Footnotes

Chapter 1 - Statutory oversight

[1]        www.aph.gov.au/Senate/committee/corporations_ctte/asic/index.htm

Chapter 2 - Matters considered at oversight hearing

[1]        Parliamentary Joint Committee on Corporations and Financial Services, Statutory oversight of the Australian Securities and Investment Commission, February 2011, pp 3–5.

[2]        Mr Mark Adams, Senior Executive Leader, ASIC, Proof Committee Hansard, 11 March 2011, p. 25.

[3]        Mr Malcolm Starr, Executive General Manager, Regulatory and Public Policy, ASX, Proof Committee Hansard, 11 March 2011, p. 3.

[4]        Mr John Yanco, Regional Commissioner for New South Wales, ASIC, Proof Committee Hansard, 11 March 2011, p. 22.

[5]        Mr Kevin Lewis, Executive and Chief Compliance Officer, ASX, Proof Committee Hansard, 11 March 2011, p. 3; Mr Adam, ASIC, Proof Committee Hansard, 11 March 2011, p. 25.

[6]        Mr Lewis, ASX, Proof Committee Hansard, 11 March 2011, pp 3–4; Mr John Yanco, Regional Commissioner for New South Wales, ASIC, Proof Committee Hansard, 11 March 2011, p. 22.

[7]        Mr John Yanco, ASIC, Proof Committee Hansard, 11 March 2011, p. 22.

[8]        Ms Belinda Gibson, Deputy Chairman, ASIC, Committee Hansard, 24 November 2010, p. 23.

[9]        Mr Yanco, ASIC, Proof Committee Hansard, 11 March 2011, p. 27.

[10]      Mr Starr, ASX, Proof Committee Hansard, 11 March 2011, p. 6

[11]      Mr Lewis, ASX, Proof Committee Hansard, 11 March 2011, p. 7.

[12]      The Hon Wayne Swan MP, Deputy Prime Minister and Treasurer, the Hon Bill Shorten MP, Assistant Treasurer, 'Government approves new financial markets competitor', Media release,
4 May 2011.

[13]      ASIC, 'ASIC announces timetable for the introduction of market competition', Media release 11-38MR, 3 March 2011.

[14]      ASIC, 'ASIC announces timetable for the introduction of market competition', Media release 11-38MR, Attachment 2, p. 2, 3 March 2011.

[15]      ASIC, 'ASIC publishes final competition market integrity rules', Media release 11-87MR, 29 April 2011.

[16]      ASIC, 'ASIC publishes final competition market integrity rules', Media release 11-87MR, 29 April 2011.

[17]      Mr Adams, ASIC, Proof Committee Hansard, 11 March 2011, p. 29.

[18]      ASIC, 'ASIC announces timetable for the introduction of market competition', Media release 11-38MR, Attachment 1, p. 2, 3 March 2011.

[19]      ASIC, 'ASIC announces timetable for the introduction of market competition', Media release 11-38MR, Attachment 1, p. 2, 3 March 2011.

[20]      Parliamentary Joint Committee on Corporations and Financial Services, Statutory oversight of the Australian Securities and Investment Commission, February 2011, pp 3–5.

[21]      Mr Adams, ASIC, Proof Committee Hansard, 11 March 2011, p. 30.

[22]      ASIC, 'ASIC publishes final competition market integrity rules, Media release 11-87MR, Friday 29 April 2011; Mr Adams, ASIC, Proof Committee Hansard, 11 March 2011, p. 30.

[23]      Mr Warren Day, Regional Commissioner, ASIC, Proof Committee Hansard, 11 March 2011, p. 33.

[24]      Mr Day, ASIC, Proof Committee Hansard, 11 March 2011, p. 33.

[25]      ASIC, answer to question on notice, 11 March 2011 (received 28 April 2011).

[26]      ASIC, answer to question on notice, 11 March 2011 (received 28 April 2011).

[27]      ASIC, answer to question on notice, 11 March 2011 (received 28 April 2011).

