort arrangements | 14 Documents released in full 35 documents released in part |
To access the document please email foirequest@asic.gov.au |
| FOI 172-2020 | 17 September 2020 | A summary of all FASEA Code of Ethics breaches reported, including the Standard breached in each instance and any action taken to date. | One document released in full. | To access the document please email foirequest@asic.gov.au |
| FOI 117-2020 | 10 September 2020 | Correspondence between ASIC and the seven responsible entities referenced in Media Release 20-137MR ‘Investment funds told to correct advertising and disclosure’, together with the full written findings of the surveillance. | 9 documents released in full and 2 documents released in part. | To access the document please email foirequest@asic.gov.au |
| FOI 120-2020 | 3 September 2020 | Consolidated Deed of Variation dated 6 May 1958 that covers Regulation or Rule 29, and the Deeds of Variation dated 3 July 1961[sic], 3 August 1965 and 3 September 1970 that cover amending the definition of “salary” for superannuation purpose in Regulation 29. | 4 documents released in full. | To access the document please email foirequest@asic.gov.au |
| FOI 165-2020 | 28 August 2020 | A document that lists all the books or other documents that could be classified as 'legal authorities' in ASIC's law library where the main title commences with the letters "Th" | 1 document released in full. | To access the document please email foirequest@asic.gov.au |
| FOI 103-2020 | 28 August 2020 | Correspondence between ASIC and Navra Group Pty Ltd regarding directions given to it by ASIC and compliance with those directions | 2 documents released in full 7 released in part |
To access the document please email foirequest@asic.gov.au |
| FOI 105-2020 | 25 August 2020 | Request for access to document 030810476, requisitioned Form 205 -Notification of Resolution Changing Company Name - submitted by Cover Genius Pty Ltd | 2 document released in part. | To access the document please email foirequest@asic.gov.au |
| FOI 085-2020 | 4 August 2020 | Documents sent to advice licensees in relation to paragraph 29(c) of ASIC Report 639: Financial advice by superannuation funds | 7 documents released in part.
25/08/2020 - Additional 6 documents released. |
To access the document please email foirequest@asic.gov.au |
| FOI 090-2020 | 22 July 2020 | 1. Any written advice provided by ASIC to Treasury, the Treasurer or the Treasurer's office, regarding the Corporations (Coronavirus Economic Response) Determination (No. 2) 2020
2. Any minutes or records of meetings between ASIC and Treasury, the Treasurer or the Treasurer's office, regarding the determination 3. Any messages exchanged between ASIC's commissioners and a) officials of Treasury, b) the Treasurer or c) the Treasurer's office regarding the determination |
38 documents released in part, with material exempted and material that was irrelevant to the request redacted under s 22 | To access the document please email foirequest@asic.gov.au |
| FOI 097-2020 | 22 July 2020 | Documents dated between 1 March and 31 May 2020 containing ASIC consideration of the merits of relaxing continuous disclosure rules laws for company officers. | 22 documents released in part, with material exempted and material that was irrelevant to the request redacted under s 22 | To access the document please email foirequest@asic.gov.au |
| FOI 088-2020 | 14 July 2020 | Records held by ASIC concerning the registration of the business name "Queensland Democrats” | 1 document released in part. | To access the document please email foirequest@asic.gov.au |
| FOI 075-2020 | 14 July 2020 | Documents in relation to the removal of the appointed registered agent for Wordle Pty Limited (ACN 000 777 953) | 2 documents released in full. | To access the document please email foirequest@asic.gov.au |
| FOI 073-2020 | 13 July 2020 | Internal reports, and/or internal reports and briefs created for any ASIC committees, on ASIC’s monitoring of the ongoing implementation and expert assurance of the customer review and remediation programs for financial advice provided by AMP, ANZ, NAB, CBA and Westpac, since January 2018 to May 2020 | 13 documents released with material that was irrelevant to the request redacted under s 22 | To access the document please email foirequest@asic.gov.au |
| FOI 082-2020 | 10 July 2020 | AFCA's dispute resolution statistics that show complaint outcomes and the origin of the complaint. | 2 documents released in full. | To access the document please email foirequest@asic.gov.au |
| 144 | 10 July 2020 | Documents concerning regulatory action undertaken against Henry Morgan Limited under the Corporations Act 2001 in relation to a bonus option prospectus lodged with ASIC by Henry Morgan on 2 June 2017. | 2 documents released in full. | To access the document please email foirequest@asic.gov.au |
| FOI 080-2020 | 6 July 2020 | Warnings issued between 1 June 2019 to 1 July 2019 to any entity under section 75 of the Business Names Registration Act 2011 (Cth) for alleged breach of section 18(1) of the Act. | 3 documents released in full. | To access the document please email foirequest@asic.gov.au |
