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: Document relating to APRA's risk assessment process. (Australian Prudential Regulation Authority)

Title: Document relating to APRA's risk assessment process.

Probability and Impact Rating System (PAIRS)
explanatory document.

Links/Documents

ID: ​2014/03

: Request for copies of certain documents relating to an earlier FOI request by the Applicant. (Australian Prudential Regulation Authority)

Title: Request for copies of certain documents relating to an earlier FOI request by the Applicant.
A file note and a memorandum with personal information of the Applicant omitted.

ID: 2012/05

: Request for a letter sent to the providers of life insurance products in respect of claims handling procedures. (Australian Prudential Regulation Authority)

Title: Request for a letter sent to the providers of life insurance products in respect of claims handling procedures.
One publicly available document:
Letter to industry: Information request related to Claims Oversight and Governance

Links/Documents

ID: 2016/03

: Request for certain correspondence and notes relating to an earlier FOI request. (Australian Prudential Regulation Authority)

Title: Request for certain correspondence and notes relating to an earlier FOI request.
Internal APRA emails, memo and file note, and correspondence between APRA and CCSL Limited regarding an earlier FOI request.

ID: 2011/11

: Guidelines or policy documents that APRA officers use to assess:a) whether an applicant for an RSE lice​nce... (Australian Prudential Regulation Authority)

Title: Guidelines or policy documents that APRA officers use to assess:a) whether an applicant for an RSE lice​nce should be granted an RSE licence; andb) when or under what conditions a previously issued RSE licence should be suspended or revoked; andprocedural documents that cover the steps to be taken when suspending or revoking an RSE licence.
Four documents, three of which are publicly available:
a)
Licensing and registering a superannuation entity - Explanatory guide on licensing and registration
;
b)
Licensing and registering a superannuation entity - Licence application
;
c)
Application for cancellation of RSE licence
; and
d) RSE licence cancellation procedure.

Links/Documents

ID: 2011/3

: ​Documents relating to Standing Offer Notice- SON108334, concerning the supply of relocation services to APRA. (Australian Prudential Regulation Authority)

Title: ​Documents relating to Standing Offer Notice- SON108334, concerning the supply of relocation services to APRA.

Deed of Standing Offer, documents containing information about the arrangement and services procured by APRA in relation to this standing offer, internal APRA emails and email correspondence between APRA and Crown Relocations.

ID: ​2013/04

: Guidelines or policy documents relating to:a) when APRA officers should refer complaints concerning financial... (Australian Prudential Regulation Authority)

Title: Guidelines or policy documents relating to:a) when APRA officers should refer complaints concerning financial services or regulated superannuation funds to ASIC; andb)​ when APRA officers should refer matters to ASIC during an investigation.
A modified version of the Joint Protocol for Co-Operation between APRA and ASIC pursuant to the Memorandum of Understanding of 18 May 2010 dated 16 March 2011.

ID: 2011/5

: Documents which disclose figures relating to early release of superannuation benefits.​ (Australian Prudential Regulation Authority)

Title: Documents which disclose figures relating to early release of superannuation benefits.​
Three publicly available documents:
a)
Early release of superannuation benefits - Summary details for 2003/4 to 2010/11 years
;
b)
Early release of superannuation benefits - Specific details for 2003/4 to 2011/12 (to date) years
; and
c)
Extract of 2009/10 APRA Annual Report
.

Links/Documents

ID: ​2011/4

: Documents that report the total amount held by superannuation trusts in Australia each year from 2001 to present. (Australian Prudential Regulation Authority)

Title: Documents that report the total amount held by superannuation trusts in Australia each year from 2001 to present.
​Six publicly available statistical publications consisting of:
a) APRA's Annual Superannuation Bulletin for the years 2007, 2008, 2009 and 2010;
b) APRA's March 2011 Quarterly Superannuation Performance publication; and
c) APRA's Insight publication - celebrating 10 years of superannuation data collection 1996 - 2006.

ID: 2011/2

: ​Request for APRA's schedule of public examinations conducted by PPB Advisory in relation to Trio. (Australian Prudential Regulation Authority)

Title: ​Request for APRA's schedule of public examinations conducted by PPB Advisory in relation to Trio.
​Two documents available:
a)
Schedule 1 Trio Examinations
; and
b)
Schedule 2 Trio Examinations
.

