Australian Securities and Investments Commission
I Am Writing To Request, Under The Freedom Of Information Act 1982 (cth), The Following Records Of ASIC Officials Dayle Buckley, Kelly Rodgers, Rhys Bollen And Lisa Saunders For The Period 13…
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I Am Writing To Request, Under The Freedom Of Information Act 1982 (cth), The Following Records Of ASIC Officials Dayle Buckley, Kelly Rodgers, Rhys Bollen And Lisa Saunders For The Period 13 January 2020 To 31 January 2020 Relating To Mayfair 101, IPO Wealth Pty Ltd, Mayfair Wealth Partners Pty Ltd, Quattro Capital Group Pty Ltd, IPO Wealth Fund, Vasco Trustees Ltd, D H Flinders Pty Ltd And Mr Craig Dunstan: All Internal Records Including Emails, Phone Messages Including Whatsapp Messages, File Attachments, Internal Notes, Memos And Documents Sent, Received, Written Or Otherwise Between: I. The Above Mentioned Officers; And Ii. The Above Mentioned Officers And The Following ASIC Officials: 1. Karen Chester; 2. Joanna Bird; 3. Hugh Copley; And 4. Sharon Concisom. All Internal Records Of Any Meeting(s) Between ASIC Officers And Mr Craig Dunstan Of Vasco Trustees Limited On Or Around 29 January 2020 Including But Not Limited To A List Of Attendees, Files Notes, Agenda Items, Meeting Invitation(s) And Action Items Arising From The Meeting(s).
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ASIC released internal communications from January 2020 regarding enforcement action against Mayfair 101, IPO Wealth Pty Ltd, and related entities involving Craig Dunstan of Vasco Trustees Ltd. Documents include email exchanges between ASIC senior managers in the Financial Services Enforcement team (Kelly Rodgers, Dayle Buckley, Lisa Saunders) and investment management specialists, discussing investigation referrals and advertising activities. Communications reference a referral process for Mayfair/IPO matters that required formal submission despite work already being underway. One email notes that Mayfair had restarted its advertising campaign following the Christmas period as of January 20, 2020. The disclosure includes records of internal coordination and procedural matters regarding the handling of the investigation but does not reveal specific misconduct allegations, enforcement outcomes, or penalties in the excerpted portions provided.
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