Freedom of information: ASIC disclosure log table (Jan 2018-current)

About this disclosure log and accessing listed documents

Disclosure log numberDate information listed in disclosure logSummary of FOI request received Description of information released (and whether released in full or part)Other information
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
  1. Assetless administration funding request
  2. Letter from ASIC to Armstrong Wily (released in part)
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:
  • titles, subtitles or headers;
  • any wording which forms part of any template form of SPEAR reports; and
  • any reference to names of employees or officers of ASIC.
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

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):
  • The Section 19 (ASIC Act) notices sent during ASIC’s investigation of MFS Investment Management.
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:

  1. 1. File Note dated 1 April 2015
  2. Schedule to Notice dated 21 February 2014

Released in part.

To access the documents please email foirequest@asic.gov.au
FOI038-2019 5 April 2019 Documents confirming authority of staff member to sign and send letter to Dover dated 5 June 2018.
  1. Delegation, Authorisation and Appointment Instrument – 2018/0241
  2. Extract from Business rules for the exercise of regulatory powers.
Released in part (irrelevant material redacted)
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
FOI035-2019 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
FOI012-2019 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

FOI027-2019 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

FOI017-2019 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:
  • SCT decision dated 3 July 2018, determination number D18-19/002, file number 15-931;
  • SCT letter to NULIS Nominees (Australia) Limited dated 11 July 2018, enclosing letter to ASIC dated 11 July 2018 and the section 64 notification to ASIC dated 8 July 2018, and
  • SCT letter to ASIC dated 11 July 2018, enclosing the section 64 notification to ASIC dated 8 July 2018.

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:
  • notices of intent to deregister ACN 060 104 912 – Hayes Microcomputer Products (Australia) Pty Ltd; and
  • a gazette notice of intent to deregister ACN 060 104 912 – Hayes Microcomputer Products (Australia) Pty Ltd.
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.
2. SMSF Auditor Registration Form Extract: Paragraph 3 – Addresses Details.
Released in part

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://download.asic.gov.au/media/1311271/ASIC-information-publication-scheme-plan.pdf
2. Available at: https://asic.gov.au/about-asic/what-we-do/our-structure/asic-senior-executives
3. Available at: https://asic.gov.au/regulatory-resources/find-a-document/consultation-papers/
130 24 December 2018 Documents in relation to the:
  • application by Orion Corporate Advisory Financial Services for an Australian Financial Services Licence
  • assessment of that license application;
  • granting of that licence; and
  • cancellation of that licence. 
Released 31 documents some in full and some in part concerning:
  • the application by Orion Corporate Advisory Financial Services (OCAF) for an Australian Financial Services Licence;
  • supporting documentation including business references, statements of personal information, national police checks, national personal insolvency indexes, transcripts from education providers, and financial statements;
  • emails and attachments from affected third parties to ASIC; and
  • emails and attachments from OCAF to ASIC.
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:
  • ASIC Delegation, Authorisation and Appointment Instrument 2018/1010; and
  • Business Rules for the Exercise of Regulatory Powers.
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
Last updated: 21/08/2019 12:58