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: Documents concerning the winding up of Growth Plus Financial Group Pty Ltd. (Australian Securities and Investments Commission)

Title: Documents concerning the winding up of Growth Plus Financial Group Pty Ltd.
Form 519 lodged with ASIC  in relation to the winding up of Growth Plus Financial Group Pty Ltd.  Documents between ASIC and Bendigo & Adelaide banks about ASIC's company alerts service.
Partial release
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 94

: Request seeking documentation pertaining to the commencement of investigation into Trio Capitol Limited (In... (Australian Securities and Investments Commission)

Title: Request seeking documentation pertaining to the commencement of investigation into Trio Capitol Limited (In Liquidation).
Documents referencing commencement of investigation.
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 22

: Documents evidencing communications between certain named ASIC officers and other parties in which reference is made... (Australian Securities and Investments Commission)

Title: Documents evidencing communications between certain named ASIC officers and other parties in which reference is made to Select Vantage, True North Vantage, Merlito Securities Company Ltd
2 documents evidencing communications between ASIC and others (released in part)
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 78

: Copies of correspondence between ASIC and another party  in relation to Trio Capital (Australian Securities and Investments Commission)

Title: Copies of correspondence between ASIC and another party  in relation to Trio Capital
ASIC Form 388 - Financial Statements and reports re: Alpha Strategic Fund.
Email between ASIC and a third party.
Released in part
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 56

: The final version of the Incoming Government Brief (IGB) that was provided by ASIC to the returned government. (Australian Securities and Investments Commission)

Title: 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.
Note: To access the documents please emailfoirequest@asic.gov.au

Links/Documents

ID: FOI 106-2019

: Request for documentation lodged with ASIC for financial services licence application (Australian Securities and Investments Commission)

Title: Request for documentation lodged with ASIC for financial services licence application
Application documents
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 16

: Documents concerning the winding up of Growth Plus Financial Group Pty Ltd. (Australian Securities and Investments Commission)

Title: Documents concerning the winding up of Growth Plus Financial Group Pty Ltd.
Form 519 lodged with ASIC  in relation to the winding up of Growth Plus Financial Group Pty Ltd.  Documents between ASIC and Bendigo & Adelaide banks about ASIC's company alerts service.
Partial release
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 94

: Documents in relation to the:application by Orion Corporate Advisory Financial Services for an Australian Financial... (Australian Securities and Investments Commission)

Title: Documents in relation to the:application by Orion Corporate Advisory Financial Services for an Australian Financial Services Licenceassessment of that license application;granting of that licence; andcancellation 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.
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 130

: Documents relating to hospitality, gift and sponsorship declarations by ASIC staff between 1 January 2014 to 7... (Australian Securities and Investments Commission)

Title: 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
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 107

: Documents containing summaries of the data ASIC collected on mistaken internet payments from subscribers to the... (Australian Securities and Investments Commission)

Title: Documents containing summaries of the data ASIC collected on mistaken internet payments from subscribers to the ePayments code.
2 documents containing data regarding mistaken internet payments
Released in part
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 92

: Request seeking policy documents pertaining to record management of hard copy files (Australian Securities and Investments Commission)

Title: Request seeking policy documents pertaining to record management of hard copy files
ASIC and National Archives guidelines addressing destruction of files
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 3

: Documents concerning QFS 150 (Australian Securities and Investments Commission)

Title: 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
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 112

: Documents relating to ASIC’s assessment of the matters raised in Fairfax media about Robert International (Australian Securities and Investments Commission)

Title: 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)
Note: To access the documents please emailfoirequest@asic.gov.au

Links/Documents

ID: 136

: Documents relating to actions taken by ASIC concerning breaches of continuous financial disclosure obligations (Australian Securities and Investments Commission)

Title: 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
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 119

: FOI requests received by ASIC (in the FY 12/13 and 13/14) and subsequent ASIC decisions on those requests where... (Australian Securities and Investments Commission)

Title: FOI requests received by ASIC (in the FY 12/13 and 13/14) and subsequent ASIC decisions on those requests where ASIC's decisions relied upon the exemption in s47C of the FOI Act
FOI requests received by ASIC in the defined period and subsequent ASIC decisions on those requests where ASIC's decisions relied upon the exemption in s47C of the FOI Act.  Released in part
Note: To access the documents please emailfoirequest@asic.gov.au

Links/Documents

ID: 50

: Documents relating to MFS Investment Management Limited ACN 101 634 146 (in liquidation):The Section 19 (ASIC Act)... (Australian Securities and Investments Commission)

Title: 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
Note: To access the documents please emailfoirequest@asic.gov.au

Links/Documents

ID: FOI 053-2019

: Request for information pertaining to unclaimed money (Australian Securities and Investments Commission)

Title: Request for information pertaining to unclaimed money
List pertaining to unclaimed money amounts
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 11

: This request sought copies of requests made by ASIC pursuant to s313 of the Telecommunications Act 1997 (seeking the... (Australian Securities and Investments Commission)

Title: This request sought copies of requests made by ASIC pursuant to s313 of the Telecommunications Act 1997 (seeking the blocking of IP address sites) to internet providers during 2011, 2012 and 2013.
Copies of s313 internet site blocking requests issued by ASIC during 2011, 2012 and 2013.
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 28

: Request for practices and procedures which govern ASIC’s surveillances of managed investment schemes. (Australian Securities and Investments Commission)

Title: Request for practices and procedures which govern ASIC’s surveillances of managed investment schemes.
Partial release of one document to the applicant
Note: To access the documents please emailfoirequest@asic.gov.au

Links/Documents

ID: FOI 111-2019

: Request for documentation pertaining to the use of web browsers and social media channels by Australian Government... (Australian Securities and Investments Commission)

Title: Request for documentation pertaining to the use of web browsers and social media channels by Australian Government agencies
Information pertaining to use of web browsers and social media channels by ASIC
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 8

: Documents relating to hospitality, gift and sponsorship declarations by ASIC staff between 1 January 2014 to 7... (Australian Securities and Investments Commission)

Title: 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
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 107

: Request for contact details re specified companies. (Australian Securities and Investments Commission)

Title: Request for contact details re specified companies.
Contact information as sought
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 12

: Request for information pertaining to unclaimed money (Australian Securities and Investments Commission)

Title: Request for information pertaining to unclaimed money
List pertaining to unclaimed money amounts
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 14

: Documents concerning ASIC's decision to ban Daniel Manley from providing financial services (Australian Securities and Investments Commission)

Title: 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
Released in part
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 113

: Request for information pertaining to unclaimed money (Australian Securities and Investments Commission)

Title: Request for information pertaining to unclaimed money
List pertaining to unclaimed money amounts
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 9

: Additional material released for FOI 129-2019 (Australian Securities and Investments Commission)

Title: Additional material released for FOI 129-2019
Additional material in documents 1, 2, 3, 4, and 6.
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: FOI 129 2019

: Financial reports and attachments lodged by Davantage Group Pty Ltd with ASIC for the financial year ending 30 June... (Australian Securities and Investments Commission)

Title: 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.
Note: To access the documents please emailfoirequest@asic.gov.au

Links/Documents

ID: FOI 051-2019

: Request for copies of communications between ASIC and the Financial Ombudsman Service (FOS), addressing the... (Australian Securities and Investments Commission)

Title: Request for copies of communications between ASIC and the Financial Ombudsman Service (FOS), addressing the appointment of CameronRalph Navigator to conduct an independent review of FOS
Four letters, being communications between ASIC and FOS addressing the appointment of CameronRalph Navigator to conduct the aforementioned review.
Note: To access the documents please emailfoirequest@asic.gov.au

Links/Documents

ID: 40

: Request for document outlining obligations of company regarding registers and books (Australian Securities and Investments Commission)

Title: Request for document outlining obligations of company regarding registers and books
Copy of template advice for companies.
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 20

: Documents showing a breakdown of how ASIC's budget was allocated internally for each of the five financial years... (Australian Securities and Investments Commission)

Title: 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
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: FOI 126-2019

: Request for information pertaining to unclaimed money (Australian Securities and Investments Commission)

Title: Request for information pertaining to unclaimed money
List pertaining to unclaimed money amounts
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 14

: Request seeking documentation pertaining to an accounting relief application made to ASIC in respect to Kangara Limited (Australian Securities and Investments Commission)

Title: Request seeking documentation pertaining to an accounting relief application made to ASIC in respect to Kangara Limited
Communications between ASIC and applicant pertaining to the aforementioned relief application
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 26

: Copy of ASIC memo concerning Trio Capital Ltd and Shawn Richard (Australian Securities and Investments Commission)

Title: Copy of ASIC memo concerning Trio Capital Ltd and Shawn Richard
Copy of ASIC memo dated 29 November 2010 concerning Trio Capital Ltd and the Enforceable Undertaking from Shawn Richard.
Released in part
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 68

: Documents concerning an ASIC investigation into CBA term deposits (Australian Securities and Investments Commission)

Title: Documents concerning an ASIC investigation into CBA term deposits
Internal ASIC emails and investigation closure report.
Released in full following IC review
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 143

: Request for documentation including copies of specific product disclosure statements (Australian Securities and Investments Commission)

Title: Request for documentation including copies of specific product disclosure statements
Copies of three product disclosure statements pertaining to investment products
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 17

: Request for documentation lodged with ASIC for financial services licence application (Australian Securities and Investments Commission)

Title: Request for documentation lodged with ASIC for financial services licence application
Application documents
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 16

: Documents received by ASIC between 1 January 2014 and 18 May 2015 concerning BBY Pty Ltd (Australian Securities and Investments Commission)

Title: Documents received by ASIC between 1 January 2014 and 18 May 2015 concerning BBY Pty Ltd
Documents received by ASIC between 1 January 2014 and 18 May 2015 concerning BBY Pty Ltd.
Released in part
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 64

: Documents about Trio Capital held by ASIC's Deputy Chair, Peter Kell. (Australian Securities and Investments Commission)

Title: Documents about Trio Capital held by ASIC's Deputy Chair, Peter Kell.
Documents about Trio Capital held by ASIC's Deputy Chair, Peter Kell
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 34

: Request for information pertaining to unclaimed money (Australian Securities and Investments Commission)

Title: Request for information pertaining to unclaimed money
List pertaining to unclaimed money amounts
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 9

: All directions under s672A of the Corporations Act 2001 sent by ASIC or Consolidated Minerals Limited to certain... (Australian Securities and Investments Commission)

Title: All directions under s672A of the Corporations Act 2001 sent by ASIC or Consolidated Minerals Limited to certain entitles (the directions) and correspondence relating to the directions
The directions dated 31 October 2007 - Released with redactions
Note: To access the documents please emailfoirequest@asic.gov.au

Links/Documents

ID: 44

: The 12 non-confidential submissions referred to in ASIC Report 216 -Response to submissions on CP135 Mortgage Exit... (Australian Securities and Investments Commission)

Title: The 12 non-confidential submissions referred to in ASIC Report 216 -Response to submissions on CP135 Mortgage Exit Fees: Unconscionable fees and unfair contract terms
12 non-confidential submissions. Released in full
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 83

: A copy of ASIC's internal enforcement review. (Australian Securities and Investments Commission)

Title: 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
Note: To access the documents please emailfoirequest@asic.gov.au

Links/Documents

ID: 140

: Request for document outlining obligations of company regarding registers and books (Australian Securities and Investments Commission)

Title: Request for document outlining obligations of company regarding registers and books
Copy of template advice for companies.
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 20

: Request for administrative documentation pertaining to 27 February 2013 ASIC attendance with Federal Member Stephen... (Australian Securities and Investments Commission)

Title: Request for administrative documentation pertaining to 27 February 2013 ASIC attendance with Federal Member Stephen Jones and others re Trio Capitol collapse.
Copies of documentation addressing ASIC attendance at the 27 February 2013 meeting
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 21

: Correspondence in 2017 between ASIC and third parties concerning add-on insurance products sold by car dealers (Australian Securities and Investments Commission)

Title: Correspondence in 2017 between ASIC and third parties concerning add-on insurance products sold by car dealers
Letter (including Annexure)from ASIC to a third party relating to add on insurance sold through car dealerships
Released in full
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 96

: Request for copies of submissions received in response to ASIC Consultation Paper 91Non Traditional Rights Issues(CP91) (Australian Securities and Investments Commission)

Title: Request for copies of submissions received in response to ASIC Consultation Paper 91Non Traditional Rights Issues(CP91)
Copies of submissions received
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 13

: Documents relating to auditor John McGoldrick (Australian Securities and Investments Commission)

Title: 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.
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: FOI 146-2019

: A list of independent experts engaged in Enforceable Undertakings entered into with ASIC from 1 January 2017 to 23... (Australian Securities and Investments Commission)

Title: 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
Note: To access the documents please emailfoirequest@asic.gov.au

Links/Documents

ID: FOI 078-2019

: Request for list of companies with their registered office at a specified address (Australian Securities and Investments Commission)

Title: Request for list of companies with their registered office at a specified address
List of companies as requested
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 7

: Request for information pertaining to unclaimed money (Australian Securities and Investments Commission)

Title: Request for information pertaining to unclaimed money
List pertaining to unclaimed money amounts
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 15

: The Data Model (key database planning document) used for ASIC's register of companies (Australian Securities and Investments Commission)