| FOI 079-2020 | 6 July 2020 | Document identifying the professional indemnity insurer of BBY Limited. | 1 document released in full. | To access the document please email foirequest@asic.gov.au |
| FOI 062-2019 | 1 July 2020 | Documents relating to PwC’s resignation as auditor of Grocon. | 3 documents released with material exempted and material that was irrelevant to the request redacted under s 22. | To access the document please email foirequest@asic.gov.au |
| FOI 084-2020 | 26 June 2020 | PDF or hard copies of these 5 ASIC forms or "transactions": • "Insolvency initial statutory report"; • "Insolvency supplementary statutory report"; • "Notice of intention not to submit an insolvency supplementary report"; • "Request assistance for external administration"; and • "Submit request for assetless administration funding |
5 documents released in full. These documents are extracted from ASIC’s systems and cannot be used for submissions. |
To access the document please email foirequest@asic.gov.au |
| FOI 046-2020 | 27 May 2020 | Any Document generated between 1 February 2018 and 31 December 2019 recording a Direction given by the Chair, or any Deputy Chair, Commissioner, Committee or Executive: (a) in respect of commencing an Investigation of and/or taking Enforcement Action against AFSL holders who provide financial services relating to retail over-the-counter derivatives, including without limitation, contracts for difference and/or exchange. Request relates to AFSL providers generally as a class and not to specific entities. |
5 documents released with material exempted and material that was irrelevant to the request removed under s 22 of the FOI Act. | To access the document please email foirequest@asic.gov.au |
| FOI 060-2020 | 20 May 2020 | Documents detailing the total cost of ASIC's investigation into Storm Financial Limited including costs that have been recouped for the period 12 December 2008 to the date of the request. | Document titled 'ASIC total expenditure for its investigation and legal action in relation to Storm Financial Limited from 12 December 2008 to 14 April 2020.'
Released in full. |
To access the document please email foirequest@asic.gov.au |
| FOI 056-2020 | 18 May 2020 | Referrals from the Australian Financial Complaints Authority (AFCA) to ASIC concerning Dover Financial Advisers Pty Ltd and any responses from ASIC to AFCA in reply. | 19 documents released in part. | To access the document please email foirequest@asic.gov.au |
| FOI 026-2020 | 12 May 2020 | Communications between ASIC and Mr Mark Evans regarding the deregistration of K2MC Pty Ltd (ACN: 621 530 121). | 3 documents released in full. | To access the document please email foirequest@asic.gov.au |
| FOI 039-2020 | 7 May 2020 | All documents sent between ASIC and Viriginia Surety Company relating to the 'ASIC directive to refund GAP and shortfall insurance policy fee'. | 2 documents released in part. | To access the document please email foirequest@asic.gov.au |
| FOI 012-2020 | 23 April 2020 | Documents in relation to ASIC's investigation into clients of Morgans Financial Limited investing in EPIC Diversified Property Funds, and financial advice provided by John Kirby/Morgans Emerald branch. | 1 document released in part. | To access the document please email foirequest@asic.gov.au |
| FOI 041-2020 | 2 April 2020 | A copy of ASIC's guidelines for determining whether to pursue a case as a criminal matter, rather than a civil matter. | Memorandum of Understanding (MOU) between ASIC and the CDPP dated 1 March 2006. | Available to download at https://download.asic.gov.au/media/3343247/asic-cdpp-mou-march-2006.pdf. |
| FOI 015-2020 | 24 March 2020 | Documents concerning the renewal and cancellation of 'Matraville Veterinary Hospital' held by ML&L Pty Ltd and registration documents in relation to various business names held by Raidillon Holdings Pty Ltd. | A letter from ASIC to ML&L Pty Ltd. | To access the document please email foirequest@asic.gov.au |
| FOI 034-2020 | 17 March 2020 | Documents relating to ASIC's Agency Security Information Classification & Handling Guidelines as July 2015. | 3 documents released in part. | To access the document please email foirequest@asic.gov.au |
| FOI 279-2019 | 17 March 2019 | Reports relating to the 13 advice files on Limited Course Protected Equity Loans (such files being referenced at paragraph 36 on page 10 of ASIC Report 377) that were investigated and reviewed by the Australian Securities and Investment Commission ("ASIC") for ASIC Report 377 | 4 documents released with material exempted and material that was irrelevant to the request removed under s 22 of the FOI Act. | To access the document please email foirequest@asic.gov.au |
| FOI 013-2020 | 11 March 2020 | ASIC letter and notices sent to Morgans Financial Limited ('Morgans Financial') and letters from Morgans Financial in response, in relation to client complaints from 2013 to 31 January 2020. | 4 documents released in full. | To access the document please email foirequest@asic.gov.au |
