Submissions
5
Council of Small Business Australia (COSBOA)
Answer to Question on Notice
ASIC: Answer to question 1: ASIC Information Sheet 151 - taken on notice from the public hearing on 13 September 2019 (received 8 October 2020)
2
ASIC: Answer to question 2: Stats on the use of the IOSCO MMOU - taken on notice from the public hearing on 13 September 2019 (received 8 October 2019)
3
ASIC: Answer to question 3: ASIC Registry - taken on notice from the public hearing on 13 September 2019 (received 8 October 2019)
4
ASIC: Answer to question 4: Queensland Nickel - taken on notice from the public hearing on 13 September 2019 (received 8 October 2019)
5
ASIC: Answer to question 5: Life insurance code briefings - taken on notice from the public hearing on 13 September 2019 (received 8 October 2019)
6
ASIC: Answer to question 6: Grandfathered commissions - taken on notice from the public hearing on 13 September 2019 (received 8 October 2019)
7
ASIC: Answer to question 7: Funds disclosing fines - taken on notice from the public hearing on 13 September 2019 (received 8 October 2019)
8
ASIC: Answer to question 8: Community benefit payments - taken on notice from the public hearing on 13 September 2019 (received 8 October 2019)
9
ASIC: Answer to question 9: Data re home loan application assessment timelines - taken on notice from the public hearing on 13 September 2019 (received 10 October 2019)
10
ASIC: Answer to question 10: Royal Commission witnesses - taken on notice from the public hearing on 13 September 2019 (received 22 October 2019)
11
ASIC: Answer to written question on notice conveyed on 10 October 2019 (received 6 November 2019)
12
ASIC: Answer to written question on notice 012 conveyed on 10 October 2019 (received 6 November 2019)
13
ASIC: Answer to written question on notice 013 conveyed on 10 October 2019 (received 6 November 2019)
14
ASIC: Answer to question 4: Iran Oil BNZ - taken on notice from a public hearing on 19 November 2019 (received 10 December 2019)
15
ASIC: Answer to question 1: Afterpay - Loans - taken on notice from the public hearing on 19 November 2019 (received 10 December 2019)
16
ASIC: Answer to question 2: FRANdata - taken on notice from the public hearing on 19 November 2019 (received 10 December 2019)
17
ASIC: Answer to question 3: Whistleblowers - taken on notice from a public hearing on 19 November 2019 (received 10 December 2019)
18
ASIC: Answer to question 5: Remediation - taken on notice from a public hearing on 19 November 2019 (received 10 December 2019)
19
ASIC: Answer to question 6: AMP and My Daryl Oehm - taken on notice from a public hearing on 19 November 2019 (received 10 December 2019)
20
ASIC: Answer to question 7: AMP - taken on notice from a public hearing on 19 November 2019 (received 10 December 2019)
21
ASIC: Answer to question 8: Money laundering - taken on notice from a public hearing on 19 November 2019 (received 10 December 2019)
22
ASIC: Answer to question 9: Super fund investigations - taken on notice from a public hearing on 19 November 2019 (received 10 December 2019)
23
ASIC: Answer to question 10: Retail super fund fine - taken on notice from a public hearing on 19 November 2019 (received 10 December 2019)
24
ASIC: FRC - Answer to question taken on notice from a public hearing on
29 November 2019 (received 18 December 2019)
25
ASIC: Answer to question 1: Section 1308 - taken on notice from the public hearing on 28 February 2020 (received 27 March 2020)
26
ASIC: Answer to question 2: Registry System Outages - taken on notice from the public hearing on 28 February 2020 (received 27 March 2020)
27
ASIC: Answer to question 3: Director ID - taken on notice from the public hearing on 28 February 2020 (received 27 March 2020)
28
ASIC: Answer to question 4: WBs and auditors - taken on notice from the public hearing on 28 February 2020 (received 27 March 2020)
29
ASIC: Answer to question 5: Sterling Group - taken on notice from the public hearing on 28 February 2020 (received 27 March 2020)
30
ASIC: Answer to question 6: LICs LITs - taken on notice from the public hearing on 28 February 2020 (received 27 March 2020)
31
ASIC: Answer to question 7: LIC LIT audit - taken on notice from the public hearing on 28 February 2020 (received 27 March 2020)
32
ASIC: Answer to question 8: LIC LIT - taken on notice from the public hearing on 28 February 2020 (received 27 March 2020)
33
ASIC: Answer to question 9: ASIC search fees - taken on notice from the public hearing on 28 February 2020 (received 27 March 2020)
34
ASIC: Answer to question 10: FOI Disclosure Log - taken on notice from the public hearing on 28 February 2020 (received 27 March 2020)
35
ASIC: Answer to question 11: Adviser bannings - taken on notice from the public hearing on 28 February 2020 (received 27 March 2020)
36