Title: The Data Model (key database planning document) used for ASIC's register of companies
Document titled "Data Model L1 – AS IS"
Released in full
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 111

: Documents concerning ASIC's decision to ban Daniel Manley from providing financial services (Australian Securities and Investments Commission)

Title: 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
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 113

: ‘the document that lists the hedge funds ASIC considered to be of high risk that its proactive surveillance had... (Australian Securities and Investments Commission)

Title: ‘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.
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: FOI 162-2019

: Request for documentation pertaining to the use of web browsers and social media channels by Australian Government... (Australian Securities and Investments Commission)

Title: Request for documentation pertaining to the use of web browsers and social media channels by Australian Government agencies
Information pertaining to use of web browsers and social media channels by ASIC
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 8

: Documents evidencing communications between certain named ASIC officers and other parties  in which reference is... (Australian Securities and Investments Commission)

Title: Documents evidencing communications between certain named ASIC officers and other parties  in which reference is made to Select Vantage, True North Vantage, Merlito Securities Company Ltd
4 documents evidencing communications between ASIC and others. Released in part
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 84

: Documents confirming authority of staff member to sign and send letter to Dover dated 5 June 2018. (Australian Securities and Investments Commission)

Title: Documents confirming authority of staff member to sign and send letter to Dover dated 5 June 2018.
Delegation, Authorisation and Appointment Instrument – 2018/0241
Extract from Business rules for the exercise of regulatory powers.
Released in part (irrelevant material redacted)
Note: To access the documents please emailfoirequest@asic.gov.au

Links/Documents

ID: FOI038-2019

: Documents relating to American Express credit card interest rate policy for defaulting cardholders (Australian Securities and Investments Commission)

Title: Documents relating to American Express credit card interest rate policy for defaulting cardholders
Copy of various American Express credit card interest rate policy documents
Released in full
Note: To access the documents please emailfoirequest@asic.gov.au

Links/Documents

ID: 43

: ASIC's covering letter/email to its response to questions on notice to the Senate enquiry into the performance of ASIC (Australian Securities and Investments Commission)

Title: ASIC's covering letter/email to its response to questions on notice to the Senate enquiry into the performance of ASIC
Covering email containing ASIC response to questions on notice. Released in full
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 86

: Documents relating to the Information Publication Scheme (IPS) (Australian Securities and Investments Commission)

Title: 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.
Note: 1. Available at:https://download.asic.gov.au/media/1311271/ASIC-information-publication-scheme-plan.pdf2. Available at:https://asic.gov.au/about-asic/what-we-do/our-structure/asic-senior-executives3. Available at:https://asic.gov.au/regulatory-resources/find-a-document/consultation-papers/

Links/Documents

ID: 131

: All directions under s672A of the Corporations Act 2001 sent by ASIC or Consolidated Minerals Limited to certain... (Australian Securities and Investments Commission)

Title: All directions under s672A of the Corporations Act 2001 sent by ASIC or Consolidated Minerals Limited to certain entitles (the directions) and correspondence relating to the directions.
The directions dated 31 October 2007 - Released with redactions.
Note: To access the documents please emailfoirequest@asic.gov.au

Links/Documents

ID: 44

: Request for documentation pertaining to the use of web browsers and social media channels by Australian Government... (Australian Securities and Investments Commission)

Title: Request for documentation pertaining to the use of web browsers and social media channels by Australian Government agencies
Information pertaining to use of web browsers and social media channels by ASIC
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 8

: Documents concerning IT jobs in ASIC (Australian Securities and Investments Commission)

Title: Documents concerning IT jobs in ASIC
Documents listing number of positions filled and applications received for each IT role between 2010 and 2014. Released in full
Note: To access the documents please emailfoirequest@asic.gov.au

Links/Documents

ID: 54

: Request for copy of ASIC report entitledConsumer Credit Legal Services in Australia (Australian Securities and Investments Commission)

Title: Request for copy of ASIC report entitledConsumer Credit Legal Services in Australia
Copy of report and attachments
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 18

: Documents lodged with ASIC about a financial adviser (Australian Securities and Investments Commission)

Title: Documents lodged with ASIC about a financial adviser
Appoint a financial representative form & Maintain a financial representative form (released in part)
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 74

: Request for documentation including copies of specific product disclosure statements (Australian Securities and Investments Commission)

Title: Request for documentation including copies of specific product disclosure statements
Copies of three product disclosure statements pertaining to investment products
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 17

: Request seeking information regarding amounts ASIC has received and predicted future receipt amounts - from inactive... (Australian Securities and Investments Commission)

Title: Request seeking information regarding amounts ASIC has received and predicted future receipt amounts - from inactive bank and life insurance accounts that have been inactive for 3 years.
Documents containing information pertaining to amounts received by ASIC and predicted future receipt amounts from inactive bank and life insurance accounts.
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 23

: Request seeking documentation recording ASIC's final review findings in respect to the ASIC Connect business names... (Australian Securities and Investments Commission)

Title: Request seeking documentation recording ASIC's final review findings in respect to the ASIC Connect business names service, post its implementation and launch in May 2012.
ASIC End Project Report-National Business Names. Dated 31/01/2013
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 31

: Request for documentation confirming appointment of Mr Gregory Medcraft as a Commissioner of ASIC (Australian Securities and Investments Commission)

Title: Request for documentation confirming appointment of Mr Gregory Medcraft as a Commissioner of ASIC
Appointment notification
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 6

: Request for information pertaining to unclaimed money (Australian Securities and Investments Commission)

Title: Request for information pertaining to unclaimed money
List pertaining to unclaimed money amounts
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 15

: Request for administrative documentation pertaining to 27 February 2013 ASIC attendance with Federal Member Stephen... (Australian Securities and Investments Commission)

Title: Request for administrative documentation pertaining to 27 February 2013 ASIC attendance with Federal Member Stephen Jones and others re Trio Capitol collapse.
Copies of documentation addressing ASIC attendance at the 27 February 2013 meeting
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 21

: Audit reports submitted to ASIC for a financial services licensee for FY 2010/2011 and 2011/2012 (Australian Securities and Investments Commission)

Title: Audit reports submitted to ASIC for a financial services licensee for FY 2010/2011 and 2011/2012
Audit report lodged with ASIC by a financial services licensee dated 30 September 2011
Note: To access the documents please emailfoirequest@asic.gov.au

Links/Documents

ID: 47

: Documents evidencing communications between certain named ASIC officers and other parties  in which reference is... (Australian Securities and Investments Commission)

Title: Documents evidencing communications between certain named ASIC officers and other parties  in which reference is made to Select Vantage, True North Vantage, Merlito Securities Company Ltd
4 documents evidencing communications between ASIC and others. Released in part
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 84

: Correspondence between ASIC and Standard Builders Pty Ltd and any other party about the company from 16 January 2011... (Australian Securities and Investments Commission)

Title: Correspondence between ASIC and Standard Builders Pty Ltd and any other party about the company from 16 January 2011 to 16 October 2015
A letter from ASIC to Standard Builders Pty Ltd dated 16 January 2011.
Released in full
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 65

: Request for policy documentation pertaining to s123 and s124 of the ASIC Act (Australian Securities and Investments Commission)

Title: Request for policy documentation pertaining to s123 and s124 of the ASIC Act
Guidance documentation
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 4

: Request seeking documentation recording ASIC's final review findings in respect to the ASIC Connect business names... (Australian Securities and Investments Commission)

Title: Request seeking documentation recording ASIC's final review findings in respect to the ASIC Connect business names service, post its implementation and launch in May 2012.
ASIC End Project Report-National Business Names. Dated 31/01/2013
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 31

: Documents concerning ASIC's Public Notices Website and Lodgement Project (Australian Securities and Investments Commission)

Title: Documents concerning ASIC's Public Notices Website and Lodgement Project
4 voluntary undertakings with various liquidators (documents anonymised). Partial release
2 ASIC documents containing data concerning the project (documents anonymised). Partial release
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 90

: Documents concerning the sale by ASIC of causes of action of deregistered companies vested in ASIC (Australian Securities and Investments Commission)

Title: Documents concerning the sale by ASIC of causes of action of deregistered companies vested in ASIC
Documents concerning applications received by ASIC concerning the property of deregistered companies and documents relating to ASIC's policies and procedures concerning the sale by ASIC of the property of deregistered companies
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 61

: (i) A letter from News Limited;(ii) A letter from Revenue SA (Australian Securities and Investments Commission)

Title: (i) A letter from News Limited;(ii) A letter from Revenue SA
A letter from News Limited dated 15 October 2013;
A letter from Revenue SA dated 4 February 2013
(Released in part)
Note: To access the documents please emailfoirequest@asic.gov.au

Links/Documents

ID: 35

: Request for documentation pertaining to bonus payments to ASIC Senior Executive Staff (Australian Securities and Investments Commission)

Title: Request for documentation pertaining to bonus payments to ASIC Senior Executive Staff
Template Employment Agreement and copy of agency Performance Management Agreement
Note: To access the documents please emailfoirequest@asic.gov.au

Links/Documents

ID: 37

: Documents concerning section 23 of the Superannuation Industry (Supervision) Act 1993 in the period leading up to... (Australian Securities and Investments Commission)

Title: Documents concerning section 23 of the Superannuation Industry (Supervision) Act 1993 in the period leading up to September 2009.
One page of an ASIC publication Super Decisions (dated October 2007) and 5 screen shots of ASIC's Fido website. Released in full.
Note: To access the documents please emailfoirequest@asic.gov.au

Links/Documents

ID: 42

: Request for copy of specified speeches given by ASIC Chairman Greg Medcraft (Australian Securities and Investments Commission)

Title: Request for copy of specified speeches given by ASIC Chairman Greg Medcraft
Copies of speeches requested.
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 19

: Request seeking access to the following ASIC files:014 - Credit and Investments Ombo corro (F20170000589353)021 -... (Australian Securities and Investments Commission)

Title: 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
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 114

: Request for contact details re specified companies. (Australian Securities and Investments Commission)

Title: Request for contact details re specified companies.
Contact information as sought
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 12

: Request seeking copies of correspondence between ASIC and internet service providers pertaining to the blocking,... (Australian Securities and Investments Commission)

Title: Request seeking copies of correspondence between ASIC and internet service providers pertaining to the blocking, pursuant to s313 of the Telecommunications Act 1997 of internet websites between Sept 2012 and May 2013.
Copies of s313 internet site blocking requests and communications between ASIC and internet service providers during relevant period.
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 27

: Request for documentation pertaining to referral of matters between ASIC and APRA (Australian Securities and Investments Commission)

Title: Request for documentation pertaining to referral of matters between ASIC and APRA
Edited extract from Joint Protocol for Co-operation between APRA and ASIC
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 5

: Certificate of Currency of PI insurance and the AFSLapplication for Citywide Investment Services Pty Ltd (Australian Securities and Investments Commission)

Title: Certificate of Currency of PI insurance and the AFSLapplication for Citywide Investment Services Pty Ltd
The FS01 application and the Certificate of Currency of PI insurance in relation to Citywide Investment Services Pty Ltd
Released in part
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 106

: Request for document outlining obligations of company regarding registers and books (Australian Securities and Investments Commission)

Title: Request for document outlining obligations of company regarding registers and books
Copy of template advice for companies
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 20

: Request seeking access to the following ASIC files:014 - Credit and Investments Ombo corro (F20170000589353)021 -... (Australian Securities and Investments Commission)

Title: 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
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 114

: Documents relating to Term Deposits (Australian Securities and Investments Commission)

Title: Documents relating to Term Deposits
Letter template dated 2009 regarding Term Deposits to Bank CEOs and attachment
Released in full
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 105

: This request sought copies of requests made by ASIC pursuant to s313 of the Telecommunications Act 1997 (seeking... (Australian Securities and Investments Commission)

Title: This request sought copies of requests made by ASIC pursuant to s313 of the Telecommunications Act 1997 (seeking the blocking of IP address sites) to internet providers during 2011, 2012 and 2013.
Copies of s313 internet site blocking requests issued by ASIC during 2011, 2012 and 2013.
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 28

: Summary notes and agenda of meeting between ASIC and the CEOs of the big 4 accounting firms - KPMG, Deloitte, PwC... (Australian Securities and Investments Commission)

Title: Summary notes and agenda of meeting between ASIC and the CEOs of the big 4 accounting firms - KPMG, Deloitte, PwC and EY held in August
Agenda of meeting held between ASIC and the CEOs of the big 4 accounting firms - KPMG, Deloitte, PwC and EY held on 14 August 2017
Released in full
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 103

: Documents concerning telecommunications data as defined in the Telecommunications (Interception and Access) Act 1979 (Australian Securities and Investments Commission)

Title: Documents concerning telecommunications data as defined in the Telecommunications (Interception and Access) Act 1979
Documents concerning ASIC's procedures & policies for accessing telecommunications data
Released in part
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 100

: Request for documentation pertaining to referral of matters between ASIC and APRA (Australian Securities and Investments Commission)

Title: Request for documentation pertaining to referral of matters between ASIC and APRA
Edited extract from Joint Protocol for Co-operation between APRA and ASIC
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 5

: All correspondence between KPMG and ASIC in relation to City Pacific and the First Mortgage Fund. (Australian Securities and Investments Commission)

Title: 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
Note: To access the documents please emailfoirequest@asic.gov.au

