116 releases from ASIC

1. ASIC ASIC Released 18 Oct 2024

   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…

   FOI 217-2024 132 pages PDF

   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…

2. ASIC ASIC Released 16 Oct 2024

   Please Provide: Final Flight Itinerary(s) (including Associated Costs Of Flights) Final Accommodation Arrangements (including Associated Cost Of That Accommodation) Final Registration Details For Any…

   FOI 202-2024 14 pages PDF

   ASIC released travel itinerary records for Deputy Chair Sarah Jennifer Court's international trip to Japan from 13-16 March 2024. The disclosure includes flight details showing departure from Melbourne on Qantas flight QF0079 in business class on 13 March, arriving Tokyo Narita…

3. ASIC ASIC Released 16 Oct 2024

   Please Provide: Final Flight Itinerary(s) (including Associated Costs Of Flights) Final Accommodation Arrangements (including Associated Cost Of That Accommodation) Final Registration Details For Any…

   FOI 203-2024 25 pages PDF

   ASIC released flight itinerary documents for Chair Joseph Paul Longo's multi-leg international trip from May 24 to June 2, 2024. The itinerary shows business-class flights: Melbourne to Dubai to Athens (May 24-25), Athens to London (May 29), and London to Melbourne (June 1-2)…

4. ASIC ASIC Released 16 Oct 2024

   We Write To Seek Access To The Following Documents Pursuant To The Freedom Of Information Act 1982 (cth): Notices Issued To And Correspondence With Hopkins, His Related Entities (including Trusts)…

   FOI 207-2024 5 pages PDF

   ASIC released documents related to asset freezing proceedings against an individual named Hopkins and his related entities, initiated through interim orders issued on 31 May, 3 June, and 7 June 2022. The disclosure includes notices, correspondence, affidavits, and related…

5. ASIC ASIC Released 4 Oct 2024

   Request For Documents Relating To The ASIC 2023 Culture Survey.

   FOI 133-2024 7 pages ZIP archive

   ASIC disclosed a Commission meeting paper from January 2024 regarding results from its Culture+ diagnostic survey conducted in 2023. The document presents findings from an internal organisational culture assessment that was received in November 2023. ASIC leadership, including…

6. ASIC ASIC Released 3 Oct 2024

   All Documents Held By ASIC That Comment Or Reflect On Submissions Made To The Senate Standing Committees On Finance And Public Administration's Inquiry Into Management And Assurance Of Integrity By…

   FOI 184-2024 3 pages PDF

   ASIC's FOI disclosure comprises ASIC's internal comments on submissions made to the Senate Standing Committee on Finance and Public Administration's inquiry into consulting services integrity. The document reflects on a Senate committee final report examining government…

7. ASIC ASIC Released 3 Oct 2024

   A Report Prepared By Quantium For The Commonwealth Bank Regarding Term Deposits, Prepared Between January 1, 2000 And December 15, 2008.

   FOI 069-2019 26 pages PDF

   A February 2006 Quantium report prepared for Commonwealth Bank analyzes term deposit pricing strategies using evidence-based modeling to understand how interest rate changes affect customer acquisition and retention. The report examines four strategic scenarios: meeting balance…

8. ASIC ASIC Released 30 Sep 2024

   Documents Concerning Disclosures Of Interests And Conflicts Of Interests Relating To James Shipton, Joe Longo And Sarah Court.

   FOI 132-2024 7 pages ZIP archive

   ASIC released minutes from its Commission Enforcement Committee meeting held on 4 February 2020 and a conflicts of interest register documenting declarations by senior officials including Chair James Shipton, Joe Longo, and Sarah Court. The disclosed documents show that Shipton…

9. ASIC ASIC Released 20 Sep 2024

   The ASIC Document Titled “gender Affirmation Guidelines” Dated August 2021.

   FOI 174-2024 15 pages PDF

   ASIC's August 2021 Gender Affirmation Guidelines provide workplace support procedures for employees undergoing gender affirmation. The document outlines ASIC's commitment to diversity and inclusion, establishing responsibilities across all staff levels. Key provisions include…

10. ASIC ASIC Released 12 Sep 2024

    I Seek Data Relating To The Number Of Suspicious Activity Reports (sars) Received Annually For The Last 10 Years, Including 2024 Year To Date.