| FOI 004-2020 | 14 February 2020 | Documents in relation to discussions between ASIC and Austpac Resources N.L regarding deferral of its 2019 Annual General Meeting ('AGM') and ASIC's granting of an extension to hold its AGM. | 4 documents released in full. | To access the document please email foirequest@asic.gov.au |
| FOI 242-2019 | 11 February 2020 | Additional material released for FOI 242-2019. | 2 additional documents released. | To access the document please email foirequest@asic.gov.au |
| FOI 266-2019 | 10 February 2020 | Documents sent to Financial Adviser Standards and Ethics Authority pertaining to Financial Planners and Advisers Code of Ethics in response to consultation. | 7 documents released in full. Three documents released in part. | To access the document please email foirequest@asic.gov.au |
| FOI 269-2019 | 28 January 2020 | Documents filed in relation to the application made by ASIC to the Supreme Court of New South Wales regarding the winding up of various entities in the RMA Group, excluding any affidavits, exhibits or annexures. | 1 document released in full. | To access the document please email foirequest@asic.gov.au |
| FOI 195-2019 | 21 January 2020 | Additional material released for FOI 195-2019. | 5 additional documents released. | To access the document please email foirequest@asic.gov.au |
| FOI 242-2019 | 17 January 2020 | Documents relating to Innate Immunotherapeutics, Chris Collins and/or James Wheeldon between 18 January 2017 and 4 November 2019. | 9 documents released in part. | To access the document please email foirequest@asic.gov.au |
| FOI 252-2019 | 17 January 2020 | Additional material released for FOI 252-2019 | Additional material in documents 1 and 2. | To access the document please email foirequest@asic.gov.au |
| FOI 238-2019 | 16 January 2020 | Request for access to the commission's internal register of gifts and hospitality to ASIC officers, covering items and invitations accepted or declined, for the 2018 calendar year and for 2019 to date. | 1 document released in full. | To access the document please email foirequest@asic.gov.au |
| FOI 257-2019 | 13 January 2020 | Request for access to information relating to KMV Constructions Pty Ltd, Brent Gordon Vincent and Kelly Lee Vincent in relation to ASIC investigations, banning's, and for documents regarding the initiation of de-registration of KMV Constructions Pty Ltd ACN 129 540 898 under s601 AB. | Released in full - ASIC notice of intent to deregister the company addressed to KMV Constructions Pty Ltd.
Released in full - ASIC notice of intent to deregister KMV Constructions Pty Ltd addressed to Brent Vincent. |
To access the document please email foirequest@asic.gov.au |
| FOI 265-2019 | 3 January 2020 | Document that identifies the professional indemnity insurer or insurance broker of Dover Financial Advisers Pty Ltd. | 1 document released in full. | To access the document please email foirequest@asic.gov.au |
| FOI 239-2019 | 2 January 2020 | Documents created since 1 June 2019 that contain examination or analysis of the market for LICs and LITs and the impact on the issuance of LICs from stamping fees being exempt from the application of the Future of Financial Advice (FoFA) laws. | 19 documents released with some material exempted in one document and material that was irrelevant to the request removed from several other documents under s 22 of the FOI Act. | To access the document please email foirequest@asic.gov.au |
| FOI 252-2019 | 24 December 2019 | Documents recording a recommendation or decision not to take action concerning Blue Sky Alternative Investments Limited in relation to continuous disclosure obligations. | 2 documents partially released. | To access the document please email foirequest@asic.gov.au |
| FOI 195-2019 | 19 December 2019 | Documents relating to Chi-X Australia Pty Ltd's Market-on-Close (MOC) order type. | 24 documents released in part. | To access the document please email foirequest@asic.gov.au |
| FOI 096-2019 | 2 December 2019 | Additional material released for FOI 096-2019. | Additional material in 4 documents. | To access the document please email foirequest@asic.gov.au |
| FOI 140-2019 | 28 November 2019 | Additional material released for FOI 140-2019. | Document 8 released in part. | To access the document please email foirequest@asic.gov.au |
| FOI 140-2019 | 26 November 2019 | Internal summaries of problems and fractions mentioned in an ASIC media release in relation to Morgans Financial Limited. | 4 documents partially released. | To access the document please email foirequest@asic.gov.au |
| FOI 113-2019 | 26 November 2019 | Additional material released for FOI 113-2019. | EY audit inspection report released in part. | To access the document please email foirequest@asic.gov.au |
| FOI 178-2019 | 12 November 2019 | A copy of the Mortgage Broking Industry Report prepared for ASIC by Deloitte Access Economics. | One document released in part following consultation with a third party. | To access the document please email foirequest@asic.gov.au |
| FOI 169-2019 | 6 November 2019 | Documents relating to Facebook and the crypto currency, Libra, and any correspondence between ASIC and Facebook relating to the issue since May 2019. | Emails, file notes of meetings and other documents concerning the subject matter of the FOI request.