Links/Documents

ID: FOI 079-2019

: The Data Model (key database planning document) used for ASIC's register of companies (Australian Securities and Investments Commission)

Title: The Data Model (key database planning document) used for ASIC's register of companies
Document titled "Data Model L1 – AS IS"
Released in full
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 111

: Annexures to the letter dated 19th December 2014 from the ASX to  ASIC concerning BBY Limited. (Australian Securities and Investments Commission)

Title: Annexures to the letter dated 19th December 2014 from the ASX to  ASIC concerning BBY Limited.
6 annexures to a letter dated 19th December 2014 from the ASX to  ASIC concerning BBY Limited.
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 85

: Request for information pertaining to unclaimed money (Australian Securities and Investments Commission)

Title: Request for information pertaining to unclaimed money
List pertaining to unclaimed money amounts
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 10

: Request for copy of specified speeches given by ASIC Chairman Greg Medcraft (Australian Securities and Investments Commission)

Title: Request for copy of specified speeches given by ASIC Chairman Greg Medcraft
Copies of speeches requested.
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 19

: Documents concerning Trio and Shawn Richard (Australian Securities and Investments Commission)

Title: Documents concerning Trio and Shawn Richard
Article titled "Bankruptcy trustee hunts Richard's money" and table titled Deposits to AAM from GCSL & Shawn Richard. Released in full
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 73

: Request for information pertaining to unclaimed money (Australian Securities and Investments Commission)

Title: Request for information pertaining to unclaimed money
List pertaining to unclaimed money amounts
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 9

: Request seeking documentation pertaining to use by ASIC of s313 of the Telecommunications Act 1997, including... (Australian Securities and Investments Commission)

Title: Request seeking documentation pertaining to use by ASIC of s313 of the Telecommunications Act 1997, including internal policy guidance and communications/meetings with other agencies re the use of s313.
Copies of s313 Notices, internal guidance material and documentation pertaining to communications and meetings with other agencies re the use of s313
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 32

: Documents relating to LWP Technologies Limited. (Australian Securities and Investments Commission)

Title: Documents relating to LWP Technologies Limited.
ASX Announcement dated 20 July 2015 titled ‘Quantum Leap for LWP Technologies.’
Note: Available to download athttps://www.asx.com.au/asxpdf/20150720/pdf/42zx6kz63f9d7r.pdf

Links/Documents

ID: 134

: A copy of a letter sent by ASIC to 30,000 companies seeking to obtain information on whistleblowing (Australian Securities and Investments Commission)

Title: A copy of a letter sent by ASIC to 30,000 companies seeking to obtain information on whistleblowing
A template of a letter sent by ASIC to various companies regarding whisteblowing (released in full)
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 77

: Request seeking ASIC's procedures re s15(3) of the Public Service Act (Australian Securities and Investments Commission)

Title: Request seeking ASIC's procedures re s15(3) of the Public Service Act
Document providing overview of the Australian Public Service Code of Conduct provisions
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 2

: Documents concerning ASIC's investigation into the Bryan Byrt Group (Australian Securities and Investments Commission)

Title: Documents concerning ASIC's investigation into the Bryan Byrt Group
ASIC investigation progress reports for certain dates (released in part)
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 75

: Request for information pertaining to unclaimed money (Australian Securities and Investments Commission)

Title: Request for information pertaining to unclaimed money
List pertaining to unclaimed money amounts
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 11

: Letter ASIC sent to the major Australian banks concerning  cross-selling practices (Australian Securities and Investments Commission)

Title: Letter ASIC sent to the major Australian banks concerning  cross-selling practices
Template of a letter ASIC sent to various banks.
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 87

: Request for documentation including copies of specific product disclosure statements (Australian Securities and Investments Commission)

Title: Request for documentation including copies of specific product disclosure statements
Copies of three product disclosure statements pertaining to investment products
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 17

: Request seeking documentation pertaining to an accounting relief application made to ASIC in respect to Kangara Limited (Australian Securities and Investments Commission)

Title: Request seeking documentation pertaining to an accounting relief application made to ASIC in respect to Kangara Limited
Communications between ASIC and applicant pertaining to the aforementioned relief application
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 26

: Copy of correspondence referred to by ASIC's Deputy Chairman before the Senate Economics References Committee on 28... (Australian Securities and Investments Commission)

Title: Copy of correspondence referred to by ASIC's Deputy Chairman before the Senate Economics References Committee on 28 April 2016
Template of letter sent to insurers as part of ASIC's review of the life insurance industry.  Released in full
Note: To access the document please emailfoirequest

Links/Documents

ID: 72

: Notices issued by ASIC in relation to ASIC's proactive risk- based surveillance program to the parties referred to... (Australian Securities and Investments Commission)

Title: Notices issued by ASIC in relation to ASIC's proactive risk- based surveillance program to the parties referred to in ASIC Report 528 (report item 56 and item 12)
5 Notices issued to parties under s912C & 912E of the
Corporations Act 2001
in relation to ASIC's proactive risk- based surveillance program referred to in ASIC Report 528
Released in part
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 95

: Request for documentation pertaining to bonus payments to ASIC Senior Executive Staff (Australian Securities and Investments Commission)

Title: Request for documentation pertaining to bonus payments to ASIC Senior Executive Staff
Template Employment Agreement and copy of agency Performance Management Agreement
Note: To access the documents please emailfoirequest@asic.gov.au

Links/Documents

ID: 37

: Emails from or to Greg Yanco during the period of 31 March 2018 to 31 March 2019 that specifically mention... (Australian Securities and Investments Commission)

Title: 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:attachments to emailsregulatory interactions between ASIC and overseas regulatorsbusiness information of third parties which would require consultationpersonal information of ASIC staff that does not relate to their usual duties and responsibilities
105 emails released in part.
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: FOI 147-2019

: Communications from Deloitte to ASIC about the potential disclosure of PwC’s audit inspection results by PwC, and... (Australian Securities and Investments Commission)

Title: 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.
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: FOI 129-2019

: Request seeking policy documents pertaining to record management of hard copy files (Australian Securities and Investments Commission)

Title: Request seeking policy documents pertaining to record management of hard copy files
ASIC and National Archives guidelines addressing destruction of files
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 3

: Documents relating to the development of the following ASIC media releases and reports:17-076MR - ASIC releases... (Australian Securities and Investments Commission)

Title: Documents relating to the development of the following ASIC media releases and reports:17-076MR - ASIC releases findings of CommInsure investigationReport on ASIC's Investigation into the Colonial Mutual Life Assurance Society Limited16-347MR - ASIC issues industry review of life insurance claimsREP 498 Life Insurance Claims: An industry review.
Internal correspondence and correspondence between ASIC and third parties relating to the development of the media releases and reports
Released in part
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 93

: Request for documentation confirming appointment of Mr Gregory Medcraft as a Commissioner of ASIC (Australian Securities and Investments Commission)

Title: Request for documentation confirming appointment of Mr Gregory Medcraft as a Commissioner of ASIC
Appointment notification
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 6

: ASIC emails and file notes concerning a credit licensee (Australian Securities and Investments Commission)

Title: ASIC emails and file notes concerning a credit licensee
ASIC emails and other documents concerning ASIC's consumer lease project (released in part)
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 76

: Request seeking ASIC's procedures re s15(3) of the Public Service Act (Australian Securities and Investments Commission)

Title: Request seeking ASIC's procedures re s15(3) of the Public Service Act
Document providing overview of the Australian Public Service Code of Conduct provisions
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 2

: Costs paid by ASIC in the matter of Hazeldine v ASIC (case ref:2018/0261) to internal solicitors and general counsel (Australian Securities and Investments Commission)

Title: 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
Note: To access the documents please emailfoirequest@asic.gov.au

Links/Documents

ID: FOI 110-2019

: Application for ASIC reinstatement of 407 DORSET ROAD MANAGEMENT PTY. LTD (Australian Securities and Investments Commission)

Title: 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
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 109

: Request for policy documentation pertaining to s123 and s124 of the ASIC Act (Australian Securities and Investments Commission)

Title: Request for policy documentation pertaining to s123 and s124 of the ASIC Act
Guidance documentation
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 4

: Request for copy of specified speeches given by ASIC Chairman Greg Medcraft (Australian Securities and Investments Commission)

Title: Request for copy of specified speeches given by ASIC Chairman Greg Medcraft
Copies of speeches requested.
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 19

: Documents concerning CME Capital Australia & IMCG Pty Ltd (Australian Securities and Investments Commission)

Title: Documents concerning CME Capital Australia & IMCG Pty Ltd
Chart containing the Theoretical value of combined portfolios of IMCG Pty Ltd from 2015 onwards (released in full)
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 82

: Request for information pertaining to unclaimed money (Australian Securities and Investments Commission)

Title: Request for information pertaining to unclaimed money
List pertaining to unclaimed money amounts
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 10

: Request for information pertaining to unclaimed money (Australian Securities and Investments Commission)

Title: Request for information pertaining to unclaimed money
List pertaining to unclaimed money amounts
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 9

: ASIC emails and file notes concerning a credit licensee (Australian Securities and Investments Commission)

Title: ASIC emails and file notes concerning a credit licensee
ASIC emails and other documents concerning ASIC's consumer lease project (released in part)
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 76

: The document provided to register the Business Name Civic Financial Planning on or about 30 September 2015 (Australian Securities and Investments Commission)

Title: 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
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 117

: Request seeking letter of appointment of Greg Medcraft as Chairman of ASIC (Australian Securities and Investments Commission)

Title: Request seeking letter of appointment of Greg Medcraft as Chairman of ASIC
Letter of appointment dated 12 May 2011
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 1

: Documents concerning ASIC's decision to ban Daniel Manley from providing financial services (Australian Securities and Investments Commission)

Title: 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
Released in part
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 113

: ASIC's covering letter/email to its response to questions on notice to the Senate enquiry into the performance of ASIC (Australian Securities and Investments Commission)

Title: ASIC's covering letter/email to its response to questions on notice to the Senate enquiry into the performance of ASIC
Covering email containing ASIC response to questions on notice. Released in full
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 86

: Request for administrative documentation pertaining to 27 February 2013 ASIC attendance with Federal Member Stephen... (Australian Securities and Investments Commission)

Title: Request for administrative documentation pertaining to 27 February 2013 ASIC attendance with Federal Member Stephen Jones and others re Trio Capitol collapse.
Copies of documentation addressing ASIC attendance at the 27 February 2013 meeting
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 21

: Request for information pertaining to unclaimed money (Australian Securities and Investments Commission)

Title: Request for information pertaining to unclaimed money
List pertaining to unclaimed money amounts
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 15

: Documents concerning the PI Insurance available on behalf of the investors of Trio Capital (Australian Securities and Investments Commission)

Title: Documents concerning the PI Insurance available on behalf of the investors of Trio Capital
Wright GlobaI Investments Pty Ltd , Certificate of Professional Indemnity Insurance. Released in full
Note: To access the documents please emailfoirequest@asic.gov.au

Links/Documents

ID: 52

: Request for documentation pertaining to referral of matters between ASIC and APRA (Australian Securities and Investments Commission)

Title: Request for documentation pertaining to referral of matters between ASIC and APRA
Edited extract from Joint Protocol for Co-operation between APRA and ASIC
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 5

: Documents concerning QFS 150 (Australian Securities and Investments Commission)

Title: 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
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 112

: Request seeking documentation recording ASIC's final review findings in respect to the ASIC Connect business names... (Australian Securities and Investments Commission)

Title: Request seeking documentation recording ASIC's final review findings in respect to the ASIC Connect business names service, post its implementation and launch in May 2012.
ASIC End Project Report-National Business Names. Dated 31/01/2013
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 31

: Documents in relation to ASIC’s media strategy about the Financial Services Royal Commission (Australian Securities and Investments Commission)

Title: 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
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 118

: Documents relating to the development of the following ASIC media releases:Macquarie: 13-010MR, 14-201MR,... (Australian Securities and Investments Commission)

Title: Documents relating to the development of the following ASIC media releases:Macquarie: 13-010MR, 14-201MR, 15-022MRAMP: 06-251NAB: 14-093MRWestpac: 14-236MR, 14-264MRCommonwealth Bank: 11-42AD, 11-229MR, 14-104MR, 14-192MR, 14-302MR
Internal correspondence and correspondence between ASIC and third parties relating to the development of the media releases
Released in part
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 91

: Request for copies of ASIC's Secondments Policies (Australian Securities and Investments Commission)

Title: Request for copies of ASIC's Secondments Policies
Copies of 2 ASIC policy documents addressing secondments
Note: To access the documents please emailfoirequest@asic.gov.au

Links/Documents

ID: 38

: Copy of consolidated deed of variation dated 6 May 1958 of the Provident Fund (Australian Securities and Investments Commission)

Title: Copy of consolidated deed of variation dated 6 May 1958 of the Provident Fund
Copy of consolidated deed of variation dated 6 May 1958 of the Provident Fund
(Released in full)
Note: To access the documents please emailfoirequest@asic.gov.au

Links/Documents

ID: 36

: Documents evidencing communications between ASIC and any market participant in which reference is made to Select... (Australian Securities and Investments Commission)

Title: Documents evidencing communications between ASIC and any market participant in which reference is made to Select Vantage, True North Vantage, Merlito Securities Company Ltd
5 documents evidencing communications between ASIC and others.
Released in full
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 88