ASIC: Answer to question 12: Breaches of code of ethics - taken on notice from the public hearing on 28 February 2020 (received 27 March 2020)
37
ASIC: Answer to question 13: Compliance schemes - taken on notice from the public hearing on 28 February 2020 (received 27 March 2020)
38
ASIC: Answer to question 14: Currently banned adviser - taken on notice from the public hearing on 28 February 2020 (received 27 March 2020)
39
ASIC: Answer to question 15: Details of remediation - taken on notice from the public hearing on 28 February 2020 (received 1 April 2020)
40
ASIC: Answer to question 16: FAR on MoneySmart - taken on notice from the public hearing on 28 February 2020 (received 27 March 2020)
41
ASIC: Answer to question 17: Information about code applications - taken on notice from the public hearing on 28 February 2020 (received 27 March 2020)
42
ASIC: Answer to question 18: Investigations Super funds - taken on notice from the public hearing on 28 February 2020 (received 27 March 2020)
43
ASIC: Answer to question 19: Disclosure of derivatives by banks - taken on notice from the public hearing on 28 February 2020 (received 20 April 2020)
44
ASIC: Answer to question 20: Complaints and reports by employees of Big 4 audit firms - taken on notice from the public hearing on 28 February 2020 (received 20 April 2020)
45
ASIC: Answer to question 21: Sources of income - taken on notice from the public hearing on 28 February 2020 (received 20 April 2020)
46
ASIC: Answer to question 22: Commissioner holdings - taken on notice from the public hearing on 28 February 2020 (received 20 April 2020)
47
ASIC: Answer to question 23: Conflicts of Interest Policy - taken on notice from the public hearing on 28 February 2020 (received 20 April 2020)
48
ASIC: Answer to question 1 from Senator Paterson - Stakeholder requests (received 9 April 2020)
49
ASIC: Answer to question 2 from Senator Paterson - Agents letters to tenants (received 9 April 2020)
50
ASIC: Answer to question 3 from Senator Paterson - Media reports relied on (received 9 April 2020)
51
ASIC: Answer to question 4 from Senator Paterson - State regulatory bodies and correspondence (received 9 April 2020)
52
ASIC: Answer to question 5 from Senator Paterson - Real estate firms contacted and copies of correspondence (received 9 April 2020)
53
ASIC: Answer to question 6 from Senator Paterson - Real estate agents informing tenants about the existence government policy (received
9 April 2020)
54
ASIC: Answer to question 002-01: Early super release calculations - ASIC action - taken on notice from the public hearing on 28 April 2020 (received
7 May 2020)
55
ASIC: Answer to question 001: Westpac Costs - taken on notice from the public hearing on 15 July 2020 (received 5 August 2020)
56
ASIC: Answer to question 003: Member reserves paying fines - taken on notice from the public hearing on 15 July 2020 (received 5 August 2020)
57
ASIC: Answer to question 004: Report 529 - taken on notice from the public hearing on 15 July 2020 (received 5 August 2020)
58
ASIC: Answer to question 008: Penalty to BT for misleading statements online - taken on notice from the public hearing on 15 July 2020 (received
5 August 2020)
59
ASIC: Answer to question 009: Industry super - Google advertising - taken on notice from the public hearing on 15 July 2020 (received 5 August 2020)
60
ASIC: Answer to question 010: Cost of running SMSF - taken on notice from the public hearing on 15 July 2020 (received 5 August 2020)
61
ASIC: Answer to question 012: The future of financial advice in Australia - taken on notice from the public hearing on 15 July 2020 (received
5 August 2020)
62
ASIC: Answer to question 015: Sterling Group - taken on notice from the public hearing on 15 July 2020 (received 4 August 2020)
63
ASIC: Answer to question 016: Sterling Group - The Assetless Administration Fund (AA Fund) - taken on notice from the public hearing on 15 July 2020 (received 4 August 2020)
64
ASIC: Answer to question 017: Early release super - taken on notice from the public hearing on 15 July 2020 (received 5 August 2020)
65
ASIC: Answer to question 018: Early release super - taken on notice from the public hearing on 15 July 2020 (received 5 August 2020)
66
ASIC: Answer to question 019: Industry Super Australia - early release super calculator - taken on notice from the public hearing on 15 July 2020 (received
5 August 2020)
67
ASIC: Answer to question 021: Financial advice - taken on notice from the public hearing on 15 July 2020 (received 5 August 2020)
68
ASIC: Answer to question 022: Financial advice - taken on notice from the public hearing on 15 July 2020 (received 5 August 2020)
69
ASIC: Answer to question 001-01 from Mr Gorman MP - COVID-19 - Company closures (received 7 August 2020)
70
ASIC: Answer to question 001-02 from Mr Gorman MP - COVID-19 - Company closures (received 7 August 2020)
71
ASIC: Answer to question 001-03 from Mr Gorman MP - COVID-19 - Company registrations (received 7 August 2020)