1 document released in full. 12 documents released in part. |
To access the document please email foirequest@asic.gov.au |
| FOI 176-2019 | 22 October 2019 | Request for Form 581- Application for reinstatement of Gemtex Pool Renderers Pty Ltd (Doc 030570252). | Application for ASIC reinstatement (Form 581).
Released in part. |
To access the document please email foirequest@asic.gov.au |
| FOI 167-2019 | 4 October 2019 | Meeting minutes, agenda items or speaking notes related to meetings between ASIC Commissioners and the chiefs of the big four accounting firms (KPMG, PWC, EY and Deloitte) along with correspondence between ASIC and the firms following these meetings, since the January 2018. | Meeting agenda – Big 4 accounting firm Chairs/CEOs and ASIC Commissioners dated 6 April 2018 | To access the document please email foirequest@asic.gov.au |
| FOI 154-2019 | 2 October 2019 |
|
Document titled ‘Request to cancel an Australian financial services licence’ Released in full. |
To access the document please email foirequest@asic.gov.au |
| FOI 174-2019 | 1 October 2019 | Documents concerning ASIC’s investigations into Bux Global Limited. | One memo released in part. | To access the document please email foirequest@asic.gov.au |
| FOI 129 2019 | 26 September 2019 | Additional material released for FOI 129-2019 | Additional material in documents 1, 2, 3, 4, and 6. | To access the document please email foirequest@asic.gov.au |
| FOI 129A-2019 | 26 September 2019 | Audit inspection reports for Deloitte, Ernst & Young, PwC and KPMG for the 18 months to June 2018, dated May 2019. (Same request as FOI 113-2019) | KPMG, Deloitte and PwC audit inspection reports released in part. | To access the document please email foirequest@asic.gov.au |
| FOI 147-2019 | 19 September 2019 | Emails from or to Greg Yanco during the period of 31 March 2018 to 31 March 2019 that specifically mention ‘product intervention’ and at least one of ‘OTC derivative’, ‘CFD’, ‘Margin FX’ or ‘leverage caps’, specifically excluding:
|
105 emails released in part. | To access the document please email foirequest@asic.gov.au |
| FOI 083-2019 | 11 September 2019 |
The attachments referred to in the internal correspondence recorded in: Schedule B Macquarie – 14-201MR Schedule A Macquarie – 13-010MR (see disclosure log 91) |
Attachments to internal correspondence relating to development of media releases. Released in full.
|
To access the document please email foirequest@asic.gov.au |
| FOI 146-2019 | 11 September 2019 | Documents relating to auditor John McGoldrick |
Form 912A and one document titled ‘Freedom of Information Request – Document providing information held in electronic form by ASIC’. Released in part. |
To access the document please email foirequest@asic.gov.au |
| FOI 113-2019 | 10 September 2019 | Audit inspection reports for Deloitte, Ernst & Young, PwC and KPMG for the 18 months to June 2018, dated May 2019. | KPMG, Deloitte and PwC audit inspection reports released in part. | To access the document please email foirequest@asic.gov.au |
| FOI 119-2019 | 10 September 2019 | Communications between ASIC and Local Appliance Rentals Pty Ltd from 1 July 2015 to 31 January 2017 which record ASIC’s surveillance/investigation referred to in an Enforceable Undertaking dated 9 October 2018. |
Emails and letters sent between ASIC and Local Appliance Rentals Pty Ltd. 15 documents released in full and 10 released in part. Released in part. |
To access the document please email foirequest@asic.gov.au |
| FOI 162-2019 | 30 August 2019 | ‘the document that lists the hedge funds ASIC considered to be of high risk that its proactive surveillance had identified and carried out value of assets checks. The time period is from 11 December 2008 to 19 September 2009.’ | Document dated 20 August 2009. Released in part. | To access the document please email foirequest@asic.gov.au |
| FOI 096-2019 | 29 August 2019 | Documents referenced in the Enforceable Undertaking document entered into by Foster Stockbroking as specified by the applicant. | Two documents released in part to and one document released in full following consultation with third parties. | To access the document please email foirequest@asic.gov.au |
| FOI 051-2019 | 27 August 2019 | Internal review of FOI 051-2019. | Material on page one of document one - ‘Summary results.’ | To access the document please email foirequest@asic.gov.au |
| FOI 133-2019 | 21 August 2019 | Correspondence between ASIC and Armstrong Wily, including any requests for funding, in relation to City Pacific and/or the Pacific First Mortgage Fund |
|
To access the document please email foirequest@asic.gov.au |
| FOI 129-2019 | 21 August 2019 | Communications from Deloitte to ASIC about the potential disclosure of PwC’s audit inspection results by PwC, and for internal ASIC correspondence about those communications | 7 documents released in part. | To access the document please email foirequest@asic.gov.au |
| FOI 134-2019 | 15 August 2019 | Gifts and hospitality received by ASIC staff in FY 2017-2018 and FY 2018-2019. | ASIC’s gift and hospitality register for FY 2017-2018 (excluding 1 July to 31 December 2017 – see disclosure log no. 107) and FY 2018-2019.
