116 releases from ASIC

1. ASIC ASIC Released 24 Jul 2024

   All correspondence between ASIC and Nuix concerning the investigation into Nuix CEO Jonathan Rubinsztein and allegations of insider trading

   FOI 077-2024 91 pages PDF

   The release comprises correspondence between ASIC and Nuix Limited relating to an investigation into alleged insider trading by Nuix chief executive Jonathan Rubinsztein, following a Change of Director's Interest Notice lodged with the ASX on 8 September 2022. It includes a…

2. ASIC ASIC Released 19 Jul 2024

   All correspondence between Magnis Energy Technologies and ASIC for the period of January 1 2024 through to April 1 2024

   FOI 070-2024 1 page PDF

   The release comprises a single email, dated 5 March 2024, from an ASIC Markets Enforcement investigator to lawyers at K&L Gates, serving two notices on Magnis Energy Technologies Ltd under sections 19 and 33 of the Australian Securities and Investments Commission Act 2001. The…

3. ASIC ASIC Released 17 Jul 2024

   Eight examples of ASIC stating that it was no longer authorised to determine CDDA claims

   FOI 142-2024 7 pages ZIP archive

   The release comprises eight documents concerning ASIC's position on the Compensation for Detriment caused by Defective Administration (CDDA) Scheme. They include internal emails from July 2019 in which ASIC's Executive Director confirmed that ASIC had not held authorisation to…

4. ASIC ASIC Released 9 Jul 2024

   I wish to FOI all briefings to ASIC chair Joe Longo concerning moves by Commonwealth Bank of Australia to dump bonus caps. The time period for this FOI should cover the period of January 2023 through…

   FOI 092-2024 4 pages ZIP archive

   The release comprises four ASIC documents relating to the Commonwealth Bank of Australia's (CBA) proposed changes to its lender remuneration scheme, known internally as Project Lily, which would remove caps linking variable pay to fixed pay for home lending staff. The documents…

5. ASIC ASIC Released 9 Jul 2024

   I have spoken to a number of Australians who have lost millions to financial advisers who have acted inappropriately with their funds. This includes financial advisers who have been full-time…

   FOI 117-2024 1 page ZIP archive

   This FOI release (FOI 117 - 2024) contains ASIC summary statistics on administrative outcomes against financial advisers for the 2023-24 financial year to 11 June 2024. It records 37 outcomes relating to 31 advisers, comprising 24 banning actions (ranging from 3 years to…

6. ASIC ASIC Released 5 Jul 2024

   I request a copy of any submissions by the Australian Securities and Investments Commission to Treasury’s Quality of Advice Review and its multiple subsequent consultations, and/or its submission to…

   FOI 106-2024 5 pages ZIP archive

   This FOI release comprises ASIC's October 2022 confidential submission to Treasury's Quality of Advice Review consultation paper, largely redacted under sections 37, 47C and 47E(d), alongside a December 2023 draft surveillance report, "Review of superannuation trustee practices…

7. ASIC ASIC Date not published

   I'm seeking access to the following: • Provisional liquidator and liquidator reports for M101 Nominees Pty Ltd. These are referenced in the below cases: o Australian Securities and Investments…

   FOI 2627-026 1 page ZIP archive

   The document is the Provisional Liquidators' Report on M101 Nominees Pty Ltd (Provisional Liquidators Appointed), dated 24 September 2020, prepared under a Federal Court order of 13 August 2020 in proceeding VID524/2020. It concerns a company that raised about $65.6 million from…

8. ASIC ASIC Date not published

   Documents Concerning Breach Reports Received About Insurance Australia Group Limited

   FOI 177-2021 No document available

   No summary: no document is available for this release

9. ASIC ASIC Date not published

   Documents Relating To The Application Made By Better Lending Pty Ltd For An Australian Credit Licence.