72
ASIC: Answer to question 001-04 from Mr Gorman MP - COVID-19 - Company registrations (received 7 August 2020)
73
ASIC: Answer to question 002-01 from Mr Gorman MP - Junk insurance - ANZ and CBA (received 7 August 2020)
74
ASIC: Answer to question 002-02 from Mr Gorman MP - Junk insurance - Consumer credit insurance remediation program (received 7 August 2020)
75
ASIC: Answer to question 002-03 from Mr Gorman MP - Junk insurance - Recent action with regard to junk consumer credit insurance (received
7 August 2020)
76
ASIC: Answer to question 002-04 from Mr Gorman MP - Junk insurance - Significant enforcement action (received 10 August 2020)
77
ASIC: Answer to question 002-05 from Mr Gorman MP - Junk insurance - Updates to MoneySmart (received 7 August 2020)
78
ASIC: Answer to question 001-05 from Mr Gorman MP - COVID-19 pandemic - ASIC guidance to companies (received 17 August 2020)
79
ASIC: Answer to question 001-06 from Mr Gorman MP - COVID-19 pandemic - Resources (received 17 August 2020)
80
ASIC: Answer to question 007: Mayfair - taken on notice from the public hearing on 15 July 2020 (received 17 August 2020)
81
ASIC: Answer to question 013: Remediation - taken on notice from the public hearing on 15 July 2020 (received 17 August 2020)
82
ASIC: Answer to question 014: Licensee attestation - taken on notice from the public hearing on 15 July 2020 (received 17 August 2020)
83
ASIC: Answer to question 004: Treasury policy decision - taken on notice from the public hearing on 15 July 2020 (received 19 August 2020)
84
ASIC: Answer to question 006: Treasury policy decision - taken on notice from the public hearing on 15 July 2020 (received 19 August 2020)
85
ASIC: Answer to question 011: Treasury policy decision - taken on notice from the public hearing on 15 July 2020 (received 19 August 2020)
86
ASIC: Answer to question 020: Regulation of litigation funders - taken on notice from the public hearing on 15 July 2020 (received 19 August 2020)
87
ASIC: Answer to question 005-01 from Senator Bragg - Members funds used to pay remediation (received 2 September 2020)
88
ASIC: Answer to question 006 from Mr Gorman MP - Pearllargo Pty Ltd (received 23 September 2020)
89
ASIC: Answer to question 007 from Senator Paterson - ASIC culture report (received 16 November 2020)
90
ASIC: Answer to question 008 from Mr Gorman MP - Journalist briefings (received 25 September 2020)
91
ASIC: Answer to question 009-01 from Mr Gorman MP - ASIC gifts, benefits and hospitality register (received 7 December 2020)
92
ASIC: Answer to question 001: Conflict of interest policy - taken on notice from the public hearing on 18 November 2020 (received 9 December 2020)
93
ASIC: Answer to question 002: Correspondence on personal computer - taken on notice from the public hearing on 18 November 2020 (received
10 December 2020)
94
ASIC: Answer to question 003: Credit cards - taken on notice from the public hearing on 18 November 2020 (received 9 December 2020)
95
ASIC: Answer to question 004: Super Trustees - taken on notice from the public hearing on 18 November 2020 (received 11 December 2020)
96
ASIC: Answer to question 005: Remuneration Tribunal - taken on notice from the public hearing on 18 November 2020 (received 11 December 2020)
97
ASIC: Answer to question 006: Timing Pitt Group - taken on notice from the public hearing on 18 November 2020 (received 9 December 2020)
98
ASIC: Answer to question 007: ASIC's media release regarding Mr Mark Damion Kawecki - taken on notice from the public hearing on
18 November 2020 (received 9 December 2020)
99
ASIC: Answer to question 008: ASIC's Consumer Advisory Panel - taken on notice from the public hearing on 18 November 2020 (received
9 December 2020)
100
ASIC: Answer to question 009: Frontier Advisors Pty Ltd - taken on notice from the public hearing on 18 November 2020 (received 9 December 2020)
101
ASIC: Answer to question 010: Difference asset consult and financial advice - taken on notice from the public hearing on 18 November 2020 (received
9 December 2020)
102
ASIC: Answer to question 011: Retail OTC - taken on notice from the public hearing on 18 November 2020 (received 9 December 2020)
103
ASIC: Answer to question 012: Retail OTC derivative client monies - taken on notice from the public hearing on 18 November 2020 (received
9 December 2020)
105
ASIC: Answer to question 014: Companies associated with Mr Palmer - taken on notice from the public hearing on 18 November 2020 (received
11 December 2020)
106
ASIC: Answer to question 015: PLC charges - taken on notice from the public hearing on 18 November 2020 (received 11 December 2020)
107
ASIC: Answer to question 016: Clarification regarding number of Palmer hearings - taken on notice from the public hearing on 18 November 2020 (received 11 December 2020)
108