Links/Documents

ID: 2016/02​

: Correspondence between officers of ASIC and officers of APRA in relation to the Applicant’s previous FOI request... (Australian Prudential Regulation Authority)

Title: Correspondence between officers of ASIC and officers of APRA in relation to the Applicant’s previous FOI request of 26 September 2011.Copies of a redacted version of the ‘Joint Protocol for the Co-operation between APRA and ASIC pursuant to the Memorandum of Understanding of 18 May 2010, or any document that describes how to redact the Joint Protocol.
Seven emails between APRA and ASIC officers relating to the Applicant’s FOI request of 26 September 2011.

ID: 2011/10

: Guidance notes, guidelines, procedure manual or similar documents that have been issued by APRA to trustees of... (Australian Prudential Regulation Authority)

Title: Guidance notes, guidelines, procedure manual or similar documents that have been issued by APRA to trustees of regulated employer-sponsored superannuation trusts which relate to the requirements in s 58 of theSuperannuation Industry (Supervision) Act 1993and r 4.03 of theSuperannuation Industry (Supervision) Regulations 1994.
The following documents were released in full:
a)
Superannuation Circulars II.D.1; III.A.2; III.A.3;
b)
Superannuation FAQ 13.1;
c)
Draft SPG 521; and
d)
SPG 200.
All documents above are available at
www.apra.gov.au/

Links/Documents

ID: 2011/8

: Correspondence between the Parliamentary Joint Committee on Corporations and Financial Services and APRA between 1... (Australian Prudential Regulation Authority)

Title: Correspondence between the Parliamentary Joint Committee on Corporations and Financial Services and APRA between 1 January 2011 and 1 November 2011.
Correspondence between the Parliamentary Joint Committee on Corporations and Financial Services and APRA between 1 January 2011 and 1 November 2011 (edited under section 22 of the
Freedom of Information Act
1982
for relevance).

ID: 2011/9

: Documents relating to successor fund transfers.​ (Australian Prudential Regulation Authority)

Title: Documents relating to successor fund transfers.​
Three publicly available documents:
a)
Superannuation Circular No I.C.4 ‘Equivalent Rights’ For Members In Successor Fund Transfers
;
b)
Superannuation Circular No II.A.6 Winding-Up A Superannuation Fund
;
c)
Letter to Trustees: Operational and governance risk issues to consider when implementing change
.

Links/Documents

ID: 2013/01​

: Documents and instructions relating to the registration of an APRA regulated superannuation fund in 1995. (Australian Prudential Regulation Authority)

Title: Documents and instructions relating to the registration of an APRA regulated superannuation fund in 1995.
Superannuation Circular No. III.A.1 - Notifcation to the Commissioner to become a regulated superannuation fund under the Superannuation Industry (Supervision) Act 1993. Published in April 1994 by the Insurance and Superannuation Commission.

ID: 2012/10

: Internal review of APRA's decision relating to disclosure log number 2011/5. (Australian Prudential Regulation Authority)

Title: Internal review of APRA's decision relating to disclosure log number 2011/5.
The Memorandum of Understanding between APRA and ASIC dated 18 May 2010
; and
The Joint Protocol for Co-Operation between APRA and ASIC pursuant to the Memorandum of Understanding of 18 May 2010 dated 16 March 2011.

Links/Documents

ID: 2011/6

: The Memorandum of Understanding between APRA and ASIC dated 18 May 2010 and the Joint Protocol arrangement of June 2010. (Australian Prudential Regulation Authority)

Title: The Memorandum of Understanding between APRA and ASIC dated 18 May 2010 and the Joint Protocol arrangement of June 2010.
The Memorandum of Understanding between APRA and ASIC dated 18 May 2010
; and
The Joint Protocol for Co-Operation between APRA and ASIC pursuant to the Memorandum of Understanding of 18 May 2010 dated June 2010.

Links/Documents

ID: 2011/7

: ​Deed of Variation of the AusBev Superannuation Fund, signed by Mr Ken Jarrett dated 26 August 1986. (Australian Prudential Regulation Authority)

Title: ​Deed of Variation of the AusBev Superannuation Fund, signed by Mr Ken Jarrett dated 26 August 1986.
​Deed of Variation between Elders IXL Limited and Elders Superannuation LTD dated 26 August 1986.