[28]      Mr Day, ASIC, Proof Committee Hansard, 11 March 2011, p. 34.

[29]      ASIC, answer to question on notice, 11 March 2011 (received 28 April 2011).

[30]      Mr D'Aloisio, ASIC, Proof Committee Hansard, 11 March 2011, p. 36.

[31]      Mr Day, ASIC, Proof Committee Hansard, 11 March 2011, p. 35.

[32]      ASIC, answer to question on notice, 11 March 2011 (received 28 April 2011).

[33]      Mr Tony D'Aloisio, Chairman, ASIC, Proof Committee Hansard, 11 March 2011, p. 37.

[34]      Mr D'Aloisio, AISC, Proof Committee Hansard, 11 March 2011, p. 37.

[35]      ASIC, 'Overview of ASIC's Storm website', https://storm.asic.gov.au/storm/storm.nsf (viewed 16 May 2011).

[36]      Mr D'Aloisio, ASIC, Proof Committee Hansard, 11 March 2011, p. 36.

[37]      ASIC 'Westpoint investors website', https://westpoint.asic.gov.au/ (viewed 16 May 2011).

[38]      Mr D'Aloisio, AISC, Proof Committee Hansard, 11 March 2011, p. 37.

[39]      ASIC, answer to question on notice, 11 March 2011 (received 28 April 2011).

[40]      Parliamentary Joint Committee on Corporations and Financial Services, Statutory oversight of the Australian Securities and Investment Commission, February 2011, p. 12.

[41]      Mr Day, ASIC, Proof Committee Hansard, 11 March 2011, p. 45.

[42]      ASIC, ASIC Annual Report 09–10, p. 16.

[43]      OLSC, Legal Services Expenditure Report 2009-10, 2010, p. 14.

[44]      Mr D'Aloisio, ASIC, Proof Committee Hansard, 11 March 2011, p. 19; ASIC, '11-29AD Sonray CEO pleads guilty', Media release, 22 February 2011.

[45]      ASIC, Overview of ASIC's Storm Website, https://storm.asic.gov.au/storm/storm.nsf (viewed 15 April 2011).

[46]      Mr D'Aloisio, ASIC, Proof Committee Hansard, 11 March 2011, pp 39 – 40.

[47]      Mr D'Aloisio, ASIC, Proof Committee Hansard, 11 March 2011, p. 19; ASIC, '11-32AD ASIC banks former Storm Financial adviser', Media release, 24 February 2011.

[48]      Department of Finance and Deregulation, 'Table of Agencies subject to the Financial Management and Accountability Act 1997', http://www.finance.gov.au/financial-framework/fma-legislation/fma-agencies.html (viewed 12 April 2011).

[49]      Clause 1.1, Legal Services Directions 2005.

[50]      Mrs Janette Dines, Assistant Secretary, OLSC, Commonwealth Attorney-General's Department, Proof Committee Hansard, 11 March 2011, p. 11.

[51]      Mrs Janette Dines, OLSC, Proof Committee Hansard, 11 March 2011, p. 11.

[52]      Clause 11.1, Legal Services Directions 2005.

[53]      Mr Tony D'Aloisio, Chairman, ASIC, Proof Committee Hansard, 11 March 2011 pp 32–33.

[54]      Mr D'Aloisio, ASIC, Proof Committee Hansard, 11 March 20110, p. 32.

[55]      Mr D'Aloisio, ASIC, Proof Committee Hansard, 11 March 2011, p. 32.

[56]      Mr D'Aloisio, ASIC, Proof Committee Hansard, 11 March 2011, p. 39.

[57]      Mrs Dines, OLSC, Proof Committee Hansard, 11 March 2011, p. 14.

[58]      Mr D'Aloisio, ASIC, Proof Committee Hansard, 29 April 2010, pp 24 – 25.

[59]      Mr D'Aloisio, ASIC, Proof Committee Hansard, 11 March 2011, p. 33.

[60]      Mrs Dines, OLSC, Proof Committee Hansard, 11 March 2011, p. 16.