ASIC: Answer to question 017: Palmer costs - taken on notice from the public hearing on 18 November 2020 (received 11 December 2020)
109
ASIC: Answer to question 018: Disclosure of interests - taken on notice from the public hearing on 18 November 2020 (received 11 December 2020)
110
ASIC: Answer to question 019: Process for preparing a media release in relation to enforcement actions - taken on notice from the public hearing on
18 November 2020 (received 11 December 2020)
111
ASIC: Internal and external legal advices relating to Key Management Personnel issues - taken on notice from the public hearing on
18 November 2020 (received 2 December 2020)
112
ASIC: Answer to question 010-01 from Mr van Manen MP - LIF reforms (received 16 December 2020)
113
ASIC: Answer to question 010-02 from Mr van Manen MP - Criteria for 2021 LIF review (received 16 December 2020)
114
ASIC: Answer to question 010-03 from Mr van Manen MP - Comparison of life insurance and super reform criteria (received 16 December 2020)
115
ASIC: Answer to question 010-04 from Mr van Manen MP - Impact of COVID-19 on life insurance (received 16 December 2020)
116
ASIC: Answer to question 010-05 from Mr van Manen MP - Retrospective audit of financial service advice industry (received 16 December 2020)
117
ASIC: Answer to question 010-06 from Mr van Manen MP - Loss of urban financial advisers (received 16 December 2020)
118
ASIC: Answer to question 010-07 from Mr van Manen MP - ASIC experience with an AFSL (received 16 December 2020)
119
ASIC: Answer to question 010-08 from Mr van Manen MP - Technology to assess AFSL compliance (received 16 December 2020)
120
ASIC: Answer to question 010-09 from Mr van Manen MP - ASIC's use of AI and machine learning (received 16 December 2020)
121
ASIC: Answer to question 010-10 from Mr van Manen MP - Cost of advice (received 16 December 2020)
122
ASIC: Answer to question 010-11 from Mr van Manen MP - ASIC's relationship with AFCA (received 16 December 2020)
123
ASIC: Answer to question 010-12 from Mr van Manen MP - Definition of advice (received 16 December 2020)
124
ASIC: Answer to question 010-13 from Mr van Manen MP - Role of Report 413 in driving LIF reforms (received 16 December 2020)
125
ASIC: Answer to question 010-14 from Mr van Manen MP - Comparison of reports 413 and 639 (received 16 December 2020)
126
ASIC: Answer to question 010-15 from Mr van Manen MP - Baseline for review of life insurance reforms (received 16 December 2020)
127
ASIC: Answer to question 010-16 from Mr van Manen MP - Accounting for COVID-19 induced economic hardship in LIF review (received
16 December 2020)
128
ASIC: Answer to question 010-17 from Mr van Manen MP - Impacts and pressure on professional indemnity insurance (received 16 December 2020)
129
ASIC: Answer to question 010-18 from Mr van Manen MP - What is ASIC doing about the professional indemnity insurance market? (received
16 December 2020)
130
ASIC: Answer to question 010-19 from Mr van Manen MP - Impact of ASIC look back reviews on licensees (received 16 December 2020)
131
ASIC: Answer to question 010-20 from Mr van Manen MP - Impact of ASIC look back reviews on industry response to regulatory risk (received
16 December 2020)
132
ASIC: Answer to question 010-21 from Mr van Manen MP - Regulatory guidance on licensee monitoring of agreed services (received
16 December 2020)
133
ASIC: Answer to question 012-01 from Mr Falinski MP - Use of the term 'financial adviser' - Media releases (received 8 February 2021)
134
ASIC: Answer to question 012-02 from Mr Falinski MP - Use of the term 'financial adviser' - Role of ASIC (received 8 February 2021)
135
ASIC: Answer to question 012-03 from Mr Falinski MP - Asset consultants (received 8 February 2021)
136
ASIC: Answer to question 012-04 from Mr Falinski MP - Use of the term 'financial adviser' (received 8 February 2021)
137
ASIC: Answer to question 013-01 from Mr Falinski MP - Superannuation funds compliance with advice requirements (received 8 February 2021)
138
ASIC: Answer to question 015 from Senator Paterson - ASIC Annual Report (received 8 February 2021)
139
Financial Adviser Standards and Ethics Advisory Ltd (FASEA): Answer to question 014-01 from Mr Falinski MP - ASIC submissions to FASEA (received
5 February 2021)
140
ASIC: Answer to question 011-01 & 02 from Mr Falinski MP - Consumer Advisory Panel (received 12 February 2021)
141
ASIC: Answer to question 001: Egon Zehnder - taken on notice from the public hearing on 19 March 2021 (received 9 April 2021)
142
ASIC: Answer to question 002: Complaints about breaches of human rights - taken on notice from the public hearing on 19 March 2021 (received
9 April 2021)
143
ASIC: Answer to question 003: Clive Palmer advertisements - taken on notice from the public hearing on 19 March 2021 (received 9 April 2021)
144