    FOI 178-2024 1 page ZIP archive

    ASIC received 767 Suspicious Activity Reports (SARs) between 2015 and 2024. Reports showed a sharp increase from 4 in 2015 to 139 in 2023, with a slight decline to 117 in 2024 year-to-date. The data demonstrates a sustained upward trend in SAR submissions over the decade, with…

11. ASIC ASIC Released 4 Sep 2024

    A Copy Of Any Emails, Correspondence, Telephone Call Notes Between ASIC Chairman, Joe Longo, And HWL Ebsworth A Copy Of Any Emails, Correspondence, Telephone Call Notes Between Mr Joe Longo And The…

    FOI 165-2024 1 page ZIP archive

    ASIC released correspondence regarding planning for a Sterling Investor meeting held on 17 December 2021, involving communications between ASIC Chairman Joe Longo, HWL Ebsworth (a law firm), and Western Australian government agencies including the Department of Mines, Industry…

12. ASIC ASIC Released 19 Aug 2024

    A copy of the CDDA authorisation by the Minister that was in place until it purportedly lapsed in 2015 A copy of any correspondence, subsequent to the lapsing, from ASIC to the relevant Minister…

    FOI 150-2024 1 page ZIP archive

    The released document is a single-page instrument dated 17 March 2015, signed by Josh Frydenberg as Assistant Treasurer, authorising four ASIC officers to make decisions and approve payments under the Scheme for Compensation for Detriment Caused by Defective Administration…

13. ASIC ASIC Released 14 Aug 2024

    I seek copies of documents related to the appointment of the current CEO as CEO and to his previous role as COO. For each of the above appointments, I seek copies of: Advertisements, external or…

    FOI 112-2024 29 pages ZIP archive

    This FOI release (ASIC FOI 112-2024) comprises emails, position descriptions, job descriptions, selection criteria, recruitment schedules and Commission meeting minutes concerning the recruitment of ASIC's Chief Operating Officer and the later appointment of the Chief Executive…

14. ASIC ASIC Released 14 Aug 2024

    ASIC emails to members of the markets team from October 11 through to October 20 concerning Magnis Energy

    FOI 230-2021 16 pages ZIP archive

    This FOI release comprises internal ASIC emails and attachments from 11 to 20 October 2021 concerning Magnis Energy Technologies Limited, handled by the Markets Enforcement team in the Office of Enforcement. The correspondence covers the production of documents in response to a…

15. ASIC ASIC Released 9 Aug 2024

    Details of the debenture holder/trustee of Latitude Financial Services (Pty Ltd)/Latitude Group Holdings Limited

    FOI 154-2024 2 pages PDF

    This FOI release (FOI 154-2024) comprises a single ASIC Form 722, a notice under section 283BC of the Corporations Act 2001 appointing a trustee for holders of debentures. The borrower is Latitude Group Holdings Limited (ACN 604 747 391, Docklands, Victoria), and the appointed…

16. ASIC ASIC Released 9 Aug 2024

    Policies and Guidelines: Current documents that outline the policies, guidelines, or directives that allow transgender women to use women's toilets and other gender-specific facilities in…

    FOI 162-2024 15 pages PDF

    This FOI release (reference FOI 162-2024, released 9 August 2024) contains an ASIC internal document titled "Gender Affirmation Guidelines", dated August 2021. The guidelines apply ASIC's Gender Affirmation Policy to all team members and give guidance to team members affirming…

17. ASIC ASIC Released 6 Aug 2024

    Correspondence between ASIC's markets team and the AOFM for the period of January 1 2023 to May 17 2024, in reference to ANZ Bank

    FOI 102-2024 3 pages ZIP archive

    This ASIC FOI release (ASIC FOI 102-2024) comprises correspondence between ASIC's markets team and the Australian Office of Financial Management (AOFM), covering January 2023 to May 2024 and relating to ANZ Bank. The emails are brief: a 9 January 2024 message from AOFM staff…

18. ASIC ASIC Released 5 Aug 2024

    A description of all Artificial Intelligence (AI) tools (e.g. applications) and/or capabilities (e.g. Large Language Models, Neural Networks) currently being used (whether by ownership or licence)…

    FOI 105-2024 75 pages PDF

    This FOI release (FOI 105-2024) is a schedule of artificial intelligence tools and capabilities used, trialled or considered by ASIC to support productivity or agency functions, alongside AI-generated summaries of Parliamentary inquiry submissions. Tools in use include AWS…

19. ASIC ASIC Released 25 Jul 2024

    Number of whistleblower reports received each month from Jan 2018 – June 2024

    FOI 131-2024 3 pages PDF

    This FOI release (ASIC FOI 131-2024) contains statistical tables rather than investigation files or correspondence. It reports the number of whistleblower reports of alleged misconduct received by ASIC from January 2018 to 24 June 2024, totalling 3,346, with monthly figures…

20. ASIC ASIC Released 24 Jul 2024

    We are seeking information pertaining to the reinstatement of Boral Bricks Western Australia Pty Ltd ACN 008 674 244. Specifically, we request a copy of the Form 581 Application for reinstatement of…

    FOI 123-2024 5 pages ZIP archive

    This FOI release (FOI 123-2024) concerns the reinstatement of Boral Bricks Western Australia Pty Ltd, a deregistered company, and comprises five parts: a Form 581 application for reinstatement, supporting information, a web enquiry dated 3 April 2024, a system file note dated 8…

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