116 releases from ASIC

1. ASIC ASIC Released 21 Feb 2025

   A Copy Of The 2019 ASIC Questionnaires Relating To The Operation Of Managed Discretionary Accounts And The Answers. Any Other Internal Unpublished Reports Or Briefings On The Topic Of Mdas.

   FOI 004-2025 94 pages PDF

   ASIC's Investment Managers team proposed introducing net tangible assets (NTA) requirements for managed discretionary account operators in December 2019, citing significant industry growth that may have been driven by FOFA reforms and lighter regulatory requirements compared to…

2. ASIC ASIC Released 13 Feb 2025

   Formal Briefings To The Treasurer And Assistant Treasurer, Including Their Offices, On Asic's Investigation Into Regional Express And The Four Directors.

   FOI 295-2024 2 pages ZIP archive

   ASIC briefed the Treasurer and Assistant Treasurer on 31 July 2024 regarding its ongoing investigation into Regional Express Holdings (REX) and four directors for alleged continuous disclosure breaches. The investigation concerns whether REX's February 2023 profit guidance for…

3. ASIC ASIC Released 11 Feb 2025

   Documents Held By ASIC On Unpaid Fines It Has Issued. To Narrow This Search, I Seek Asic's Latest Aggregate Estimate Of The Total $ Of Unpaid Fines, Any Descriptive Details Of Who The Money Is Owed…

   FOI 003-2025 1 page PDF

   ASIC holds $62.904 million in overdue pecuniary penalties from 24 defendants, with the entire amount impaired as unrecoverable under Australian Accounting Standards. The defendants include individuals and entities across enforcement actions dating from 2014 to 2024, with cases…

4. ASIC ASIC Released 7 Feb 2025

   All Information, Documents, Reports, Investigations, Correspondence Or Otherwise In Relation To Any Investigation, Scam, Report Relating To Or Involving The Following Bank Account Between 2021 – 2022…

   FOI 281-2024 25 pages PDF

   ASIC disclosed correspondence from May-July 2022 regarding investigations into bank accounts used to receive scam funds. The documents show ASIC coordinated with the Australian Financial Crimes Exchange (AFCX) to alert financial institutions about suspicious accounts. Two…

5. ASIC ASIC Released 24 Jan 2025

   Access To A Copy Of The Unredacted Document (excluding The Phone Numbers Of ASIC Staff) Of The Attached Document. In Relation To The Reference In That Document To: “it Appears From The Information…

   FOI 270-2024 6 pages PDF

   This FOI release contains internal ASIC communications from January 2018 discussing regulatory matters related to credit card fees and interest charging practices. The documents reference a court action against American Express regarding merchant surcharge disclosure obligations…

6. ASIC ASIC Released 16 Jan 2025

   A Document That Outlines The Statutory Obligations That May Apply To The Agency.

   FOI 285-2024 1 page PDF

   ASIC released a comprehensive list of statutory obligations applicable to the agency as of December 2024. The document catalogs over 50 Commonwealth laws and regulations governing ASIC's operations across employment law, procurement, FOI, privacy, work health and safety…

7. ASIC ASIC Released 18 Dec 2024

   Unredacted Copies Of The Progress Report Documents Previously Provided As Per Item 71 Of Asic’s FOI Disclosure Log Archive (2011-2017), Which Are Described In The Log As In Response To A Request For…

   FOI 253-2024 115 pages PDF

   ASIC's investigation into ABC Learning Centres Limited, initiated in May 2008, examined alleged misconduct by company directors and officers including false or misleading statements and breaches of directors' duties. The disclosure includes unredacted progress reports…

8. ASIC ASIC Released 16 Dec 2024

   Relevant Code That Is Making Decisions On The Basis Of Submitted Director Name Change Forms Any Associated Documentation, System Design Or Architecture Describing The Specific System Requirements…

   FOI 262-2024 14 pages PDF

   ASIC released user guidance and system documentation for its online form (Form 484) for changing officeholder or member names in company records. The disclosure includes step-by-step instructions for lodging name changes through ASIC's online portal, requiring submission within…

9. ASIC ASIC Released 6 Dec 2024

   All Documents, Emails, Messages And Other Communications (including Decision And Brief Papers) Concerning Christof Melchizedek, Regan Hillyer, The Lumiere Project And The Conscious Crypto Circle…

   FOI 228-2024 33 pages PDF

   ASIC received and is processing a Freedom of Information request concerning misconduct investigations and regulatory coordination related to Christof Melchizedek, Regan Hillyer, The Lumiere Project, and The Conscious Crypto Crypto Circle. The disclosed excerpt shows email…

10. ASIC ASIC Released 4 Dec 2024

    Any Correspondence Or Communications Passing Between ASIC And MFG With Respect To The ASIC Investigation.