ASIC: Answer to question 004: Surveillance of the unlit market - taken on notice from the public hearing on 19 March 2021 (received 9 April 2021)
145
ASIC: Answer to question 005: Moneysmart website - taken on notice from the public hearing on 19 March 2021 (received 9 April 2021)
146
ASIC: Answer to question 006: Moneysmart - taken on notice from the public hearing on 19 March 2021 (received 9 April 2021)
147
ASIC: Answer to question 007: CP332 - taken on notice from the public hearing on 19 March 2021 (received 9 April 2021)
148
ASIC: Answer to question 008: CP332 - taken on notice from the public hearing on 19 March 2021 (received 9 April 2021)
149
ASIC: Answer to question 009: Unfair contract terms - taken on notice from the public hearing on 19 March 2021 (received 12 April 2021)
150
ASIC: Answer to question 010: Professional Indemnity Insurance - taken on notice from the public hearing on 19 March 2021 (received 9 April 2021)
151
ASIC: Answer to question 011: Overview of the Sterling Group's business model - taken on notice from the public hearing on 19 March 2021 (received
9 April 2021)
152
ASIC: Answer to question 012: Sterling Group - taken on notice from the public hearing on 19 March 2021 (received 9 April 2021)
153
ASIC: Answer to question 013: Greensill and supply chain financing - taken on notice from the public hearing on 19 March 2021 (received 9 April 2021)
154
ASIC: Answer to question 014: Castel Rock Global Capital Pty Ltd - taken on notice from the public hearing on 19 March 2021 (received 9 April 2021)
155
ASIC: Answer to question 015: Bank of Queensland - taken on notice from the public hearing on 19 March 2021 (received 9 April 2021)
156
ASIC: Answer to question 016: Sterling Group and DH Flinders - taken on notice from the public hearing on 19 March 2021 (received 9 April 2021)
157
ASIC: Answer to question 017: ASIC's investigations or inquiries - taken on notice from the public hearing on 19 March 2021 (received 12 April 2021)
158
ASIC: Answer to question 019 from Mr Wallace MP - Greensill (received
9 April 2021)
159
AUSTRAC: Answer to question 020-01 from Senator O'Neill - DCEO clearance of Vatican letter (received 8 April 2021)
160
AUSTRAC: Answer to question 020-02 from Senator O'Neill - CEO clearance of Vatican letter (received 8 April 2021)
161
AUSTRAC: Answer to question 020-03 from Senator O'Neill - DCEO/CEO clearance of AUSTRAC letters to Parliament (received 8 April 2021)
162
AUSTRAC: Answer to question 020-04 from Senator O'Neill - Vatican transfer figure (received 8 April 2021)
163
AUSTRAC: Answer to question 020-05 from Senator O'Neill - AUSTRAC figures provided to Parliament (received 8 April 2021)
164
AUSTRAC: Answer to question 020-06 from Senator O'Neill - AUSTRAC financial reporting systems (received 8 April 2021)
165
AUSTRAC: Answer to question 020-07 from Senator O'Neill - Vatican transfer error and previous reporting (received 8 April 2021)
166
AUSTRAC: Answer to question 020-08 from Senator O'Neill - Vatican transfer error and previous reporting (received 8 April 2021)
167
AUSTRAC: Answer to question 020-09 from Senator O'Neill - Vatican transfer error – repercussions for staff (received 8 April 2021)
168
AUSTRAC: Answer to question 020-10 from Senator O'Neill - 2015 AUSTRAC Report on DNFBPs (received 8 April 2021)
169
AUSTRAC: Answer to question 01: South American cartel money laundering - taken on notice from the public hearing on 19 March 2021 (received
8 April 2021)
170
AUSTRAC: Answer to question 02: Vatican transfers – letter from AUSTRAC - taken on notice from the public hearing on 19 March 2021 (received
8 April 2021)
171
AUSTRAC: Answer to question 03: Crown casino – AUSTRAC engagement and investigation - taken on notice from the public hearing on 19 March 2021 (received 8 April 2021)
172
ASIC: Answer to question 021 from Mr Wallace MP - ASIC industry funding levy in the financial advice sector (received 21 April 2021)
173
AUSTRAC: Answer to question 022-01 from Senator O'Neill - Payments businesses (received 30 April 2021)
174
AUSTRAC: Answer to question 022-02 from Senator O'Neill - Cooperation with Chinese authorities (received 30 April 2021)
175
AUSTRAC: Answer to question 022-03 from Senator O'Neill - Investigation into payments businesses (received 30 April 2021)
176
AUSTRAC: Answer to question 022-04 from Senator O'Neill - Suspicious matter reports - foreign payment platforms (received 30 April 2021)
177
ASIC: Answer to question 023 from Mr Hill MP - AMP Financial Planning Pty Ltd (received 6 May 2021)
178
ACCC: Answer to question 032 from the PJC C&FS - Review of the use of and reporting on supply chain financing by large entities (received 8 June 2021)
179
ASX: Answer to question 031 from the PJC C&FS - Disclosure of supply chain financing offerings (received 9 June 2021)
180
AFIA: Answer to question 028 from the PJC C&FS - Greensill (received
9 June 2021)
181