ID: ​2014/02

: Documents which relate to the assignment or transfer of the pre -1 July 1981 liabilities of AFG Insurances Limited,... (Australian Prudential Regulation Authority)

Title: Documents which relate to the assignment or transfer of the pre -1 July 1981 liabilities of AFG Insurances Limited, such as:(i) any agreement or Deed by which such liabilities were assigned (e.g., to National Insurance Company of New Zealand Limited, or any other entity); and/or(ii)any approvals, notices issued by APRA in that regard.
A newspaper article and insurance record publication detailing AFG Insurances Limited’s sale of its general portfolio to the National Insurance Company of New Zealand Ltd.

ID: 2012/01

: Guidelines or policy documents relating to:a) when APRA officers should refer complaints concerning financial... (Australian Prudential Regulation Authority)

Title: Guidelines or policy documents relating to:a) when APRA officers should refer complaints concerning financial services or regulated superannuation funds to ASIC; andb)​ when APRA officers should refer matters to ASIC during an investigation.
A modified version of the Joint Protocol for Co-Operation between APRA and ASIC pursuant to the Memorandum of Understanding of 18 May 2010 dated 16 March 2011.

ID: 2011/5

: Request for copies of certain documents relating to an earlier FOI request by the Applicant. (Australian Prudential Regulation Authority)

Title: Request for copies of certain documents relating to an earlier FOI request by the Applicant.
A file note and two memoranda with personal information of the Applicant omitted.

ID: 2012/06

: ​Request for certain correspondence and notes relating to an earlier FOI request. (Australian Prudential Regulation Authority)

Title: ​Request for certain correspondence and notes relating to an earlier FOI request.
Internal APRA emails, memo and file note, and correspondence between APRA and CCSL Limited regarding an earlier FOI request.

ID: 2011/11

: ​Operations of Private Health Insurers Report 2014-2015 (Australian Prudential Regulation Authority)

Title: ​Operations of Private Health Insurers Report 2014-2015
One publicly available document:
Operations of Private Health Insurers Report
.

Links/Documents

ID: 2016/01

: Documents which disclose figures relating to early release of superannuation benefits. (Australian Prudential Regulation Authority)

Title: Documents which disclose figures relating to early release of superannuation benefits.
Three publicly available documents:
a)
Early release of superannuation benefits - Summary details for 2003/4 to 2010/11 years
;
b)
Early release of superannuation benefits - Specific details for 2003/4 to 2011/12 (to date) years
; and
c)
Extract of 2009/10 APRA Annual Report
.

Links/Documents

ID: 2011/4

: Documents relating to an earlier FOI request by the Applicant. (Australian Prudential Regulation Authority)

Title: Documents relating to an earlier FOI request by the Applicant.
Internal email correspondence and memorandum with exempt material and personal information of the Applicant omitted.

ID: 2012/12

: Document relating to successor fund transfers.​ (Australian Prudential Regulation Authority)

Title: Document relating to successor fund transfers.​
Superannuation Circular No I.C.4 ‘Equivalent Rights’ For Members In Successor Fund Transfers
.

Links/Documents

ID: 2013/02​

: ​Documents relating to APRA's risk based supervision process. (Australian Prudential Regulation Authority)

Title: ​Documents relating to APRA's risk based supervision process.
​Two publicly available documents:
a)
The APRA Supervision Blueprint
; and
b)
Supervisory Oversight and Response System (SOARS) publication
.

Links/Documents

ID: ​2014/06

: Letters from beneficiaries to APRA in relation to the AXA Staff Superannuation Plan (the Fund) and the enforceable... (Australian Prudential Regulation Authority)

Title: Letters from beneficiaries to APRA in relation to the AXA Staff Superannuation Plan (the Fund) and the enforceable undertaking entered into by the trustee of the Fund dated 30 May 2005.
Modified versions of letters from beneficiaries to APRA (with identity and all other personal information omitted) in relation to the Fund and the enforceable undertaking entered into by the trustee of the Fund dated 30 May 2005.