   FOI 144-2022 1 page PDF

   This document is an insurance certificate confirming that Better Lending Pty Ltd held professional indemnity insurance as part of its application for an Australian Credit Licence. The policy was issued by Lloyds of London through Dual Australia Pty Ltd, covering the period from…

10. ASIC ASIC Date not published

    Reports Or Memos, And Any Correspondence Between ASIC And The Asx, Relating To The Following Companies, Between 2018 And 2021: XPD SOCCER GEAR GROUP LIMITED DONGFANG MODERN AGRICULTURE HOLDING GROUP…

    FOI 046-2023 5 pages ZIP archive

    ASIC released documents concerning two ASX-listed companies between 2018 and 2021. For XPD Soccer Gear Group Limited, a May 2018 memo addressed the company's application for a time extension to hold its annual general meeting, delayed from May to August 2018. The company had…

11. ASIC ASIC Date not published

    The Documents I Am Seeking Only Include Email Correspondence. The Documents Include Information Received And Sent By Asic's Media Team. The Recipients Include, But Are Not Limited To, Asic’s Media…

    FOI 169-2023 4 pages PDF

    This FOI disclosure contains email correspondence from ASIC's Media Unit regarding a Citizens Party media release from October 2022 criticizing ASIC's complaint investigation rates. The release, triggered by the Sterling Income Trust collapse inquiry, argues ASIC investigates…

12. ASIC ASIC Date not published

    All Correspondence Between Magnis Energy Technologies And ASIC For The Period Of 2023.

    FOI 005-2024 1 page PDF

    ASIC issued a section 33 notice to Magnis Energy Technologies Ltd in July 2023, requiring the company to produce specified books and records by 18 August 2023. The notice was served by ASIC's Markets Enforcement team on the company's representative. Section 33 of the ASIC Act…

13. ASIC ASIC Date not published

    Emails Sent By ASIC Between 1 And 5 July 2024, Where: The Author Is An ASIC Executive Director (or Equivalent), Including Acting Executive Director The Email Relates In Any Way To The SERC Report On…

    FOI 141-2024 264 pages PDF

    ASIC Executive Director Tim Mullaly circulated to executives on 1 July 2024 a transcript of an ABC Radio National Breakfast interview featuring Treasurer Jim Chalmers. The interview, conducted that morning by Patricia Karvelas, covered government cost-of-living measures (tax…

14. ASIC ASIC Date not published

    Reports Of Serious Contraventions Of The Law Related To General Insurance Made By AFCA To ASIC Under S1052E Of The Corporations Act, Received By ASIC From 1 July 2021 Onwards. Internal Correspondence…

    FOI 185-2024 35 pages PDF

    AFCA notified ASIC in October 2022 of a possible serious contravention by an AFCA member insurer involving poor claims handling practices. The notification, made under AFCA Rules and ASIC Regulatory Guide 267, identified potential breaches of section 912(1)(a) of the…

15. ASIC ASIC Date not published

    Copies Of All Email Correspondence Relating To The ASX CHESS Outage In December 2024, Between Email Addresses Containing Asx.com.au And Asic, For The Time Period December 19 2024 To February 6 2025.

    FOI 026-2025 4 pages PDF

    ASIC received correspondence with ASX between December 19, 2024 and February 6, 2025 regarding the ASX CHESS settlement system outage on December 20, 2024. The incident prevented batch settlement completion on the designated settlement day—described as unprecedented—forcing…

16. ASIC ASIC Date not published

    I Seek Copies Of Correspondence Between ANZ CEO Nuno Matos And Asic. I Seek A Copy Of Correspondence Sent By Nuno Matos To ASIC Upon His Entry To The Role Of Ceo.

    FOI 128-2025 1 page PDF

    ASIC released correspondence between ANZ CEO Nuno Matos and ASIC Executive Director Joseph Longo dated 12 May 2025. The disclosure comprises an introductory email from Matos's executive assistant transmitting an attached letter from the newly appointed CEO to Longo. The document…

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