: Documents concerning Macquarie Equities Limited (MEL) financial advice remediation as announced by ASIC in 14-201MR (Australian Securities and Investments Commission)

Title: Documents concerning Macquarie Equities Limited (MEL) financial advice remediation as announced by ASIC in 14-201MR
Final client letter sent by MEL to clients and Macquarie Private Wealth review process referred to in the final client letter. Released in full.
Note: To access the documents please emailfoirequest@asic.gov.au

Links/Documents

ID: 51

: Documents concerning section 23 of the Superannuation Industry (Supervision) Act 1993 in the period leading up to... (Australian Securities and Investments Commission)

Title: Documents concerning section 23 of the Superannuation Industry (Supervision) Act 1993 in the period leading up to September 2009.
One page of an ASIC publication Super Decisions (dated October 2007) and 5 screen shots of ASIC's Fido website. Released in full
Note: To access the documents please emailfoirequest@asic.gov.au

Links/Documents

ID: 42

: Documents lodged in 2000 for Lawrence Metal Casting Pty Ltd and forms numbered 0153302612 and 014468676. (Australian Securities and Investments Commission)

Title: 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
Note: To access the documents please emailfoirequest@asic.gov.au

Links/Documents

ID: FOI035-2019

: Documents concerning ASIC's investigation into ABC Learning Centres Ltd (Australian Securities and Investments Commission)

Title: Documents concerning ASIC's investigation into ABC Learning Centres Ltd
ASIC investigation progress reports for certain dates (released in part)
Document containing details of ASIC's investigation expenditure (released in full)
Note: To access the document please emailfoirequest

Links/Documents

ID: 71

: Documents relating to Term Deposits (Australian Securities and Investments Commission)

Title: 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
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 108

: A copy of ASIC's internal enforcement review. (Australian Securities and Investments Commission)

Title: 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
Note: To access the documents please emailfoirequest@asic.gov.au

Links/Documents

ID: FOI012-2019

: Request for copies of communications between ASIC and Treasury/Treasurer regarding 'Letter of Expectation'... (Australian Securities and Investments Commission)

Title: Request for copies of communications between ASIC and Treasury/Treasurer regarding 'Letter of Expectation' addressing agency operations.
Letter dated 20 February 2007 from Treasurer to ASIC, Letter of 27 June from ASIC Chairman to Treasurer.
Note: To access the documents please emailfoirequest@asic.gov.au

Links/Documents

ID: 39

: Application for ASIC reinstatement of 407 DORSET ROAD MANAGEMENT PTY. LTD (Australian Securities and Investments Commission)

Title: 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
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 109

: Internal review of disclosure log number 138. (Australian Securities and Investments Commission)

Title: Internal review of disclosure log number 138.
Two additional documents released:
1. File Note dated 1 April 2015
Schedule to Notice dated 21 February 2014
Released in part.
Note: To access the documents please emailfoirequest@asic.gov.au

Links/Documents

ID: 142

: A document which is a table summarising ASIC's legal expenditure on external counsel and external solicitors in... (Australian Securities and Investments Commission)

Title: 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.
Note: To access the documents please emailfoirequest@asic.gov.au

Links/Documents

ID: 141

: Request for documentation confirming appointment of Mr Gregory Medcraft as a Commissioner of ASIC (Australian Securities and Investments Commission)

Title: Request for documentation confirming appointment of Mr Gregory Medcraft as a Commissioner of ASIC
Appointment notification
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 6

: Request for copies of communications between ASIC and the Financial Ombudsman Service (FOS), addressing the... (Australian Securities and Investments Commission)

Title: Request for copies of communications between ASIC and the Financial Ombudsman Service (FOS), addressing the appointment of CameronRalph Navigator to conduct an independent review of FOS
Four letters, being communications between ASIC and FOS addressing the appointment of CameronRalph Navigator to conduct the aforementioned review.
Note: To access the documents please emailfoirequest@asic.gov.au

Links/Documents

ID: 40

: Documents about Trio Capital held by ASIC's Deputy Chair, Peter Kell. (Australian Securities and Investments Commission)

Title: Documents about Trio Capital held by ASIC's Deputy Chair, Peter Kell.
Documents about Trio Capital held by ASIC's Deputy Chair, Peter Kell
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 34

: Request seeking documentation pertaining to the commencement of investigation into Trio Capitol Limited (In... (Australian Securities and Investments Commission)

Title: Request seeking documentation pertaining to the commencement of investigation into Trio Capitol Limited (In Liquidation).
Documents referencing commencement of investigation.
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 22

: Meeting minutes, agenda items or speaking notes related to meetings between ASIC Commissioners and the chiefs of the... (Australian Securities and Investments Commission)

Title: 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
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: FOI 167-2019

: Documents relating to ASIC’s investigation into Slater & Gordon (Australian Securities and Investments Commission)

Title: 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.
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: FOI 116-2019

: Request for policy documentation pertaining to s123 and s124 of the ASIC Act (Australian Securities and Investments Commission)

Title: Request for policy documentation pertaining to s123 and s124 of the ASIC Act
Guidance documentation
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 4

: Documents concerning QFS 150 (Australian Securities and Investments Commission)

Title: 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
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 112

: ASIC’s letter to Minox Securities Pty Ltd (doc #026482643). (Australian Securities and Investments Commission)

Title: 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
Note: To access the documents please emailfoirequest@asic.gov.au

Links/Documents

ID: FOI 109-2019

: Request seeking documentation pertaining to use by ASIC of s313 of the Telecommunications Act 1997, including... (Australian Securities and Investments Commission)

Title: Request seeking documentation pertaining to use by ASIC of s313 of the Telecommunications Act 1997, including internal policy guidance and communications/meetings with other agencies re the use of s313.
Copies of s313 Notices, internal guidance material and documentation pertaining to communications and meetings with other agencies re the use of s313
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 32

: Request for copy of ASIC report entitledConsumer Credit Legal Services in Australia (Australian Securities and Investments Commission)

Title: Request for copy of ASIC report entitledConsumer Credit Legal Services in Australia
Copy of report and attachments
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 18

: Request seeking documents relating to requests made by ASIC to internet service providers, pursuant to s313 of the... (Australian Securities and Investments Commission)

Title: Request seeking documents relating to requests made by ASIC to internet service providers, pursuant to s313 of the Telecommunications Act seeking the blocking of internet websites, including IP address 198. 136.54.104 between Sept 2012 and May 2013.
Copies of s313 internet site blocking requests and communications between ASIC and internet service providers during relevant period.
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 30

: Documents concerning matters outlined inASIC media release MR 16-050 (Australian Securities and Investments Commission)

Title: Documents concerning matters outlined inASIC media release MR 16-050
Internal ASIC emails concerning matters outlined in
ASIC media release MR 16-050
(released in part)
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 79

: Documents concerning ASIC's arrangements for the handling of FOI requests during the 2015 Christmas period (Australian Securities and Investments Commission)

Title: Documents concerning ASIC's arrangements for the handling of FOI requests during the 2015 Christmas period
Internal ASIC email dated 18 December 2015.
Released in full
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 69

: Request for copy of ASIC report entitledConsumer Credit Legal Services in Australia (Australian Securities and Investments Commission)

Title: Request for copy of ASIC report entitledConsumer Credit Legal Services in Australia
Copy of report and attachments
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 18

: The Data Model (key database planning document) used for ASIC's register of companies (Australian Securities and Investments Commission)

Title: The Data Model (key database planning document) used for ASIC's register of companies
Document titled "Data Model L1 – AS IS"
Released in full
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 111

: Documents relating to hospitality, gift and sponsorship declarations by ASIC staff between 1 January 2014 to 7... (Australian Securities and Investments Commission)

Title: 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
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 107

: Section 33 Notice sent to LWP Technologies in January 2018 by ASIC (Australian Securities and Investments Commission)

Title: 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
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 122

: Statements of concerns issued by ASIC to various named issuers of prospectuses for equities (Australian Securities and Investments Commission)

Title: Statements of concerns issued by ASIC to various named issuers of prospectuses for equities
4 Statements of concerns issued by ASIC. Released in full.
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 89

: Request for list of companies with their registered office at a specified address (Australian Securities and Investments Commission)

Title: Request for list of companies with their registered office at a specified address
List of companies as requested
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 7

: Request seeking information regarding amounts ASIC has received and predicted future receipt amounts - from inactive... (Australian Securities and Investments Commission)

Title: Request seeking information regarding amounts ASIC has received and predicted future receipt amounts - from inactive bank and life insurance accounts that have been inactive for 3 years.
Documents containing information pertaining to amounts received by ASIC and predicted future receipt amounts from inactive bank and life insurance accounts.
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 23

: Request for copies of communications between ASIC and Treasury/Treasurer regarding 'Letter of Expectation'... (Australian Securities and Investments Commission)

Title: Request for copies of communications between ASIC and Treasury/Treasurer regarding 'Letter of Expectation' addressing agency operations.
Letter dated 20 February 2007 from Treasurer to ASIC, Letter of 27 June from ASIC Chairman to Treasurer.
Note: To access the documents please emailfoirequest@asic.gov.au

Links/Documents

ID: 39

: Request for documentation pertaining to referral of matters between ASIC and APRA (Australian Securities and Investments Commission)

Title: Request for documentation pertaining to referral of matters between ASIC and APRA
Edited extract from Joint Protocol for Co-operation between APRA and ASIC
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 5

: Request for documents concerning an application made to ASIC under the CDDA scheme (Australian Securities and Investments Commission)

Title: Request for documents concerning an application made to ASIC under the CDDA scheme
Draft ASIC guide for assessing claims for compensation under the CDDA scheme
Released in full
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 67

: A copy of the instrument of delegation pursuant to which delegates of ASIC might make decisions under s672A of the... (Australian Securities and Investments Commission)

Title: 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.
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 126

: Request for information pertaining to unclaimed money (Australian Securities and Investments Commission)

Title: Request for information pertaining to unclaimed money
List pertaining to unclaimed money amounts
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 14

: ASIC’s operational costs associated withinvestigating and pursuing civil proceedings against the Australian Wheat... (Australian Securities and Investments Commission)

Title: ASIC’s operational costs associated withinvestigating 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
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 115

: This request sought copies of requests made by ASIC pursuant to s313 of the Telecommunications Act 1997 (seeking the... (Australian Securities and Investments Commission)

Title: This request sought copies of requests made by ASIC pursuant to s313 of the Telecommunications Act 1997 (seeking the blocking of IP address sites) to internet providers during 2011, 2012 and 2013.
Copies of s313 internet site blocking requests issued by ASIC during 2011, 2012 and 2013.
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 28

: Documents concerning purchases of current and historical extracts of Rescue Medics Australia Pty Ltd (Australian Securities and Investments Commission)

Title: Documents concerning purchases of current and historical extracts of Rescue Medics Australia Pty Ltd
List of purchases of current and historical extracts of Rescue Medics Australia Pty Ltd
Released in full
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 104

: Documents concerning any ASIC investigation into movements in the Australian dollar immediately before the 3... (Australian Securities and Investments Commission)

Title: Documents concerning any ASIC investigation into movements in the Australian dollar immediately before the 3 February 2015 RBA interest rate decision
Internal ASIC emails and memo concerning ASIC's enquiries into foreign currency movements during the relevant period. Released in part.
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 60

: The report arising from the executive remuneration review, understood to have been (partly) prepared by Mercer... (Australian Securities and Investments Commission)

Title: 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
Note: To access the documents please emailfoirequest@asic.gov.au

Links/Documents

ID: 139

: Request for documentation pertaining to the use of web browsers and social media channels by Australian Government... (Australian Securities and Investments Commission)

Title: Request for documentation pertaining to the use of web browsers and social media channels by Australian Government agencies
Information pertaining to use of web browsers and social media channels by ASIC
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 8

: The attachments referred to in the internal correspondence recorded in:Schedule C Macquarie – 15-022MRSchedule B... (Australian Securities and Investments Commission)

Title: The attachments referred to in the internal correspondence recorded in:Schedule C Macquarie – 15-022MRSchedule B Macquarie – 14-201MRSchedule A Macquarie – 13-010MR(see disclosure log 91)
Attachments to
internal correspondence relating to development of media releases. Released in
full.
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: FOI 83-2019

: Documents evidencing communications between ASIC and any market participant in which reference is made to Select... (Australian Securities and Investments Commission)

Title: Documents evidencing communications between ASIC and any market participant in which reference is made to Select Vantage, True North Vantage, Merlito Securities Company Ltd
5 documents evidencing communications between ASIC and others.
Released in full
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 88

: Documents concerning a prospectus lodged with ASIC by Celsius Coal Limited (Australian Securities and Investments Commission)

Title: Documents concerning a prospectus lodged with ASIC by Celsius Coal Limited
ASIC emails, records of telephone discussions and other documents concerning the prospectus (released in part)
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 81

: All directions under s672A of the Corporations Act 2001 sent by ASIC or Consolidated Minerals Limited to certain... (Australian Securities and Investments Commission)

Title: All directions under s672A of the Corporations Act 2001 sent by ASIC or Consolidated Minerals Limited to certain entitles (the directions) and correspondence relating to the directions.
The directions dated 31 October 2007 - Released with redactions.
Note: To access the documents please emailfoirequest@asic.gov.au