ID: 2011/1

: ​Documents which relate to the assignment or transfer of the pre -1 July 1981 liabilities of AFG Insurances... (Australian Prudential Regulation Authority)

Title: ​Documents which relate to the assignment or transfer of the pre -1 July 1981 liabilities of AFG Insurances Limited, such as:(i) any agreement or Deed by which such liabilities were assigned (e.g., to National Insurance Company of New Zealand Limited, or any other entity); and/or(ii) any approvals, notices issued by APRA in that regard.
A newspaper article and insurance record publication detailing AFG Insurances Limited’s sale of its general portfolio to the National Insurance Company of New Zealand Ltd.

ID: ​2012/01

: Documents relating to successor fund transfers. (Australian Prudential Regulation Authority)

Title: Documents relating to successor fund transfers.
Three publicly available documents:
a)
Superannuation Circular No I.C.4 ‘Equivalent Rights’ For Members In Successor Fund Transfers
;
b)
Superannuation Circular No II.A.6 Winding-Up A Superannuation Fund
;
c)
Letter to Trustees: Operational and governance risk issues to consider when implementing change
.

Links/Documents

ID: 2013/1

: Document relating to successor fund transfers. (Australian Prudential Regulation Authority)

Title: Document relating to successor fund transfers.
Superannuation Circular No I.C.4 ‘Equivalent Rights’ For Members In Successor Fund Transfers
.

Links/Documents

ID: 2013/2

: Documents that report the total amount held by superannuation trusts in Australia each year from 2001 to present. (Australian Prudential Regulation Authority)

Title: Documents that report the total amount held by superannuation trusts in Australia each year from 2001 to present.
Six publicly available statistical publications consisting of:
a) APRA's Annual Superannuation Bulletin for the years 2007, 2008, 2009 and 2010;
b) APRA's March 2011 Quarterly Superannuation Performance publication; and
c) APRA's Insight publication - celebrating 10 years of superannuation data collection 1996 - 2006.

ID: 2011/2

: Part 23 of the SIS Act prior to September 2009. (Australian Prudential Regulation Authority)

Title: Part 23 of the SIS Act prior to September 2009.
Part 23 of the Superannuation Industry (Supervision) Act 1993 Superseded
(effective date 1 July 2009).

Links/Documents

ID: ​2014/04

: The Memorandum of Understanding between APRA and ASIC dated 18 May 2010 and the Joint Protocol arrangement of June 2010. (Australian Prudential Regulation Authority)

Title: The Memorandum of Understanding between APRA and ASIC dated 18 May 2010 and the Joint Protocol arrangement of June 2010.
The Memorandum of Understanding between APRA and ASIC dated 18 May 2010
; and
The Joint Protocol for Co-Operation between APRA and ASIC pursuant to the Memorandum of Understanding of 18 May 2010 dated June 2010.

Links/Documents

ID: 2011/7

: Letter sent by APRA to Corporate Combined Superannuation Pty Ltd confirming registration of a superannuation fund. (Australian Prudential Regulation Authority)

Title: Letter sent by APRA to Corporate Combined Superannuation Pty Ltd confirming registration of a superannuation fund.
Letter sent by APRA to Corporate Combined Superannuation Pty Ltd dated 20 April 2006

ID: ​2017/01

: Request for documents including details of, and the timeframe for, the implementation of Stronger Super reforms. (Australian Prudential Regulation Authority)

Title: Request for documents including details of, and the timeframe for, the implementation of Stronger Super reforms.
Two publicly available documents:
a)
The Superannuation Legislation Amendment (Trustee Obligations and Prudential Standards) Bill 2012
; and
b)
Explanatory Memorandum - The Superannuation Legislation Amendment (Trustee Obligations and Prudential Standards) Bill 2012
.

Links/Documents

ID: 2012/08

: Section 56 of the APRA Act 1998. (Australian Prudential Regulation Authority)

Title: Section 56 of the APRA Act 1998.

Section 56 of the Australian Prudential Regulation Authority Act 1998
.