ASIC: Answer to question 025 from Mr Wallace MP - ASIC industry levies (received 15 June 2021)
182
ASIC: Answer to question 026 from the PJC C&FS - Greensill (received
15 June 2021)
183
Department of Industry, Science, Energy and Resources: Answer to question 030 from the PJC C&FS - Greensill (received 9 June 2021)
184
AFCA: Answer to question from Senator O'Neill - Business Interruption Insurance Complaints Brief (received 11 June 2021)
185
Treasury: Answer to question 027 from the PJC C&FS: Circumstances leading to the collapse of Greensill (received 30 June 2021)
186
ASIC response to committee QoN and update to TRIO
187
ASBFEO: Answer to question 1 from Mr Wallace MP: Security of Payment - taken on notice from the public hearing on 18 June 2021 (received 9 July 2021)
188
ASBFEO: Answer to question 2 from Senator O'Neill: Supply Chain Financing - taken on notice from the public hearing on 18 June 2021 (received 9 July 2021)
189
ASBFEO: Answer to question 3 from Senator O'Neill: Dispute Reporting - taken on notice from the public hearing on 18 June 2021 (received 9 July 2021)
190
ASBFEO: Answer to question 4 from Senator Pratt: Increase in payment times - taken on notice from the public hearing on 18 June 2021 (received 9 July 2021)
191
ASBFEO: Answer to question 5 from Senator Pratt: Payment times reporting act 2020 - taken on notice from the public hearing on 18 June 2021 (received
9 July 2021)
192
ASBFEO: Answer to question 6 from Mr Hill MP: Evidence of kickbacks - taken on notice from the public hearing on 18 June 2021 (received 9 July 2021)
193
ASBFEO: Answer to question 7 from Mr Hill MP: Supply chain financing review - taken on notice from the public hearing on 18 June 2021 (received
9 July 2021)
194
ASBFEO: Answer to question 8 from Mr Hill MP: Response from accounting standards board - taken on notice from the public hearing on 18 June 2021 (received 9 July 2021)
195
AFCA: Answer to question 01 from Mr van Manen MP: Financial institutions reported to ASIC for non-compliance with AFCA determinations - taken on notice from the public hearing on 18 June 2021 (received 9 July 2021)
196
AFCA: Answer to question 02 from Mr Wallace MP: Sterling case - taken on notice from the public hearing on 18 June 2021 (received 9 July 2021)
197
AFCA: Answer to question 03, 04, 05 from Mr van Manen and Senator O'Neill: Reporting of systemic issues regulators - taken on notice from the public hearing on 18 June 2021 (received 9 July 2021)
198
AFCA: Answer to question 06 from Senator O'Neill: Unfair contract terms legislation - taken on notice from the public hearing on 18 June 2021 (received
9 July 2021)
199
AFCA: Answer to question 07, 08 from Senator O'Neill: Complaints received by AFCA - taken on notice from the public hearing on 18 June 2021 (received
9 July 2021)
200
AFCA: Answer to question 09 from Senator O'Neill: Credit provider only providing credit facilities to businesses - taken on notice from the public hearing on 18 June 2021 (received 9 July 2021)
201
AFCA: Answer to question 010, 011, 012 from Mr Hill MP: Buy now and pay later complains received by AFCA - taken on notice from the public hearing on 18 June 2021 (received 9 July 2021)
202
AFCA: Answer to question 013 from Senator O'Neill: Demographics of complainants to AFCA - taken on notice from the public hearing on
18 June 2021 (received 9 July 2021)
203
ASIC: Letter from Mr Longo, ASIC Chair re: NUIX IPO - in relation to QoN 001-016, 022-025, public hearing on 18 June 2021 (received 9 July 2021)
204
ASIC: Answer to question 01 from Senator O'Neill: Number of prospectuses received by ASIC - taken on notice from the public hearing on 18 June 2021 (received 9 July 2021)
205
ASIC: Answer to question 02 from Senator O'Neill: Frequency of communications on IPO's - taken on notice from the public hearing on
18 June 2021 (received 9 July 2021)
206
ASIC: Answer to question 03 from Senator O'Neill: Available resources for filing prospectuses - taken on notice from the public hearing on 18 June 2021 (received 9 July 2021)
207
ASIC: Answer to question 04 from Senator O'Neill: Rules for how prospectuses are filed and ASIC's role - taken on notice from the public hearing on
18 June 2021 (received 9 July 2021)
208
ASIC: Answer to question 05 from Senator O'Neill: ASIC's role in filing of prospectuses - taken on notice from the public hearing on 18 June 2021 (received 9 July 2021)
209
ASIC: Answer to question 06 from Senator O'Neill: Number of staff - taken on notice from the public hearing on 18 June 2021 (received 9 July 2021)
210
ASIC: Answer to question 07 from Senator O'Neill: Number of senior managers - taken on notice from the public hearing on 18 June 2021 (received
9 July 2021)
211
ASIC: Answer to question 08 from Senator O'Neill: Senior manager responsible for the Nuix prospectus - taken on notice from the public hearing on
18 June 2021 (received 9 July 2021)
212