Links/Documents

ID: 44

: Request for copies of communications between ASIC and the Financial Ombudsman Service (FOS), addressing the... (Australian Securities and Investments Commission)

Title: Request for copies of communications between ASIC and the Financial Ombudsman Service (FOS), addressing the appointment of CameronRalph Navigator to conduct an independent review of FOS
Four letters, being communications between ASIC and FOS addressing the appointment of CameronRalph Navigator to conduct the aforementioned review.
Note: To access the documents please emailfoirequest@asic.gov.au

Links/Documents

ID: 40

: Documents lodged with ASIC about a financial adviser (Australian Securities and Investments Commission)

Title: Documents lodged with ASIC about a financial adviser
Appoint a financial representative form & Maintain a financial representative form (released in part)
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 74

: Any reports detailing work in progress given to incoming chairman James Shipton (Australian Securities and Investments Commission)

Title: Any reports detailing work in progress given to incoming chairman James Shipton
Brief to Incoming Commissioner
Released in part
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 110

: (i) A letter from News Limited;(ii) A letter from Revenue SA (Australian Securities and Investments Commission)

Title: (i) A letter from News Limited;(ii) A letter from Revenue SA
A letter from News Limited dated 15 October 2013;
A letter from Revenue SA dated 4 February 2013
(Released in part)
Note: To access the documents please emailfoirequest@asic.gov.au

Links/Documents

ID: 35

: Gifts and hospitality received by ASIC staff in FY 2017-2018 and FY 2018-2019. (Australian Securities and Investments Commission)

Title: 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.
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: FOI 134-2019

: Request seeking letter of appointment of Greg Medcraft as Chairman of ASIC (Australian Securities and Investments Commission)

Title: Request seeking letter of appointment of Greg Medcraft as Chairman of ASIC
Letter of appointment dated 12 May 2011
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 1

: Any reports detailing work in progress given to incoming chairman James Shipton (Australian Securities and Investments Commission)

Title: Any reports detailing work in progress given to incoming chairman James Shipton
Brief to Incoming Commissioner
Released in part
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 110

: Documents concerning ASIC media release "05-360 ASIC works with superannuation funds to improve exit disclosure"... (Australian Securities and Investments Commission)

Title: Documents concerning ASIC media release "05-360 ASIC works with superannuation funds to improve exit disclosure" relating to Qantas Superannuation, and investigations, directions or complaints relating to Qantas' handbooks or PDSs
Correspondence between ASIC and Qantas Superannuation, and internal documents relating to compliance with disclosure obligations.
Released in part.
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 101

: Documents concerning ASIC's IT resources and STAR Programme business case (Australian Securities and Investments Commission)

Title: Documents concerning ASIC's IT resources and STAR Programme business case
Documents listing ASIC's IT resources, Copy of STAR Programme business case.
Released in full
Note: To access the documents please emailfoirequest@asic.gov.au

Links/Documents

ID: 53

: Document containing details of ASIC's investigations expenditure in relation to Trio Capital for the period October... (Australian Securities and Investments Commission)

Title: Document containing details of ASIC's investigations expenditure in relation to Trio Capital for the period October 2013 to September 2104
A table containing details of the information sought in the request.  Released in full.
Note: To access the documents please emailfoirequest@asic.gov.au

Links/Documents

ID: 45

: ASIC's / liquidator's report / assessment of certain documents concerning Trio Capital (Australian Securities and Investments Commission)

Title: ASIC's / liquidator's report / assessment of certain documents concerning Trio Capital
PPB Advisory's further Explanatory Memorandum to Unitholders dated 4 August 2010. Released in full
Note: To access the documents please emailfoirequest@asic.gov.au

Links/Documents

ID: 55

: Documents concerning any ASIC investigation into movements in the Australian dollar immediately before the 3... (Australian Securities and Investments Commission)

Title: Documents concerning any ASIC investigation into movements in the Australian dollar immediately before the 3 February 2015 RBA interest rate decision
Internal ASIC emails and memo concerning ASIC's enquiries into foreign currency movements during the relevant period. Released in part.
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 60

: Request seeking documentation pertaining to use by ASIC of s313 of the Telecommunications Act 1997, including... (Australian Securities and Investments Commission)

Title: Request seeking documentation pertaining to use by ASIC of s313 of the Telecommunications Act 1997, including internal policy guidance and communications/meetings with other agencies re the use of s313.
Copies of s313 Notices, internal guidance material and documentation pertaining to communications and meetings with other agencies re the use of s313
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 32

: Summary notes and agenda of meeting between ASIC and the CEOs of the big 4 accounting firms - KPMG, Deloitte, PwC... (Australian Securities and Investments Commission)

Title: Summary notes and agenda of meeting between ASIC and the CEOs of the big 4 accounting firms - KPMG, Deloitte, PwC and EY held in August
Agenda of meeting held between ASIC and the CEOs of the big 4 accounting firms - KPMG, Deloitte, PwC and EY held on 14 August 2017
Released in full
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 103

: A copy of a purported deed dated 26 August 1986 for a superannuation fund where the sponsoring employer was Elders... (Australian Securities and Investments Commission)

Title: A copy of a purported deed dated 26 August 1986 for a superannuation fund where the sponsoring employer was Elders IXL Limited and a copy of the attached purported Rules.
Copy of a deed dated 26 August 1986 between Elders IXL Limited and Elders Superannuation Ltd attaching Elders IXL Superannuation Fund Rules. Released in full.
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 63

: A copy of a purported deed dated 26 August 1986 for a superannuation fund where the sponsoring employer was Elders... (Australian Securities and Investments Commission)

Title: A copy of a purported deed dated 26 August 1986 for a superannuation fund where the sponsoring employer was Elders IXL Limited and a copy of the attached purported Rules.
Copy of a deed dated 26 August 1986 between Elders IXL Limited and Elders Superannuation Ltd attaching Elders IXL Superannuation Fund Rules. Released in full.
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 63

: Documents concerning matters outlined inASIC media release MR 16-050 (Australian Securities and Investments Commission)

Title: Documents concerning matters outlined inASIC media release MR 16-050
Internal ASIC emails concerning matters outlined in
ASIC media release MR 16-050
(released in part)
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 79

: Document number 023549276 (Australian Securities and Investments Commission)

Title: 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
Note: To access the documents please emailfoirequest@asic.gov.au

Links/Documents

ID: FOI017-2019

: Documents relating to Term Deposits (Australian Securities and Investments Commission)

Title: 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
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 108

: Copy of correspondence referred to by ASIC's Deputy Chairman before the Senate Economics References Committee on 28... (Australian Securities and Investments Commission)

Title: Copy of correspondence referred to by ASIC's Deputy Chairman before the Senate Economics References Committee on 28 April 2016
Template of letter sent to insurers as part of ASIC's review of the life insurance industry. Released in full
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 72

: Document containing details of ASIC's investigations expenditure in relation to Trio Capital for the period... (Australian Securities and Investments Commission)

Title: Document containing details of ASIC's investigations expenditure in relation to Trio Capital for the period September 2009 to 22 July 2015
A table containing details of the information sought in the request. Released in full
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 59

: Australian financial services licence application of Tolhurst Capital Limited (Australian Securities and Investments Commission)

Title: Australian financial services licence application of Tolhurst Capital Limited
ASIC Form FS01 - Australian financial services licence application for Tolhurst Capital Limited.
Released in part
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 66

: Documents held by ASIC concerning a US broker (Australian Securities and Investments Commission)

Title: Documents held by ASIC concerning a US broker
Printout of Broker Check Report from US Financial Services Industry Regulatory Authority website
Note: To access the documents please emailfoirequest@asic.gov.au

Links/Documents

ID: 48

: ASIC's / liquidator's report / assessment of certain documents concerning Trio Capital (Australian Securities and Investments Commission)

Title: ASIC's / liquidator's report / assessment of certain documents concerning Trio Capital
PPB Advisory's further Explanatory Memorandum to Unitholders dated 4 August 2010. Released in full
Note: To access the documents please emailfoirequest@asic.gov.au

Links/Documents

ID: 55

: Communications between Westpac Banking Corporation and ASIC, and RAMS Financial Group Pty Limited and ASIC between 1... (Australian Securities and Investments Commission)

Title: 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
Note: To access the documents please emailfoirequest@asic.gov.au

Links/Documents

ID: 138

: A copy of the SPEAR Report concerning the investigation of Terry McMaster and/or Dover Financial Advisers Pty Ltd... (Australian Securities and Investments Commission)

Title: 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; andany 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
Note: To access the documents please emailfoirequest@asic.gov.au

Links/Documents

ID: FOI 090-2019

: Request seeking copies of correspondence pertaining to requests made by ASIC pursuant to s313 of the... (Australian Securities and Investments Commission)

Title: Request seeking copies of correspondence pertaining to requests made by ASIC pursuant to s313 of the Telecommunications Act 1997 seeking the blocking of internet websites including Global Capital Wealth.
Copies of s313 internet site blocking requests issued by ASIC.
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 29

: Any reports detailing work in progress given to incoming chairman James Shipton (Australian Securities and Investments Commission)

Title: Any reports detailing work in progress given to incoming chairman James Shipton
Brief to Incoming Commissioner
Released in part
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 110

: Documents relating to SMSF auditor John Le Lievre. (Australian Securities and Investments Commission)

Title: 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
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 132

: Request seeking ASIC's procedures re s15(3) of the Public Service Act (Australian Securities and Investments Commission)

Title: Request seeking ASIC's procedures re s15(3) of the Public Service Act
Document providing overview of the Australian Public Service Code of Conduct provisions
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 2

: Request seeking documents relating to requests made by ASIC to internet service providers, pursuant to s313 of the... (Australian Securities and Investments Commission)

Title: Request seeking documents relating to requests made by ASIC to internet service providers, pursuant to s313 of the Telecommunications Act seeking the blocking of internet websites, including IP address 198. 136.54.104 between Sept 2012 and May 2013.
Copies of s313 internet site blocking requests and communications between ASIC and internet service providers during relevant period.
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 30

: Correspondence and any related documents between ASIC and PPB Advisory/KPMG on 7, 11 and 13 August 2015 (Australian Securities and Investments Commission)

Title: Correspondence and any related documents between ASIC and PPB Advisory/KPMG on 7, 11 and 13 August 2015
Correspondence and related documents between ASIC and PPB Advisory/KPMG relating to BBY Ltd
Released in part
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 102

: Documents concerning a prospectus lodged with ASIC by Mazu Alliance Limited (Australian Securities and Investments Commission)

Title: Documents concerning a prospectus lodged with ASIC by Mazu Alliance Limited
Internal ASIC emails. Released in part
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 62

: Request for copies of ASIC's Secondments Policies (Australian Securities and Investments Commission)

Title: Request for copies of ASIC's Secondments Policies
Copies of 2 ASIC policy documents addressing secondments
Note: To access the documents please emailfoirequest@asic.gov.au

Links/Documents

ID: 38

: Documents concerning ASIC's Public Notices Website and Lodgement Project (Australian Securities and Investments Commission)

Title: Documents concerning ASIC's Public Notices Website and Lodgement Project
4 voluntary undertakings with various liquidators (documents anonymised). Partial release
2 ASIC documents containing data concerning the project (documents anonymised). Partial release
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 90

: Request for information pertaining to unclaimed money (Australian Securities and Investments Commission)

Title: Request for information pertaining to unclaimed money
List pertaining to unclaimed money amounts
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 10

: Documents relating to Term Deposits (Australian Securities and Investments Commission)

Title: Documents relating to Term Deposits
Letter template dated 2009 regarding Term Deposits to Bank CEOs and attachment
Released in full
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 105

: Documents concerning the PI Insurance available on behalf of the investors of Trio Capital (Australian Securities and Investments Commission)

Title: Documents concerning the PI Insurance available on behalf of the investors of Trio Capital
Wright GlobaI Investments Pty Ltd , Certificate of Professional Indemnity Insurance.  Released in full
Note: To access the documents please emailfoirequest@asic.gov.au

Links/Documents

ID: 52

: Documents relating to American Express credit card interest rate policy for defaulting cardholders (Australian Securities and Investments Commission)

Title: Documents relating to American Express credit card interest rate policy for defaulting cardholders
Copy of various American Express credit card interest rate policy documents .
Released in full.
Note: To access the documents please emailfoirequest@asic.gov.au

Links/Documents

ID: 43

: Documents concerning telecommunications data as defined in the Telecommunications (Interception and Access) Act 1979 (Australian Securities and Investments Commission)

Title: Documents concerning telecommunications data as defined in the Telecommunications (Interception and Access) Act 1979
Documents concerning ASIC's procedures & policies for accessing telecommunications data
Released in part
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 100

: Copy of the FOI delegation arrangements at ASIC (Australian Securities and Investments Commission)

Title: 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
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 124

: A copy of a letter sent by ASIC to 30,000 companies seeking to obtain information on whistleblowing (Australian Securities and Investments Commission)

Title: A copy of a letter sent by ASIC to 30,000 companies seeking to obtain information on whistleblowing
A template of a letter sent by ASIC to various companies regarding whisteblowing (released in full)
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 77

: Directions made by the Australian Securities and Investments Commission under s672A of the Corporations Act 2001... (Australian Securities and Investments Commission)