Released in full. |
To access the document please email foirequest@asic.gov.au |
| FOI 112-2019 | 9 August 2019 | Documents concerning ASIC’s duty to prefer the interests of growers over its own corporate interests in relation to the 2002 Almond Project. | 11 documents released in full and 2 released in part.
These included documents sent by KordaMentha to ASIC, and redacted versions of internal ASIC documents in relation to the matter |
To access the document please email foirequest@asic.gov.au |
| FOI 126-2019 | 8 August 2019 | Documents showing a breakdown of how ASIC's budget was allocated internally for each of the five financial years from 2014 to 2019. | A document outlining ASIC’s budget allocation for the financial years 14/15 to 18/19
Released in full |
To access the document please email foirequest@asic.gov.au |
| FOI 113-2019 | 6 August 2019 | Audit inspection reports for Deloitte, Ernst & Young, PwC and KPMG for the 18 months to June 2018, dated May 2019. | KPMG audit inspection report released in part. | To access the document please email foirequest@asic.gov.au |
| 143 | 26 July 2019 | Documents concerning an ASIC investigation into CBA term deposits | Internal ASIC emails and investigation closure report.
Released in full following IC review |
To access the document please email foirequest@asic.gov.au |
| FOI 121-2019 | 16 July 2019 | Documents recording any recommendation or decision not to prosecute or take action concerning the Extraordinary General Meeting held by Wellington Capital Ltd in Sydney, NSW on 23 June 2011. | An internal memorandum was identified as the one relevant document. This was released in part to the applicant. | To access the document please email foirequest@asic.gov.au |
| FOI 117-2019 | 16 July 2019 | Documents recording any recommendation or decision not to prosecute or take action concerning the sale of 150 million shares by Wellington Capital Ltd to Asset Resolution Ltd. | An internal memorandum was identified as the one relevant document. This was released in part to the applicant. | To access the document please email foirequest@asic.gov.au |
| FOI 116-2019 | 16 July 2019 | Documents relating to ASIC’s investigation into Slater & Gordon | One internal memorandum was identified as falling within the scope of the request. This was released in part to the applicant. | To access the document please email foirequest@asic.gov.au |
| FOI 106-2019 | 12 July 2019 | The final version of the Incoming Government Brief (IGB) that was provided by ASIC to the returned government. | A copy of the Incoming Government Brief provided to the Minister following the Federal Election on 18 May 2019 was released in part. | To access the documents please email foirequest@asic.gov.au |
| FOI 111-2019 | 3 July 2019 | Request for practices and procedures which govern ASIC’s surveillances of managed investment schemes. | Partial release of one document to the applicant | To access the documents please email foirequest@asic.gov.au |
| FOI 109-2019 | 26 June 2019 | ASIC’s letter to Minox Securities Pty Ltd (doc #026482643). | An envelope marked ‘Returned to Sender’ and the first page of ASIC’s letter to Minox Securities Pty Ltd.
Released in full |
To access the documents please email foirequest@asic.gov.au |
| FOI 090-2019 | 17 June 2019 | A copy of the SPEAR Report concerning the investigation of Terry McMaster and/or Dover Financial Advisers Pty Ltd for the month of August 2018, redacted of its contents except for:
|
SPEAR Report dated 30 August 2018, redacted of its contents except for titles, subtitles or headers.
Released in part |
To access the documents please email foirequest@asic.gov.au |
| FOI 079-2019 | 17 June 2019 | All correspondence between KPMG and ASIC in relation to City Pacific and the First Mortgage Fund. | Letters sent by KPMG partners Jillian Richards and Paul Steer to ASIC in 2008 and 2009.
Released in part |
To access the documents please email foirequest@asic.gov.au |
| FOI 078-2019 | 12 June 2019 | A list of independent experts engaged in Enforceable Undertakings entered into with ASIC from 1 January 2017 to 23 April 2019. | Released one document titled ‘Freedom of Information Request – Document providing information held in electronic form by ASIC‘.