[61]      Mrs Dines, OLSC, Proof Committee Hansard, 11 March 2011, p. 17.

[62]      ASIC, answer to question on notice, 11 March 2011 (received 28 April 2011).

[63]      OLSC, Legal Services Expenditure Report 2009-10, pp 21, 27.

[64]      Mrs Dines, OLSC, Proof Committee Hansard, 11 March 2011, pp 13–14.

[65]      Mrs Dines, OLSC, Proof Committee Hansard, 11 March 2011, p. 13.

[66]      Mrs Dines, OLSC, Proof Committee Hansard, 11 March 2011, p. 13.

[67]      Mrs Dines, OLSC, Proof Committee Hansard, 11 March 2011, p. 13.

[68]      Parliamentary Joint Committee on Corporations and Financial Services, Statutory oversight of the Australian Securities and Investment Commission, June 2010, p. 13.

[69]      http://www.moneysmart.gov.au/.

[70]      ASIC 'MoneySmart.gov.au – simple guidance you can trust', Media release 11-4MR, 15 March 2011.

[71]      Mr D'Aloisio, ASIC, Proof Committee Hansard, 11 March 2011, p. 20.

[72]      ASIC, 'MoneySmart.gov.au – simple guidance you can trust', Media release 11-4MR, 15 March 2011.

[73]      MoneySmart, About the strategy, http://www.financialliteracy.gov.au/about-the-strategy (accessed 2 May 2011).

[74]      ASIC, 'MoneySmart.gov.au – simple guidance you can trust', Media release 11-4MR, 15 March 2011.

[75]      ASIC, ASIC's registry services Twitter pilot, http://www.asic.gov.au/asic/asic.nsf/byheadline/ASIC+Twitter+pilot?openDocument (accessed 2 May 2011).

[76]      Mr Day, ASIC, Proof Committee Hansard, 11 March 2011, p. 45.

[77]      ASIC, 'ASIC begins shadow shopping research', Media release 11-53MR, 21 March 2011.

[78]      Parliamentary Joint Committee on Corporations and Financial Services, Statutory oversight of the Australian Securities and Investment Commission, February 2011, p. 13.

[79]      Mr Greg Medcraft, Commissioner, ASIC, Proof Committee Hansard, 11 March 2011, p. 40.

[80]      Mr Medcraft, ASIC, Proof Committee Hansard, 11 March 2011, p. 40.

[81]      ASIC, answer to question on notice, 11 March 2011 (received 28 April 2011).

[82]      Mr Medcraft, ASIC, Proof Committee Hansard, 11 March 2011, p. 41.

[83]      Mr D'Aloisio, ASIC, Proof Committee Hansard, 11 March 2011, p. 20.

[84]      Mr D'Aloisio, ASIC, Proof Committee Hansard, 11 March 2011, p. 20.

[85]      Dr Peter Boxall AO, Commissioner, ASIC, Committee Hansard, 23 June 2010, p. 23.

[86]      Mr Day, ASIC, Proof Committee Hansard, 11 March 2011, p. 44.

[87]      Mr Day, ASIC, Proof Committee Hansard, 11 March 2011, p. 44.

[88]      Mr Day, ASIC, Proof Committee Hansard, 11 March 2011, p. 44.

[89]      Productivity Commission, Contribution of the Not-for-Profit Sector, January 2010, p. 116.

[90]      Mr John Price, Senior Executive Leader, ASIC, Proof Committee Hansard, 11 March 2011, p. 46.

[91]      ASIC, answer to question on notice, 11 March 2011 (received 28 April 2011).

[92]      ASIC, answer to question on notice, 11 March 2011 (received 28 April 2011).

[93]      Recommendation 6.5, Productivity Commission, Contribution of the Not-for-Profit Sector, p. 152.

[94]      Treasury, Scoping paper for a national not-for-profit regulator: Consultation paper, January 2011, pp 22–23.

[95]      Mr D'Aloisio, ASIC, Proof Committee Hansard, 11 March 2011, p. 49.