Title: Directions made by the Australian Securities and Investments Commission under s672A of the Corporations Act 2001 between the period 1 July 2012 to 31 December 2012.
Directions made by the Australian Securities and Investments Commission under s672A of the Corporations Act 2001 between the period 1 July 2012 to 31 December 2012
Note: Information edited because of an exception in s11C of the Freedom of Information Act 1982To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 33

: Documents concerning ASIC's investigation into the Bryan Byrt Group (Australian Securities and Investments Commission)

Title: Documents concerning ASIC's investigation into the Bryan Byrt Group
ASIC investigation progress reports for certain dates (released in part)
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 75

: FOI requests received by ASIC (in the FY 12/13 and 13/14) and subsequent ASIC decisions on those requests where... (Australian Securities and Investments Commission)

Title: FOI requests received by ASIC (in the FY 12/13 and 13/14) and subsequent ASIC decisions on those requests where ASIC's decisions relied upon the exemption in s47C of the FOI Act
FOI requests received by ASIC in the defined period and subsequent ASIC decisions on those requests where ASIC's decisions relied upon the exemption in s47C of the FOI Act. Released in part
Note: To access the documents please emailfoirequest@asic.gov.au

Links/Documents

ID: 50

: Documents relating to the development of the following ASIC media releases and reports:17-076MR - ASIC releases... (Australian Securities and Investments Commission)

Title: Documents relating to the development of the following ASIC media releases and reports:17-076MR - ASIC releases findings of CommInsure investigationReport on ASIC's Investigation into the Colonial Mutual Life Assurance Society Limited16-347MR - ASIC issues industry review of life insurance claimsREP 498 Life Insurance Claims: An industry review.
Internal correspondence and correspondence between ASIC and third parties relating to the development of the media releases and reports
Released in part
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 93

: Correspondence in 2017 between ASIC and third parties concerning add-on insurance products sold by car dealers (Australian Securities and Investments Commission)

Title: Correspondence in 2017 between ASIC and third parties concerning add-on insurance products sold by car dealers
Letter (including Annexure)from ASIC to a third party relating to add on insurance sold through car dealerships
Released in full
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 96

: Documents about Trio Capital held by ASIC's Deputy Chair, Peter Kell. (Australian Securities and Investments Commission)

Title: Documents about Trio Capital held by ASIC's Deputy Chair, Peter Kell.
Documents about Trio Capital held by ASIC's Deputy Chair, Peter Kell
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 34

: Directions made by the Australian Securities and Investments Commission under s672A of the Corporations Act 2001... (Australian Securities and Investments Commission)

Title: Directions made by the Australian Securities and Investments Commission under s672A of the Corporations Act 2001 between the period 1 July 2012 to 31 December 2012.
Directions made by the Australian Securities and Investments Commission under s672A of the Corporations Act 2001 between the period 1 July 2012 to 31 December 2012
Note: Information edited because of an exception in s11C of the Freedom of Information Act 1982To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 33

: Documents concerning CME Capital Australia & IMCG Pty Ltd (Australian Securities and Investments Commission)

Title: Documents concerning CME Capital Australia & IMCG Pty Ltd
Chart containing the Theoretical value of combined portfolios of IMCG Pty Ltd from 2015 onwards (released in full)
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 82

: Correspondence and any related documents between ASIC and PPB Advisory/KPMG on 7, 11 and 13 August 2015 (Australian Securities and Investments Commission)

Title: Correspondence and any related documents between ASIC and PPB Advisory/KPMG on 7, 11 and 13 August 2015
Correspondence and related documents between ASIC and PPB Advisory/KPMG relating to BBY Ltd
Released in part
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 102

: Documents concerning a prospectus lodged with ASIC by Mazu Alliance Limited (Australian Securities and Investments Commission)

Title: Documents concerning a prospectus lodged with ASIC by Mazu Alliance Limited
Internal ASIC emails. Released in part
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 62

: Documents concerning  the sale by ASIC of causes of action of deregistered companies vested in ASIC (Australian Securities and Investments Commission)

Title: Documents concerning  the sale by ASIC of causes of action of deregistered companies vested in ASIC
Documents concerning applications received by ASIC concerning the property of deregistered companies and documents relating to ASIC's policies and procedures concerning the sale by ASIC of the property of deregistered companies
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 61

: Certificate of Currency of PI insurance and the AFSLapplication for Citywide Investment Services Pty Ltd (Australian Securities and Investments Commission)

Title: Certificate of Currency of PI insurance and the AFSLapplication for Citywide Investment Services Pty Ltd
The FS01 application and the Certificate of Currency of PI insurance in relation to Citywide Investment Services Pty Ltd
Released in part
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 106

: Request seeking documentation pertaining to the commencement of investigation into Trio Capitol Limited (In... (Australian Securities and Investments Commission)

Title: Request seeking documentation pertaining to the commencement of investigation into Trio Capitol Limited (In Liquidation).
Documents referencing commencement of investigation.
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 22

: Documents concerning Macquarie Equities Limited (MEL) financial advice remediation as announced by ASIC in 14-201MR (Australian Securities and Investments Commission)

Title: Documents concerning Macquarie Equities Limited (MEL) financial advice remediation as announced by ASIC in 14-201MR
Final client letter sent by MEL to clients and Macquarie Private Wealth review process referred to in the final client letter. Released in full.
Note: To access the documents please emailfoirequest@asic.gov.au

Links/Documents

ID: 51

: Documents concerning PPB Advisory's costs of investigation into Trio Capital and report of achievements during... (Australian Securities and Investments Commission)

Title: Documents concerning PPB Advisory's costs of investigation into Trio Capital and report of achievements during phases 1 & 2 of investigation
Printout of ASIC Assetless Administration Fund grant reporting document from ASIC's website
Note: To access the documents please emailfoirequest@asic.gov.au

Links/Documents

ID: 49

: Request for copy of ASIC report entitledConsumer Credit Legal Services in Australia (Australian Securities and Investments Commission)

Title: Request for copy of ASIC report entitledConsumer Credit Legal Services in Australia
Copy of report and attachments
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 18

: Request for documentation confirming appointment of Mr Gregory Medcraft as a Commissioner of ASIC (Australian Securities and Investments Commission)

Title: Request for documentation confirming appointment of Mr Gregory Medcraft as a Commissioner of ASIC
Appointment notification
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 6

: Documents concerning the positions and delegations held by certain ASIC staff during specified periods and codes and... (Australian Securities and Investments Commission)

Title: Documents concerning the positions and delegations held by certain ASIC staff during specified periods and codes and policies concerning staff conduct
Codes and policies concerning staff conduct applicable to ASIC staff during certain specified periods.
Released in full
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 57

: Documents concerning section 23 of the Superannuation Industry (Supervision) Act 1993 in the period leading up to... (Australian Securities and Investments Commission)

Title: Documents concerning section 23 of the Superannuation Industry (Supervision) Act 1993 in the period leading up to September 2009.
One page of an ASIC publication Super Decisions (dated October 2007) and 5 screen shots of ASIC's Fido website. Released in full.
Note: To access the documents please emailfoirequest@asic.gov.au

Links/Documents

ID: 42

: Request seeking policy documents pertaining to record management of hard copy files (Australian Securities and Investments Commission)

Title: Request seeking policy documents pertaining to record management of hard copy files
ASIC and National Archives guidelines addressing destruction of files
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 3

: Application for ASIC reinstatement of 407 DORSET ROAD MANAGEMENT PTY. LTD (Australian Securities and Investments Commission)

Title: 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
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 109

: Copy of ASIC memo concerning Trio Capital Ltd and Shawn Richard (Australian Securities and Investments Commission)

Title: Copy of ASIC memo concerning Trio Capital Ltd and Shawn Richard
Copy of ASIC memo dated 29 November 2010 concerning Trio Capital Ltd and the Enforceable Undertaking from Shawn Richard
Released in part
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 68

: Request seeking copies of correspondence between ASIC and internet service providers pertaining to the blocking,... (Australian Securities and Investments Commission)

Title: Request seeking copies of correspondence between ASIC and internet service providers pertaining to the blocking, pursuant to s313 of the Telecommunications Act 1997 of internet websites between Sept 2012 and May 2013.
Copies of s313 internet site blocking requests and communications between ASIC and internet service providers during relevant period.
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 27

: Documents held by ASIC concerning a US broker (Australian Securities and Investments Commission)

Title: Documents held by ASIC concerning a US broker
Printout of Broker Check Report from US Financial Services Industry Regulatory Authority website
Note: To access the documents please emailfoirequest@asic.gov.au

Links/Documents

ID: 48

: Request for copies of ASIC's Secondments Policies (Australian Securities and Investments Commission)

Title: Request for copies of ASIC's Secondments Policies
Copies of 2 ASIC policy documents addressing secondments
Note: To access the documents please emailfoirequest@asic.gov.au

Links/Documents

ID: 38

: Documents concerning Jervois Mining Ltd (Australian Securities and Investments Commission)

Title: Documents concerning Jervois Mining Ltd
ASIC email and newspaper article (released in part)
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 80

: The 12 non-confidential submissions referred to in ASIC Report 216 -Response to submissions on CP135 Mortgage Exit... (Australian Securities and Investments Commission)

Title: The 12 non-confidential submissions referred to in ASIC Report 216 -Response to submissions on CP135 Mortgage Exit Fees: Unconscionable fees and unfair contract terms
12 non-confidential submissions. Released in full
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 83

: Directions made by the Australian Securities and Investments Commission under s672A of the Corporations Act 2001... (Australian Securities and Investments Commission)

Title: Directions made by the Australian Securities and Investments Commission under s672A of the Corporations Act 2001 between the period 1 July 2012 to 31 December 2012.
Directions made by the Australian Securities and Investments Commission under s672A of the Corporations Act 2001 between the period 1 July 2012 to 31 December 2012
Note: Information edited because of an exception in s11C of the Freedom of Information Act 1982To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 33

: Request for information pertaining to unclaimed money (Australian Securities and Investments Commission)

Title: Request for information pertaining to unclaimed money
List pertaining to unclaimed money amounts
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 14

: Documents concerning ASIC media release "05-360 ASIC works with superannuation funds to improve exit disclosure"... (Australian Securities and Investments Commission)

Title: Documents concerning ASIC media release "05-360 ASIC works with superannuation funds to improve exit disclosure" relating to Qantas Superannuation, and investigations, directions or complaints relating to Qantas' handbooks or PDSs
Correspondence between ASIC and Qantas Superannuation, and internal documents relating to compliance with disclosure obligations.
Released in part.
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 101

: Request seeking documents relating to requests made by ASIC to internet service providers, pursuant to s313 of the... (Australian Securities and Investments Commission)

Title: Request seeking documents relating to requests made by ASIC to internet service providers, pursuant to s313 of the Telecommunications Act seeking the blocking of internet websites, including IP address 198. 136.54.104 between Sept 2012 and May 2013.
Copies of s313 internet site blocking requests and communications between ASIC and internet service providers during relevant period.
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 30

: Documents containing guidance material governing the handling of FOI applications. Joint protocols for co-operation/... (Australian Securities and Investments Commission)

Title: Documents containing guidance material governing the handling of FOI applications. Joint protocols for co-operation/ MOUs between ASIC and listed government agencies.
3 guides concerning the processing of FOI requests. Liaison arrangements between ASIC and the Commonwealth Ombudsman dated 1997 Released in full
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 70

: Request seeking ASIC's procedures re s15(3) of the Public Service Act (Australian Securities and Investments Commission)

Title: Request seeking ASIC's procedures re s15(3) of the Public Service Act
Document providing overview of the Australian Public Service Code of Conduct provisions
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 2

: Documents concerning a prospectus lodged with ASIC by Celsius Coal Limited (Australian Securities and Investments Commission)

Title: Documents concerning a prospectus lodged with ASIC by Celsius Coal Limited
ASIC emails, records of telephone discussions and other documents concerning the prospectus (released in part)
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 81

: Documents with information relating to the deregistration of Wite Pty Limited (ACN: 151 092 036) (Australian Securities and Investments Commission)

Title: 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
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 129

: Documents detailing the current material personal interests of the persons listed on ASIC's website as its "senior... (Australian Securities and Investments Commission)

Title: 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
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 121

: Correspondence between ASIC and Armstrong Wily, including any requests for funding, in relation to City Pacific... (Australian Securities and Investments Commission)

Title: Correspondence between ASIC and Armstrong Wily, including any requests for funding, in relation to City Pacific and/or the Pacific First Mortgage Fund
Assetless administration funding request
Letter from ASIC to Armstrong Wily (released in part)
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: FOI 133-2019

: The Section 19 (ASIC Act) notices sent during ASIC’s investigation of Offset Alpine. (Australian Securities and Investments Commission)

Title: 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
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 135

: Correspondence from ASIC referring a matter to the NSW Police Service (Australian Securities and Investments Commission)

Title: Correspondence from ASIC referring a matter to the NSW Police Service
ASIC referral letter to the NSW Police Service under s 127(4) of the ASIC Act.
Note: To access the documents please emailfoirequest@asic.gov.au

Links/Documents

ID: 46

: Documents referenced in the Enforceable Undertaking document entered into by Foster Stockbroking as specified by the... (Australian Securities and Investments Commission)

Title: 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.
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: FOI 096-2019