Released in part Updated 11.07.19 - document released in full |
To access the documents please email foirequest@asic.gov.au |
| FOI 110-2019 | 7 June 2019 | Costs paid by ASIC in the matter of Hazeldine v ASIC (case ref: 2018/0261) to internal solicitors and general counsel |
Released one document in full titled ‘Freedom of Information Request – Document providing information held in electronic form by ASIC‘. Released in full |
To access the documents please email foirequest@asic.gov.au |
| FOI 051-2019 | 28 May 2019 | Financial reports and attachments lodged by Davantage Group Pty Ltd with ASIC for the financial year ending 30 June 2016, 30 June 2017 and 30 June 2018 | 3 documents were released in part. | To access the documents please email foirequest@asic.gov.au |
| FOI 026-2019 | 21 May 2019 | Documents relating to the settlement agreement and Enforceable Undertaking entered into between ASIC and ANZ in relation to BBSW | Various documents identified as correspondence between ANZ and ASIC in relation to the negotiations for the settlement of the BBSW matter. Access was granted in full to 8 documents and in part to the remaining 3 documents. | To access the documents please email foirequest@asic.gov.au |
| FOI 053-2019 | 21 May 2019 | Documents relating to MFS Investment Management Limited ACN 101 634 146 (in liquidation):
|
Section 19 notices released in part and in full in relation to an investigation by ASIC into the use of funds deriving from a Royal Bank of Scotland PLC loan facility | To access the documents please email foirequest@asic.gov.au |
| 142 | 30 April 2019 | Internal review of disclosure log number 138. |
Two additional documents released:
Released in part. |
To access the documents please email foirequest@asic.gov.au |
| FOI 038-2019 | 5 April 2019 | Documents confirming authority of staff member to sign and send letter to Dover dated 5 June 2018. |
|
To access the documents please email foirequest@asic.gov.au |
| 141 | 5 April 2019 | A document which is a table summarising ASIC's legal expenditure on external counsel and external solicitors in relation to the financial services royal commission | A document containing the requested information was created from existing data. Access to this document was granted in full. |
To access the documents please email foirequest@asic.gov.au |
| 140 | 2 April 2019 | An ASIC document described as CBA TD Memo of position | Internal ASIC memorandum titled “CBA Term Deposits” dated 15 December 2008 Released in part |
To access the documents please email foirequest@asic.gov.au |
| FOI 035-2019 | 19 March 2019 | Documents lodged in 2000 for Lawrence Metal Casting Pty Ltd and forms numbered 0153302612 and 014468676. | A system file note of requisitioned document 015302612 and ASIC notices to Lawrence Metal Casting Pty Ltd (ACN: 070 242 189). Released in part |
To access the documents please email foirequest@asic.gov.au |
| FOI 012-2019 | 15 March 2019 | A copy of ASIC's internal enforcement review. | A report to the Commissioners of ASIC by Daniel Crennan, QC, ASIC’s Deputy Chair titled “Review of ASIC’s enforcement policies, processes and decision-making procedures. Released in part |
To access the documents please email foirequest@asic.gov.au |
| FOI 027-2019 | 13 March 2019 | Communications between the Hon Josh Frydenberg MP and the ASIC Chair, James Shipton between 1 February 2019 to 18 February 2019. | A letter sent from the Hon Josh Frydenberg MP to James Shipton dated 11 February 2019. Released in full |
To access the documents please email foirequest@asic.gov.au |
| 139 | 8 March 2019 | The report arising from the executive remuneration review, understood to have been (partly) prepared by Mercer Consulting. | Report titled: “Remuneration Benchmarking: Australian Securities and Investments Commission” dated 21 February 2018. Released in part |
To access the documents please email foirequest@asic.gov.au |
| 138 | 4 March 2019 | Communications between Westpac Banking Corporation and ASIC, and RAMS Financial Group Pty Limited and ASIC between 1 January 2013 to 31 January 2018 relating to an investigation into Sunpac and Heritage. | Documents relating to communications between Westpac Banking Corporation and ASIC in relation to an investigation into Sunpac and Heritage. Released in part |
To access the documents please email foirequest@asic.gov.au |
| FOI 017-2019 | 20 February 2019 | Document number 023549276 | An internal system note in relation to the requisition of document 023549276 (relating to Dynastar Pty Ltd, ABN: 74 089 920 650). Released in part |
To access the documents please email foirequest@asic.gov.au |
| 137 | 18 February 2019 | The referral form from the Superannuation Complaints Tribunal (SCT) to ASIC under section 64 of the Superannuation (Resolution of Complaints) Act 1993 regarding a Tribunal decision dated 3 July 2018. | Released three documents:
Released in part |
To access the documents please email foirequest@asic.gov.au |