ASIC: Answer to question 09 from Senator O'Neill: Internal concerns about Nuix's conduct - taken on notice from the public hearing on 18 June 2021 (received 9 July 2021)
213
ASIC: Answer to question 10 from Senator O'Neill: Review of the Nuix prospectus and related activities undertaken by staff - taken on notice from the public hearing on 18 June 2021 (received 9 July 2021)
214
ASIC: Answer to question 11 from Senator O'Neill: Review of the Nuix prospectus and related activities undertaken by staff - taken on notice from the public hearing on 18 June 2021 (received 9 July 2021)
215
ASIC: Answer to question 12 from Senator O'Neill: Mr Harvey's involvement in ASIC's review of the Nuix prospectus - taken on notice from the public hearing on 18 June 2021 (received 9 July 2021)
216
ASIC: Answer to question 13 from Senator O'Neill: Prospectus content requirements - taken on notice from the public hearing on 18 June 2021 (received 9 July 2021)
217
ASIC: Answer to question 14 from Mr Georganas: Treasurer's press release - taken on notice from the public hearing on 18 June 2021 (received 9 July 2021)
218
ASIC: Answer to question 15 from Mr Georganas: Date ASIC became aware of Treasury consultation paper - taken on notice from the public hearing on
18 June 2021 (received 9 July 2021)
219
ASIC: Answer to question 16 from Senator Scarr: Disclosure of risk - taken on notice from the public hearing on 18 June 2021 (received 9 July 2021)
220
ASIC: Answer to question 17 from Mr Hill: Findings of ASIC's review of the quality of financial advice in time share - taken on notice from the public hearing on 18 June 2021 (received 9 July 2021)
221
ASIC: Answer to question 18 from Mr Hill: ASIC enforcement results - taken on notice from the public hearing on 18 June 2021 (received 9 July 2021)
222
ASIC: Answer to question 19 from Senator O'Neill: Hansard transcripts from prior hearings on express investigations - taken on notice from the public hearing on 18 June 2021 (received 9 July 2021)
223
ASIC: Answer to question 20A from Ms Bell: Period of consultation that will take place on time-sharing schemes - taken on notice from the public hearing on 18 June 2021 (received 9 July 2021)
224
ASIC: Answer to question 20B from Ms Bell: ASIC's previous responses on timeshare industry to the Senate Economics Legislation Committee - taken on notice from the public hearing on 18 June 2021 (received 9 July 2021)
225
ASIC: Answer to question 21 from Senator Pratt: Value of AA fund KPMG report to ASIC - taken on notice from the public hearing on 18 June 2021 (received 9 July 2021)
226
ASIC: Answer to question 22 from Senator O'Neill: Chronology of review of Nuix prospectus - taken on notice from the public hearing on 18 June 2021 (received 9 July 2021)
227
ASIC: Answer to question 23 from Senator O'Neill: Commission correspondence unit (CCU) - taken on notice from the public hearing on
18 June 2021 (received 9 July 2021)
228
ASIC: Answer to question 24 from Senator O'Neill: Involvement of Deputy Chair Chester in determining exposure period needed - taken on notice from the public hearing on 18 June 2021 (received 9 July 2021)
229
ASIC: Answer to question 25 from Senator O'Neill: FOI process in relation to Nuix - taken on notice from the public hearing on 18 June 2021 (received
9 July 2021)
230
ASIC: Answer to question 26 from Senator O'Neill: ASIC's contact with Macquarie, Morgan Stanley or Clayton Utz during Nuix IPO - taken on notice from the public hearing on 18 June 2021 (received 9 July 2021)
231
ASIC: Answer to question 36A written question on notice conveyed on
5 July 2021 from Senator O'Neill (received 19 July 2021)
232
ASIC: Answer to question 36B written question on notice conveyed on
5 July 2021 from Senator O'Neill (received 19 July 2021)
233
APRA: Answer to question 37-A written question on notice conveyed on
9 July 2021 from Mr Wallace (received 22 July 2021)
234
APRA: Answer to question 37-B written question on notice conveyed on
9 July 2021 from Mr Wallace (received 22 July 2021)
235
APRA: Answer to question 37-C written question on notice conveyed on
9 July 2021 from Mr Wallace (received 22 July 2021)
236
APRA: Answer to question 37-D written question on notice conveyed on
9 July 2021 from Mr Wallace (received 22 July 2021)
237
APRA: Answer to question 37-E written question on notice conveyed on
9 July 2021 from Mr Wallace (received 22 July 2021)
238
APRA: Answer to question 37-F written question on notice conveyed on
9 July 2021 from Mr Wallace (received 22 July 2021)
239
APRA: Answer to question 37-G written question on notice conveyed on
9 July 2021 from Mr Wallace (received 22 July 2021)
240
APRA: Answer to question 37-H written question on notice conveyed on
9 July 2021 from Mr Wallace (received 22 July 2021)
241
APRA: Answer to question 37-I written question on notice conveyed on
9 July 2021 from Mr Wallace (received 22 July 2021)