: Request for copies of submissions received in response to ASIC Consultation Paper 91Non Traditional Rights Issues(CP91) (Australian Securities and Investments Commission)

Title: Request for copies of submissions received in response to ASIC Consultation Paper 91Non Traditional Rights Issues(CP91)
Copies of submissions received
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 13

: Documents containing guidance material governing the handling of FOI applications. Joint protocols for co-operation/... (Australian Securities and Investments Commission)

Title: Documents containing guidance material governing the handling of FOI applications. Joint protocols for co-operation/ MOUs between ASIC and listed government agencies.
3 guides concerning the processing of FOI requests. Liaison arrangements between ASIC and the Commonwealth Ombudsman dated 1997 Released in full
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 70

: The referral form from the Superannuation Complaints Tribunal (SCT) to ASIC under section 64 of theSuperannuation... (Australian Securities and Investments Commission)

Title: The referral form from the Superannuation Complaints Tribunal (SCT) to ASIC under section 64 of theSuperannuation (Resolution of Complaints) Act 1993regarding 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
Note: To access the documents please emailfoirequest@asic.gov.au

Links/Documents

ID: 137

: Documents relating to Brighton Cleaning Pty Ltd (in liquidation) ACN 137 402 889 (Australian Securities and Investments Commission)

Title: 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
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 125

: Request for copy of specified speeches given by ASIC Chairman Greg Medcraft (Australian Securities and Investments Commission)

Title: Request for copy of specified speeches given by ASIC Chairman Greg Medcraft
Copies of speeches requested.
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 19

: ASIC’s operational costs associated withinvestigating and pursuing civil proceedings against the Australian Wheat... (Australian Securities and Investments Commission)

Title: ASIC’s operational costs associated withinvestigating 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
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 115

: Australian financial services licence application of Tolhurst Capital Limited (Australian Securities and Investments Commission)

Title: Australian financial services licence application of Tolhurst Capital Limited
ASIC Form FS01 - Australian financial services licence application for Tolhurst Capital Limited.
Released in part
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 66

: Documents concerning ASIC’s duty to prefer the interests of growers over its own corporate interests in relation... (Australian Securities and Investments Commission)

Title: 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
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: FOI 112-2019

: Request for documents verifying Trio Capitol Limited fund's asset position. (Australian Securities and Investments Commission)

Title: Request for documents verifying Trio Capitol Limited fund's asset position.
Documentation addressing determination of Trio Capitol Limited fund's asset position.
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 24

: Documents relating to Term Deposits (Australian Securities and Investments Commission)

Title: 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
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 108

: Documents concerning Jervois Mining Ltd (Australian Securities and Investments Commission)

Title: Documents concerning Jervois Mining Ltd
ASIC email and newspaper article (released in part)
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 80

: Request seeking copies of correspondence between ASIC and internet service providers pertaining to the blocking,... (Australian Securities and Investments Commission)

Title: Request seeking copies of correspondence between ASIC and internet service providers pertaining to the blocking, pursuant to s313 of the Telecommunications Act 1997 of internet websites between Sept 2012 and May 2013.
Copies of s313 internet site blocking requests and communications between ASIC and internet service providers during relevant period.
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 27

: Document containing details of ASIC's investigations expenditure in relation to Trio Capital for the period October... (Australian Securities and Investments Commission)

Title: Document containing details of ASIC's investigations expenditure in relation to Trio Capital for the period October 2013 to September 2104
A table containing details of the information sought in the request. Released in full.
Note: To access the documents please emailfoirequest@asic.gov.au

Links/Documents

ID: 45

: Documents concerning ASIC's IT resources and STAR Programme business case (Australian Securities and Investments Commission)

Title: Documents concerning ASIC's IT resources and STAR Programme business case
Documents listing ASIC's IT resources,  Copy of STAR Programme business case.
Released in full
Note: To access the documents please emailfoirequest@asic.gov.au

Links/Documents

ID: 53

: Request for document provided in response to 2 Parliamentary Questions on Notice asked by Mr Paul Fletcher MP to the... (Australian Securities and Investments Commission)

Title: Request for document provided in response to 2 Parliamentary Questions on Notice asked by Mr Paul Fletcher MP to the Assistant Treasurer on 10 May 2011.
ASIC Response to Question on Notice No 355. Notice given 10 May 2011.
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 25

: Documents containing data sets provided to external organisations responsible for conducting ballots for all... (Australian Securities and Investments Commission)

Title: Documents containing data sets provided to external organisations responsible for conducting ballots for all Enterprise Agreements proposed to take effect after 30 June 2014
Table describing the data sets ASIC provided to the ballot agent conducting the Enterprise Agreement ballots during the requisite period
Released in full
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 97

: Documents concerning ASIC's arrangements for the handling of FOI requests during the 2015 Christmas period (Australian Securities and Investments Commission)

Title: Documents concerning ASIC's arrangements for the handling of FOI requests during the 2015 Christmas period
Internal ASIC email dated 18 December 2015.
Released in full
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 69

: Documents concerning  PM Global Opportunities Fund Limited prospectus lodged on 4 November 2013 (Australian Securities and Investments Commission)

Title: Documents concerning  PM Global Opportunities Fund Limited prospectus lodged on 4 November 2013
Letter to PM Capital Global Opportunities Fund Ltd from ASIC concerning Notice to Extend Exposure period for prospectus
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 58

: RA01 form submitted to ASIC for BAC Holdings No. 2 Pty Limited and for Brisbane Airport Corporation Pty Limited (Australian Securities and Investments Commission)

Title: 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
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 123

: Documents concerning the deregistration of ACN 060 104 912 – Hayes Microcomputer Products (Australia) Pty Ltd (Australian Securities and Investments Commission)

Title: 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.
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 133

: Request for figures in relation to the number of unclaimed monies claims paid in 2013-2014 in respect of the... (Australian Securities and Investments Commission)

Title: Request for figures in relation to the number of unclaimed monies claims paid in 2013-2014 in respect of the following categoriesMoney recovery agencyASIC reuniting and;Other
Table listing number of claims and amounts reunited with owners in relation to company unclaimed money in 2013-2014 - Released in full
Note: To access the documents please emailfoirequest@asic.gov.au

Links/Documents

ID: 41

: Submissions made by BPay to ASIC in the context of ASIC's review of the Electronic Funds Transfer Code of Conduct (Australian Securities and Investments Commission)

Title: 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
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 120

: Copy of consolidated deed of variation dated 6 May 1958 of the Provident Fund (Australian Securities and Investments Commission)

Title: Copy of consolidated deed of variation dated 6 May 1958 of the Provident Fund
Copy of consolidated deed of variation dated 6 May 1958 of the Provident Fund
(Released in full)
Note: To access the documents please emailfoirequest@asic.gov.au

Links/Documents

ID: 36

: Request for policy documentation pertaining to s123 and s124 of the ASIC Act (Australian Securities and Investments Commission)

Title: Request for policy documentation pertaining to s123 and s124 of the ASIC Act
Guidance documentation
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 4

: Request for figures in relation to the number of unclaimed monies claims paid in 2013-2014 in respect of the... (Australian Securities and Investments Commission)

Title: Request for figures in relation to the number of unclaimed monies claims paid in 2013-2014 in respect of the following categoriesMoney recovery agencyASIC reuniting and;Other
Table listing number of claims and amounts reunited with owners in relation to company unclaimed money in 2013-2014 - Released in full
Note: To access the documents please emailfoirequest@asic.gov.au

Links/Documents

ID: 41

: Communications between ASIC and Local Appliance Rentals Pty Ltd from 1 July 2015 to 31 January 2017 which record... (Australian Securities and Investments Commission)

Title: 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.
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: FOI 119-2019

: Annexures to the letter dated 19th December 2014 from the ASX to  ASIC concerning BBY Limited. (Australian Securities and Investments Commission)

Title: Annexures to the letter dated 19th December 2014 from the ASX to  ASIC concerning BBY Limited.
6 annexures to a letter dated 19th December 2014 from the ASX to  ASIC concerning BBY Limited.
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 85

: Request for documentation including copies of specific product disclosure statements (Australian Securities and Investments Commission)

Title: Request for documentation including copies of specific product disclosure statements
Copies of three product disclosure statements pertaining to investment products
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 17

: Request for information pertaining to unclaimed money (Australian Securities and Investments Commission)

Title: Request for information pertaining to unclaimed money
List pertaining to unclaimed money amounts
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 11

: Request for information pertaining to unclaimed money (Australian Securities and Investments Commission)

Title: Request for information pertaining to unclaimed money
List pertaining to unclaimed money amounts
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 15

: Request seeking copies of correspondence pertaining to requests made by ASIC pursuant to s313 of the... (Australian Securities and Investments Commission)

Title: Request seeking copies of correspondence pertaining to requests made by ASIC pursuant to s313 of the Telecommunications Act 1997 seeking the blocking of internet websites including Global Capital Wealth.
Copies of s313 internet site blocking requests issued by ASIC.
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 29

: Request for documents verifying Trio Capitol Limited fund's asset position. (Australian Securities and Investments Commission)

Title: Request for documents verifying Trio Capitol Limited fund's asset position.
Documentation addressing determination of Trio Capitol Limited fund's asset position.
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 24

: Documents concerning PM Global Opportunities Fund Limited prospectus lodged on 4 November 2013 (Australian Securities and Investments Commission)

Title: Documents concerning PM Global Opportunities Fund Limited prospectus lodged on 4 November 2013
Letter to PM Capital Global Opportunities Fund Ltd from ASIC concerning Notice to Extend Exposure period for prospectus
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 58

: Request for contact details re specified companies. (Australian Securities and Investments Commission)

Title: Request for contact details re specified companies.
Contact information as sought
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 12

: Request seeking policy documents pertaining to record management of hard copy files (Australian Securities and Investments Commission)

Title: Request seeking policy documents pertaining to record management of hard copy files
ASIC and National Archives guidelines addressing destruction of files
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 3

: Documents recording any recommendation or decision not to prosecute or take action concerning the sale of 150... (Australian Securities and Investments Commission)

Title: 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.
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: FOI 117-2019

: Documents relating to the development of the following ASIC media releases:Macquarie: 13-010MR, 14-201MR,... (Australian Securities and Investments Commission)

Title: Documents relating to the development of the following ASIC media releases:Macquarie: 13-010MR, 14-201MR, 15-022MRAMP: 06-251NAB: 14-093MRWestpac: 14-236MR, 14-264MRCommonwealth Bank: 11-42AD, 11-229MR, 14-104MR, 14-192MR, 14-302MR
Internal correspondence and correspondence between ASIC and third parties relating to the development of the media releases
Released in part on 12.4.17
Additional document released in full on 17.5.17
Additional documents released in part on 5.6.17
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 91

: Request for list of companies with their registered office at a specified address (Australian Securities and Investments Commission)

Title: Request for list of companies with their registered office at a specified address
List of companies as requested
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 7

: Audit reports submitted to ASIC for a financial services licensee for FY 2010/2011 and 2011/2012 (Australian Securities and Investments Commission)

Title: Audit reports submitted to ASIC for a financial services licensee for FY 2010/2011 and 2011/2012
Audit report lodged with ASIC by a financial services licensee dated 30 September 2011
Note: To access the documents please emailfoirequest@asic.gov.au

Links/Documents

ID: 47

: The costs associated with the investigation into Westpac, ANZ, NAB and the Commonwealth Bank of Australia for BBSW... (Australian Securities and Investments Commission)

Title: 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.'
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 127

: Documents containing data sets provided to external organisations responsible for conducting ballots for all... (Australian Securities and Investments Commission)

Title: Documents containing data sets provided to external organisations responsible for conducting ballots for all Enterprise Agreements proposed to take effect after 30 June 2014
Table describing the data sets ASIC provided to the ballot agent conducting the Enterprise Agreement ballots during the requisite period
Released in full
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 97

: Request for documentation lodged with ASIC for financial services licence application (Australian Securities and Investments Commission)

Title: Request for documentation lodged with ASIC for financial services licence application
Application documents
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 16

: Request seeking documentation pertaining to an accounting relief application made to ASIC in respect to Kangara Limited (Australian Securities and Investments Commission)

Title: Request seeking documentation pertaining to an accounting relief application made to ASIC in respect to Kangara Limited
Communications between ASIC and applicant pertaining to the aforementioned relief application
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 26

: Request seeking access to the following ASIC files:014 - Credit and Investments Ombo corro (F20170000589353)021 -... (Australian Securities and Investments Commission)

Title: 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
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 114

: Request for list of companies with their registered office at a specified address (Australian Securities and Investments Commission)

Title: Request for list of companies with their registered office at a specified address
List of companies as requested
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 7

: Documents received by ASIC between 1 January 2014 and 18 May 2015 concerning BBY Pty Ltd (Australian Securities and Investments Commission)

Title: Documents received by ASIC between 1 January 2014 and 18 May 2015 concerning BBY Pty Ltd
Documents received by ASIC between 1 January 2014 and 18 May 2015 concerning BBY Pty Ltd.
Released in part
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 64

: Request seeking letter of appointment of Greg Medcraft as Chairman of ASIC (Australian Securities and Investments Commission)

Title: Request seeking letter of appointment of Greg Medcraft as Chairman of ASIC
Letter of appointment dated 12 May 2011
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 1