Links/Documents

ID: ​2014/07

: Documents and instructions relating to the Professional Pensions Pooled Superannuation Trust's (PST) election to... (Australian Prudential Regulation Authority)

Title: Documents and instructions relating to the Professional Pensions Pooled Superannuation Trust's (PST) election to become a regulated superannuation fund in 1995.
1. Blank election form to become a regulated superannuation fund with instructions published by the Insurance and Superannuation Commission.
2. Provision of prescribed information under the Superannuation Industry (Supervision) Act 1993 completed by the CPP Superannuation Investment Pool dated 9 October 1995.

ID: 2012/11

: ​Request for documents about APRA's prudential reviews of Trio. (Australian Prudential Regulation Authority)

Title: ​Request for documents about APRA's prudential reviews of Trio.
​One publicly available document:
APRA's Submission to the Parliamentary Joint Committee on Corporations and Financial Services dated 24 August 2011
.

Links/Documents

ID: ​2015/01

: Documents relating to APRA's investigation of a complaint.​ (Australian Prudential Regulation Authority)

Title: Documents relating to APRA's investigation of a complaint.​
Two publicly available documents:
a) NRMA Product Disclosure Statement and advertising material;
b) Printout from NRMA website (product terms and conditions).​

ID: 2013/03​

: ​Founding Deeds and Deeds of Variation of the AusBev Superannuation Fund. (Australian Prudential Regulation Authority)

Title: ​Founding Deeds and Deeds of Variation of the AusBev Superannuation Fund.

Deed of Variation between Elders IXL Limited and Elders Superannuation LTD dated 26 August 1986.

ID: ​2014/01

: ​Document relating to APRA's view of sound investment risk management practice. (Australian Prudential Regulation Authority)

Title: ​Document relating to APRA's view of sound investment risk management practice.
Prudential Practice Guide SPG 530 Investment Governance.

Links/Documents

ID: ​2014/05

: Request for the current FOI Delegations (Australian Prudential Regulation Authority)

Title: Request for the current FOI Delegations
APRA's FOI Delegations
dated 19 April 2012

Links/Documents

ID: 2016/04

: The audited accounts and auditor's report of AustralianSuper for the year ended 30 June 2011. (Australian Prudential Regulation Authority)

Title: The audited accounts and auditor's report of AustralianSuper for the year ended 30 June 2011.
2 publicly available documents consisting of:
a) The audited accounts of AustralianSuper for the year ended 30 June 2011.
b) The auditor's report for AustralianSuper for the year ended 30 June 2011.

ID: 2012/09

: Request for copies of certain documents relating to an earlier FOI request by the Applicant. (Australian Prudential Regulation Authority)

Title: Request for copies of certain documents relating to an earlier FOI request by the Applicant.
Two
file notes, two memoranda and two emails with personal information of the Applicant omitted.

ID: 2012/02

: Request for copies of certain documents relating to an earlier FOI request by the Applicant. (Australian Prudential Regulation Authority)

Title: Request for copies of certain documents relating to an earlier FOI request by the Applicant.
A file note and a memorandum with personal information of the Applicant omitted.

ID: 2012/03

: Request for copies of certain documents relating to an earlier FOI request by the Applicant. (Australian Prudential Regulation Authority)

Title: Request for copies of certain documents relating to an earlier FOI request by the Applicant.
A file note and a memorandum with personal information of the Applicant omitted.

ID: 2012/04

: ​Correspondence between officers of ASIC and officers of APRA in relation to the Applicant’s previous FOI... (Australian Prudential Regulation Authority)

Title: ​Correspondence between officers of ASIC and officers of APRA in relation to the Applicant’s previous FOI request of 26 September 2011.Copies of a redacted version of the ‘Joint Protocol for the Co-operation between APRA and ASIC pursuant to the Memorandum of Understanding of 18 May 2010, or any document that describes how to redact the Joint Protocol.
​Seven emails between APRA and ASIC officers relating to the Applicant’s FOI request of 26 September 2011.

ID: 2011/10

: Documents which relate to investments in superannuation administration companies by superannuation funds. (Australian Prudential Regulation Authority)

Title: Documents which relate to investments in superannuation administration companies by superannuation funds.
Superannuation Circulars II.D.1; II.D.5 and III.A.4.
These documents are available at
www.apra.gov.au

Links/Documents

ID: 2012/07
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