| 136 | 14 February 2019 | Documents relating to ASIC’s assessment of the matters raised in Fairfax media about Robert International | 1. ASIC Assessment (released in part)
2. Letter from The Hon Dr Andrew Leigh to ASIC (released in full) 3. Letter from ASIC to The Hon Dr Andrew Leigh (released in full) 4. Letter from ASIC to The Hon Dr Andrew Leigh MP and The Hon Clare O’Neill MP (released in full) |
To access the documents please email foirequest@asic.gov.au |
| 135 | 5 February 2019 | The Section 19 (ASIC Act) notices sent during ASIC’s investigation of Offset Alpine. | Released 28 Section 19 notices with personal and business affairs material redacted under sections 47F and 47G of the FOI Act | To access the document please email foirequest@asic.gov.au |
| 134 | 4 February 2019 | Documents relating to LWP Technologies Limited. | ASX Announcement dated 20 July 2015 titled ‘Quantum Leap for LWP Technologies.’ | Available to download at asx.com.au |
| 133 | 17 January 2019 | Documents concerning the deregistration of ACN 060 104 912 – Hayes Microcomputer Products (Australia) Pty Ltd | Five documents were identified as relevant to the request. Four were released in full; one was released in part. These concerned:
|
To access the document please email foirequest@asic.gov.au |
| 132 | 2 January 2019 | Documents relating to SMSF auditor John Le Lievre. |
1. Internal ASIC email dated 12 August 2016 confirming the cancellation of the SMSF auditor registration of Mr John Le Lievre. |
To access the document please email foirequest@asic.gov.au |
| 131 | 24 December 2018 | Documents relating to the Information Publication Scheme (IPS) | 1. ASIC IPS Plan 2. Details of Commission members and Regional Commissioners 3. Details of arrangements for members of the public to comment on specific policy proposals for which ASIC is responsible. |
1. Available at: https://asic.gov.au/about-asic/freedom-of-information-foi/information-publication-scheme/information-publication-scheme-plan/ 2. Available at: https://asic.gov.au/about-asic/what-we-do/our-structure/asic-senior-leadership/ 3. Available at: https://asic.gov.au/regulatory-resources/find-a-document/consultation-papers/ |
| 130 | 24 December 2018 | Documents in relation to the:
|
Released 31 documents some in full and some in part concerning:
|
To access the document please email foirequest@asic.gov.au |
| 129 | 24 December 2018 | Documents with information relating to the deregistration of Wite Pty Limited (ACN: 151 092 036) | Notices sent by ASIC to Wite Pty Limited and its officeholder about the deregistration of the company. Released in full |
To access the document please email foirequest@asic.gov.au |
| 128 | 21 December 2018 | The exhibits to the affidavit of Glenn John Childs sworn on 9 September 2015 and filed in proceeding ASIC v Avestra Asset Management Ltd VID 514/2015. | Exhibits to the affidavit as described in the applicant’s request. 286 documents released in full and an additional 6 documents released in part with some personal information redacted. |
To access the document please email foirequest@asic.gov.au |
| 127 | 21 December 2018 | The costs associated with the investigation into Westpac, ANZ, NAB and the Commonwealth Bank of Australia for BBSW manipulation | Released one document in full titled ‘Freedom of Information Request to ASIC by Mr Michael Griffiths 1 December 2018; Document providing information held in electronic form by ASIC.' | To access the document please email foirequest@asic.gov.au |
| 126 | 21 December 2018 | A copy of the instrument of delegation pursuant to which delegates of ASIC might make decisions under s672A of the Corporations Act to refuse a direction to an applicant | Released two documents in full:
|
To access the document please email foirequest@asic.gov.au |
| 125 | 17 December 2018 | Documents relating to Brighton Cleaning Pty Ltd (in liquidation) ACN 137 402 889 | Documents relating to the resignation and appointment of Company officers. Released in part |
To access the document please email foirequest@asic.gov.au |
| 124 | 14 December 2018 | Copy of the FOI delegation arrangements at ASIC | Instrument of delegation and staff authorisations pursuant to section 23 of the Freedom of Information Act 1982 (Cth). Released in part |
To access the document please email foirequest@asic.gov.au |
| 123 | 13 December 2018 | RA01 form submitted to ASIC for BAC Holdings No. 2 Pty Limited and for Brisbane Airport Corporation Pty Limited | Form RA01 Notification to register, change details of, or cease as an agent for BAC Holdings No. 2 Pty Limited and for Brisbane Airport Corporation Pty Limited Released in full |
To access the document please email foirequest@asic.gov.au |
| 122 | 7 December 2018 | Section 33 Notice sent to LWP Technologies in January 2018 by ASIC | Section 33 Notice issued to LWP Technologies Limited on 29 January 2018. Released in full |
To access the document please email foirequest@asic.gov.au |