    FOI 259-2024 78 pages PDF

    ASIC correspondence with Madison Financial Group (AFSL 246679) from February-March 2019 regarding a section 912C notice issued under the Corporations Act. The notice sought information from Madison Financial Group, with ASIC issuing formal documentation on 25 February 2019 and…

11. ASIC ASIC Released 4 Dec 2024

    Access To …the Invoice And A Document That Contains The Scope Of The Project Related To: Provision Of A Leadership Development Program - Education And Training Services: CORDIS ENTERPRISES PTY LTD –…

    FOI 252-2024 41 pages PDF

    ASIC released its Approach to Market (ATM) document for procurement of a leadership development program for its Communications and Corporate Affairs extended leadership team. The tender (PROC1713), issued to establish improved team performance and culture, sought qualified…

12. ASIC ASIC Released 3 Dec 2024

    All Reports, Warnings Or Notifications In Relation To The Scams (as Defined In Our Letter) Provided To Any Of The Following Financial Institutions Between 6 July 2021 And 28 April 2022: A. Deutsche…

    FOI 231-2024 6 pages ZIP archive

    ASIC disclosed correspondence regarding a loan fraud scam investigation involving an ANZ Bank customer account. Between January and February 2021, scammers used the ANZ account to collect upfront fees from consumers fraudulently solicited for loans that were never provided. ASIC…

13. ASIC ASIC Released 3 Dec 2024

    All Documents Pertaining To The Deregistration Of The Company Which You Hold; And Any Other Documents Or Forms Which Have Been Received And Retained By You In Respect Of The Company From Its…

    FOI 257-2024 1 page ZIP archive

    This disclosure contains a Form 362 lodged by Modern Air Conditioners Pty Ltd (ACN 137 125 065) on 27 July 2022, notifying ASIC of the appointment of Samson K S Chong (registered agent number 42020) as the company's registered agent. The form was signed by director Nash Khan II…

14. ASIC ASIC Released 28 Nov 2024

    Request Access To “all Documents Held By ASIC Concerning Both Magnis Energy Technologies And Hotcopper.com.au.”

    FOI 246-2024 35 pages PDF

    ASIC held documents concerning Magnis Energy Technologies (ASX:MNS) and HotCopper forum discussions, largely consisting of internal correspondence and online forum screenshots. The materials indicate ASIC was investigating complaints related to Magnis and examining HotCopper…

15. ASIC ASIC Released 14 Nov 2024

    I Wish To FOI Copies Of All Bank CEO Briefings Held By ASIC Chair Joe Longo Or Other Senior Members Of The Commission For The Period Of 1 July 2023 To 1 August 2024. For The Purposes Of This FOI This…

    FOI 166-2024 120 pages PDF

    ASIC released documents relating to a July 2023 strategic meeting between ASIC leadership, including Chair Joseph Longo and Commissioner Danielle Press, and the Macquarie Group Board. The meeting agenda covered ASIC organisational changes, including the appointment of three new…

16. ASIC ASIC Released 4 Nov 2024

    Correspondence Between Asic's Markets Supervision Team And The AOFM For The Period Of May 18 2024 To July 26 2024. Correspondence Between Asic's Markets Enforcement Team And The AFOM For The Period…

    FOI 161-2024 44 pages ZIP archive

    ASIC's markets supervision and enforcement teams maintained regular correspondence with the Australian Office of Financial Management (AOFM) between May and July 2024. A May 14 meeting between the agencies resulted in four action items, including ASIC recruiting additional team…

17. ASIC ASIC Released 1 Nov 2024

    Documents Containing Information About The Number, Classification Levels, Type Of Employment (e.g. Full Time, Part Time, Fractional, Casual) Functions And Position Descriptions Of Indigenous Liaison…

    FOI 237-2024 5 pages ZIP archive

    ASIC released a position description for a Reconciliation Action Plan (RAP) Officer role within its People & Development team, classified at EL1 employment level with a salary of $106,709 plus superannuation. The role supports ASIC's reconciliation commitments through three…

18. ASIC ASIC Released 31 Oct 2024

    Correspondence Sent By ASIC To The Government (either The Olsc, The Ags Department Or The AG Personally) About Commonwealth Barrister Rates Of Pay (this Request Excludes Requests For One-Off…

    FOI 183-2024 32 pages PDF

    ASIC sought ongoing approval from the Office of Legal Services Coordination (OLSC) to engage a Commonwealth barrister at higher counsel rates for multiple financial services enforcement matters. The correspondence from 2022-2023 indicates that ASIC required continued legal…

19. ASIC ASIC Released 28 Oct 2024

    …. Documents And Correspondence Created From 25 August 2023 To 1 March 2024 Relating To Media Release 23-298mr, Including Draft Versions Of The Release And Correspondence Between ASIC Personnel About…

    FOI 051-2024 156 pages PDF

    ASIC disclosed internal correspondence from October 2023 regarding the development of Media Release 23-298MR, which announced ASIC's oversight of more than $17.4 million in compensation to retail investors from OTC derivative issuers. The documents show ASIC staff coordinating…

20. ASIC ASIC Released 24 Oct 2024

    Documents Indicating The Following Information About Each Civil And Criminal Penalty Case Commenced In A Court By ASIC (or The Asc), Including, To Avoid Any Confusion, Cases Prosecuted By The…

    FOI 222-2024 29 pages PDF

    ASIC released summary data on its civil and criminal penalty enforcement proceedings from 2011-12 through 2024-25. The disclosure includes aggregate statistics on civil penalty cases commenced and completed by financial year, showing ASIC initiated 168 unique civil proceedings…

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