: Request for documentation lodged with ASIC for financial services licence application (Australian Securities and Investments Commission)

Title: Request for documentation lodged with ASIC for financial services licence application
Application documents
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 16

: Request for copies of submissions received in response to ASIC Consultation Paper 91Non Traditional Rights Issues(CP91) (Australian Securities and Investments Commission)

Title: Request for copies of submissions received in response to ASIC Consultation Paper 91Non Traditional Rights Issues(CP91)
Copies of submissions received
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 13

: Documents concerning the positions and delegations held by certain ASIC staff during specified periods and codes and... (Australian Securities and Investments Commission)

Title: Documents concerning the positions and delegations held by certain ASIC staff during specified periods and codes and policies concerning staff conduct
Codes and policies concerning staff conduct applicable to ASIC staff during certain specified periods.
Released in full
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 57

: Documents concerning Trio and Shawn Richard (Australian Securities and Investments Commission)

Title: Documents concerning Trio and Shawn Richard
Article titled "Bankruptcy trustee hunts Richard's money" and table titled Deposits to AAM from GCSL & Shawn Richard. Released in full
Note: To access the document please emailfoirequest

Links/Documents

ID: 73

: Documents concerning IT jobs in ASIC (Australian Securities and Investments Commission)

Title: Documents concerning IT jobs in ASIC
Documents listing number of positions filled and applications received for each IT role between 2010 and 2014. Released in full
Note: To access the documents please emailfoirequest@asic.gov.au

Links/Documents

ID: 54

: Request for copies of communications between ASIC and Treasury/Treasurer regarding 'Letter of Expectation'... (Australian Securities and Investments Commission)

Title: Request for copies of communications between ASIC and Treasury/Treasurer regarding 'Letter of Expectation' addressing agency operations.
Letter dated 20 February 2007 from Treasurer to ASIC, Letter of 27 June from ASIC Chairman to Treasurer.
Note: To access the documents please emailfoirequest@asic.gov.au

Links/Documents

ID: 39

: (i) A letter from News Limited;(ii) A letter from Revenue SA (Australian Securities and Investments Commission)

Title: (i) A letter from News Limited;(ii) A letter from Revenue SA
A letter from News Limited dated 15 October 2013;
A letter from Revenue SA dated 4 February 2013
(Released in part)
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 35

: Documents relating to American Express credit card interest rate policy for defaulting cardholders (Australian Securities and Investments Commission)

Title: Documents relating to American Express credit card interest rate policy for defaulting cardholders
Copy of various American Express credit card interest rate policy documents .
Released in full.
Note: To access the documents please emailfoirequest@asic.gov.au

Links/Documents

ID: 43

: Request for documentation pertaining to bonus payments to ASIC Senior Executive Staff (Australian Securities and Investments Commission)

Title: Request for documentation pertaining to bonus payments to ASIC Senior Executive Staff
Template Employment Agreement and copy of agency Performance Management Agreement
Note: To access the documents please emailfoirequest@asic.gov.au

Links/Documents

ID: 37

: Correspondence between ASIC and Standard Builders Pty Ltd and any other party about the company from 16 January 2011... (Australian Securities and Investments Commission)

Title: Correspondence between ASIC and Standard Builders Pty Ltd and any other party about the company from 16 January 2011 to 16 October 2015
A letter from ASIC to Standard Builders Pty Ltd dated 16 January 2011.
Released in full
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 65

: Request for documents verifying Trio Capitol Limited fund's asset position. (Australian Securities and Investments Commission)

Title: Request for documents verifying Trio Capitol Limited fund's asset position.
Documentation addressing determination of Trio Capitol Limited fund's asset position.
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 24

: The exhibits to the affidavit of Glenn John Childs sworn on 9 September 2015 and filed in proceeding ASIC v Avestra... (Australian Securities and Investments Commission)

Title: 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.
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 128

: Documents containing summaries of the data ASIC collected on mistaken internet payments from subscribers to the... (Australian Securities and Investments Commission)

Title: Documents containing summaries of the data ASIC collected on mistaken internet payments from subscribers to the ePayments code.
2 documents containing data regarding mistaken internet payments
Released in part
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 92

: Documents concerning PPB Advisory's costs of investigation into Trio Capital and report of achievements during... (Australian Securities and Investments Commission)

Title: Documents concerning PPB Advisory's costs of investigation into Trio Capital and report of achievements during phases 1 & 2 of investigation
Printout of ASIC Assetless Administration Fund grant reporting document from ASIC's website
Note: To access the documents please emailfoirequest@asic.gov.au

Links/Documents

ID: 49

: Request for documents concerning an application made to ASIC under the CDDA scheme (Australian Securities and Investments Commission)

Title: Request for documents concerning an application made to ASIC under the CDDA scheme
Draft ASIC guide for assessing claims for compensation under the CDDA scheme.
Released in full
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 67

: Request for information pertaining to unclaimed money (Australian Securities and Investments Commission)

Title: Request for information pertaining to unclaimed money
List pertaining to unclaimed money amounts
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 11

: Audit inspection reports for Deloitte, Ernst & Young, PwC and KPMG for the 18 months to June 2018, dated May 2019.... (Australian Securities and Investments Commission)

Title: 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.
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: FOI 129A-2019

: Notices issued by ASIC in relation to ASIC's proactive risk- based surveillance program to the parties referred to... (Australian Securities and Investments Commission)

Title: Notices issued by ASIC in relation to ASIC's proactive risk- based surveillance program to the parties referred to in ASIC Report 528 (report item 56 and item 12)
5 Notices issued to parties under s912C & 912E of the
Corporations Act 2001
in relation to ASIC's proactive risk- based surveillance program referred to in ASIC Report 528
Released in part
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 95

: Request for document provided in response to 2 Parliamentary Questions on Notice asked by Mr Paul Fletcher MP to the... (Australian Securities and Investments Commission)

Title: Request for document provided in response to 2 Parliamentary Questions on Notice asked by Mr Paul Fletcher MP to the Assistant Treasurer on 10 May 2011.
ASIC Response to Question on Notice No 355. Notice given 10 May 2011.
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 25

: Copies of correspondence between ASIC and another party in relation to Trio Capital (Australian Securities and Investments Commission)

Title: Copies of correspondence between ASIC and another party in relation to Trio Capital
ASIC Form 388 - Financial Statements and reports re: Alpha Strategic Fund.
Email between ASIC and a third party.
Released in part
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 56

: Letter ASIC sent to the major Australian banks concerning  cross-selling practices (Australian Securities and Investments Commission)

Title: Letter ASIC sent to the major Australian banks concerning  cross-selling practices
Template of a letter ASIC sent to various banks.
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 87

: Documents relating to the settlement agreement and Enforceable Undertaking entered into between ASIC and ANZ in... (Australian Securities and Investments Commission)

Title: 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.
Note: To access the documents please emailfoirequest@asic.gov.au

Links/Documents

ID: FOI 026-2019

: Communications between the Hon Josh Frydenberg MP and the ASIC Chair, James Shipton between 1 February 2019 to 18... (Australian Securities and Investments Commission)

Title: 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
Note: To access the documents please emailfoirequest@asic.gov.au

Links/Documents

ID: FOI027-2019

: Audit inspection reports for Deloitte, Ernst & Young, PwC and KPMG for the 18 months to June 2018, dated May 2019. (Australian Securities and Investments Commission)

Title: 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.
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: FOI 113-2019

: Documents concerning ASIC's investigation into ABC Learning Centres Ltd (Australian Securities and Investments Commission)

Title: Documents concerning ASIC's investigation into ABC Learning Centres Ltd
ASIC investigation progress reports for certain dates (released in part)
Document containing details of ASIC's investigation expenditure (released in full)
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 71

: Request for document provided in response to 2 Parliamentary Questions on Notice asked by Mr Paul Fletcher MP to the... (Australian Securities and Investments Commission)

Title: Request for document provided in response to 2 Parliamentary Questions on Notice asked by Mr Paul Fletcher MP to the Assistant Treasurer on 10 May 2011.
ASIC Response to Question on Notice No 355. Notice given 10 May 2011.
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 25

: Statements of concerns issued by ASIC to various named issuers of prospectuses for equities (Australian Securities and Investments Commission)

Title: Statements of concerns issued by ASIC to various named issuers of prospectuses for equities
4 Statements of concerns issued by ASIC. Released in full.
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 89

: Documents evidencing communications between certain named ASIC officers and other parties in which reference is made... (Australian Securities and Investments Commission)

Title: Documents evidencing communications between certain named ASIC officers and other parties in which reference is made to Select Vantage, True North Vantage, Merlito Securities Company Ltd
2 documents evidencing communications between ASIC and others (released in part)
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 78

: The audited accounts for Breakaway Private Equity Fund Pty Limited as trustee for the Breakaway Private Equity... (Australian Securities and Investments Commission)

Title: The audited accounts for Breakaway Private Equity Fund Pty Limited as trustee for the Breakaway Private Equity Emergency Resources Fund from 2013 to 16 August 2018;The reasons for the cessation of AFSL number 290093 and for the authorised representative AFSL number 000326520.Whether cessation was voluntary or otherwise.
Document titled ‘Request to cancel an Australian financial services licence’
Released in full.
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: FOI 154-2019

: Infringement notices issued (and documents requesting information) in respect of breaches of continuous disclosure... (Australian Securities and Investments Commission)

Title: 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
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 116

: Documents concerning purchases of current and historical extracts of Rescue Medics Australia Pty Ltd (Australian Securities and Investments Commission)

Title: Documents concerning purchases of current and historical extracts of Rescue Medics Australia Pty Ltd
List of purchases of current and historical extracts of Rescue Medics Australia Pty Ltd
Released in part
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 104

: Request for information pertaining to unclaimed money (Australian Securities and Investments Commission)

Title: Request for information pertaining to unclaimed money
List pertaining to unclaimed money amounts
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 10

: Request for figures in relation to the number of unclaimed monies claims paid in 2013-2014 in respect of the... (Australian Securities and Investments Commission)

Title: Request for figures in relation to the number of unclaimed monies claims paid in 2013-2014 in respect of the following categoriesMoney recovery agencyASIC reuniting and;Other
Table listing number of claims and amounts reunited with owners in relation to company unclaimed money in 2013-2014 - Released in full
Note: To access the documents please emailfoirequest@asic.gov.au

Links/Documents

ID: 41

: Documents concerning ASIC’s investigations into Bux Global Limited. (Australian Securities and Investments Commission)

Title: Documents concerning ASIC’s investigations into Bux Global Limited.
One memo released in part.
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: FOI 174-2019

: Document containing details of ASIC's investigations expenditure in relation to Trio Capital for the period... (Australian Securities and Investments Commission)

Title: Document containing details of ASIC's investigations expenditure in relation to Trio Capital for the period September 2009 to 22 July  2015
A table containing details of the information sought in the request.  Released in full To access the document please email
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 59

: Request for contact details re specified companies. (Australian Securities and Investments Commission)

Title: Request for contact details re specified companies.
Contact information as sought
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 12

: Request seeking letter of appointment of Greg Medcraft as Chairman of ASIC (Australian Securities and Investments Commission)

Title: Request seeking letter of appointment of Greg Medcraft as Chairman of ASIC
Letter of appointment dated 12 May 2011
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 1

: Request seeking copies of correspondence pertaining to requests made by ASIC pursuant to s313 of the... (Australian Securities and Investments Commission)

Title: Request seeking copies of correspondence pertaining to requests made by ASIC pursuant to s313 of the Telecommunications Act 1997 seeking the blocking of internet websites including Global Capital Wealth.
Copies of s313 internet site blocking requests issued by ASIC.
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 29

: Copy of consolidated deed of variation dated 6 May 1958 of the Provident Fund (Australian Securities and Investments Commission)

Title: Copy of consolidated deed of variation dated 6 May 1958 of the Provident Fund
Copy of consolidated deed of variation dated 6 May 1958 of the Provident Fund
(Released in full)
Note: To access the documents please emailfoirequest@asic.gov.au

Links/Documents

ID: 36

: Correspondence from ASIC referring a matter to the NSW Police Service (Australian Securities and Investments Commission)

Title: Correspondence from ASIC referring a matter to the NSW Police Service
ASIC referral letter to the NSW Police Service under s 127(4) of the ASIC Act.
Note: To access the documents please emailfoirequest@asic.gov.au

Links/Documents

ID: 46

: Documents recording any recommendation or decision not to prosecute or take action concerning the Extraordinary... (Australian Securities and Investments Commission)

Title: 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.
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: FOI 121-2019

: Request seeking information regarding amounts ASIC has received and predicted future receipt amounts- from inactive... (Australian Securities and Investments Commission)

Title: Request seeking information regarding amounts ASIC has received and predicted future receipt amounts- from inactive bank and life insurance accounts that have been inactive for 3 years.
Documents containing information pertaining to amounts received by ASIC and predicted future receipt amounts from inactive bank and life insurance accounts.
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 23

: Request for copies of submissions received in response to ASIC Consultation Paper 91Non Traditional Rights Issues(CP91) (Australian Securities and Investments Commission)

Title: Request for copies of submissions received in response to ASIC Consultation Paper 91Non Traditional Rights Issues(CP91)
Copies of submissions received
Note: To access the document please emailfoirequest@asic.gov.au

Links/Documents

ID: 13
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