| 121 | 20 November 2018 | Documents detailing the current material personal interests of the persons listed on ASIC's website as its "senior executives" (including the chairman and commissioners) | Correspondence and minutes of ASIC meetings concerning the subject matter of the FOI request. Released in part |
To access the document please email foirequest@asic.gov.au |
| 120 | 5 September 2018 | Submissions made by BPay to ASIC in the context of ASIC's review of the Electronic Funds Transfer Code of Conduct | Submission dated 8 May 2007 (referred to in ASIC Consultation Paper 90); and Submission dated 25 November 2008 (referred to in ASIC Report 218). Released in full |
To access the document please email foirequest@asic.gov.au |
| 119 | 30 August 2018 | Documents relating to actions taken by ASIC concerning breaches of continuous financial disclosure obligations | Media releases, and enforceable undertakings issued by ASIC concerning breaches of continuous disclosure obligations; a report on conclusive decisions on ASIC investigations into suspected violations of continuous disclosure obligations Released in full |
To access the document please email foirequest@asic.gov.au |
| 118 | 30 July 2018 | Documents in relation to ASIC’s media strategy about the Financial Services Royal Commission | ASIC emails and briefing documents Correspondence between ASIC and third parties Released in part |
To access the document please email foirequest@asic.gov.au |
| 117 | 18 June 2018 | The document provided to register the Business Name Civic Financial Planning on or about 30 September 2015 | Application to register the Business Name Civic Financial Planning
Released in part |
To access the document please email foirequest@asic.gov.au |
| 116 | 18 June 2018 | Infringement notices issued (and documents requesting information) in respect of breaches of continuous disclosure obligations under s 674 (2) of the Corporations Act 2001 by various named companies | Infringement notices issued to Sirtex Medical Ltd and Belamy's Australia Ltd
Released in full |
To access the document please email foirequest@asic.gov.au |
| 115 | 12 June 2018 | ASIC’s operational costs associated with investigating and pursuing civil proceedings against the Australian Wheat Board over allegations that appear in, and that are linked to, the Cole Inquiry |
A document summarising ASIC's costs associated with investigating and pursuing civil penalty litigation against officers of AWB from 2007- 2018 Released in full | To access the document please email foirequest@asic.gov.au |
| 114 | 7 May 2018 | Request seeking access to the following ASIC files:
014 - Credit and Investments Ombo corro (F20170000589353) 021 - ACCC Corro (F20170000007843) 019 - ABA Correspondence (F20170000001565) |
Correspondence between ASIC and the Australian Banking Association, the Australian Competition and Consumer Commission & the Credit & Investments Ombudsman
Released in part |
To access the document please email foirequest@asic.gov.au |
| 113 | 23 April 2018 | Documents concerning ASIC's decision to ban Daniel Manley from providing financial services | AFSL of Wilson HTM Ltd, Wilson HTM Investment Group Order Execution & Allocation Policy, Internal ASIC emails, documents concerning the banning of Daniel Manley Released in part |
To access the document please email foirequest@asic.gov.au |
| 112 | 12 April 2018 | Documents concerning QFS 150 |
Internal ASIC emails relating to the development of the media release 14-191MR - Statement on wholesale and retail investors and SMSFs Released in part |
To access the document please email foirequest@asic.gov.au |
| 111 | 16 March 2018 | The Data Model (key database planning document) used for ASIC's register of companies | Document titled "Data Model L1 – AS IS"
Released in full |
To access the document please email foirequest@asic.gov.au |
| 110 | 14 February 2018 | Any reports detailing work in progress given to incoming chairman James Shipton | Brief to Incoming Commissioner
Released in part |
To access the document please email foirequest@asic.gov.au |
| 109 | 8 February 2018 | Application for ASIC reinstatement of 407 DORSET ROAD MANAGEMENT PTY. LTD | Application to ASIC to reinstate the registration of 407 Dorset Road Management Pty Ltd
Released in part |
To access the document please email foirequest@asic.gov.au |
| 108 | 7 February 2018 | Documents relating to Term Deposits | Various documents for the period 2008/2009 relating to bank Term Deposits including Interest rate schedules, PDS Statements, Advertising and marketing material and standard form letters
Released in part |
To access the document please email foirequest@asic.gov.au |
| 107 | 22 January 2018 |
Documents relating to hospitality, gift and sponsorship declarations by ASIC staff between 1 January 2014 to 7 December 2017 |
ASIC's gift registers for calendar years 2014 to 2017 Released in full |
To access the document please email foirequest@asic.gov.au |