242
APRA: Answer to question 37-J written question on notice conveyed on
9 July 2021 from Mr Wallace (received 22 July 2021)
243
ASBFEO: Answer to question 38-A written question on notice conveyed on
5 July 2021 from Senator O'Neill (received 27 July 2021)
244
ASBFEO: Answer to question 38-B written question on notice conveyed on
5 July 2021 from Senator O'Neill (received 27 July 2021)
245
ASBFEO: Answer to question 38-C written question on notice conveyed on
5 July 2021 from Senator O'Neill (received 27 July 2021)
246
ASBFEO: Answer to question 38-D written question on notice conveyed on
5 July 2021 from Senator O'Neill (received 27 July 2021)
247
ASBFEO: Answer to question 38-E written question on notice conveyed on
5 July 2021 from Senator O'Neill (received 27 July 2021)
248
ASBFEO: Answer to question 38-F written question on notice conveyed on
5 July 2021 from Senator O'Neill (received 27 July 2021)
249
ASBFEO: Answer to question 38-G written question on notice conveyed on
5 July 2021 from Senator O'Neill (received 27 July 2021)
250
ASBFEO: Answer to question 9 from Mr Hill MP: Complaints related to BNPL - taken on notice from the public hearing on 18 June 2021 (received 9 July 2021)
251
Lex Greensill: Answer to written question on notice 40-1 to 40-11 from PCJ CFs conveyed on 27 August (received 17 September 2021)
252
ASIC: Answer to question 1 from Mr van Manen MP: Industry Funding Model (IFM) - taken on notice from the public hearing on 27 August 2021 (received
17 September 2021)
253
ASIC: Answer to question 02 from Mr van Manen MP: IFM cost of enforcement - taken on notice from the public hearing on 27 August 2021 (received
17 September 2021)
254
ASIC: Answer to question 03 from Mr van Manen MP: IFM levy invoices - taken on notice from the public hearing on 27 August 2021 (received
17 September 2021)
255
ASIC: Answer to question 14 from Mr Georganas MP: Local crypto market review - taken on notice from the public hearing on 27 August 2021 (received 17 September 2021)
256
ASIC: Answer to question 15 from Mr Georganas MP: IFM annual fees - taken on notice from the public hearing on 27 August 2021 (received
17 September 2021)
257
ASIC: Answer to question 17 from Senator Pratt: Takeovers panel - taken on notice from the public hearing on 27 August 2021 (received 17 September 2021)
258
ASIC: Answer to question 18 from Mr van Manen MP: Whether ASIC has provided submissions to Consultation Paper 332 (CP 332) to the Australian Law Reform Commission - taken on notice from the public hearing on
27 August 2021 (received 17 September 2021)
259
ASIC: Answer to question 11 from Mr Hill MP: Authorization of ASIC by Treasury to make decisions and approve payments under CDDA Scheme - taken on notice from the public hearing on 27 August 2021 (received
30 September 2021)
260
ASIC: Answer to question 12 from Mr Hill MP: Discussions with Treasury and Department of Finance regarding the CDDA Scheme - taken on notice from the public hearing on 27 August 2021 (received 30 September 2021)
261
ASIC: Answer to question 13 from Mr Hill MP: CDDA claim assessment & Prime Trust - taken on notice from the public hearing on 27 August 2021 (received 30 September 2021)
262
ASIC: Answer to question 19 from Mr van Manen MP: Single Disciplinary Body - taken on notice from the public hearing on 27 August 2021 (received
30 September 2021)
263
ASIC: Answer to question 10 from Mr Hill MP: ACBF/Youpla funeral insurance - taken on notice from the public hearing on 27 August 2021 (received 1 October 2021)
264
ASIC: Answer to question 005 from Senator O'Neill: Nuix preliminary results - taken on notice from the public hearing on 27 August 2021 (received
1 October 2021)
265
ASIC: Answer to question 006 from Senator O'Neill: Nuix complaint - taken on notice from the public hearing on 27 August 2021 (received 1 October 2021)
266
ASIC: Answer to question 007 from Senator O'Neill: Prospectus review processes - taken on notice from the public hearing on 27 August 2021 (received 1 October 2021)
267
ASIC: Answer to question 004 from Senator O'Neill: Industry funding model (IMF) - taken on notice from the public hearing on 27 August 2021 (received
22 October 2021)
268
AASB: Answer to written question 033-01: ASBFEO recommendations - taken on notice on 3 November 2021 (received 17 November 2021)
269
ASIC: Answer to written question 043-01: Mining exploration industry - taken on notice on 27 October 2021 (received 25 November 2021)
270
ASIC: Answer to question 001 to 004: CDDA scheme - taken on notice on
16 November 2021 (received 1 December 2021)
271
Department of Finance: Answer to question 001 - Mr Hill: CDDA delegation - taken on notice on 16 November 2021 (received 2 December 2021)
272
Department of Finance: Answer to question 002 - Mr Hill & Senator Pratt: CDDA reporting obligations - taken on notice on 16 November 2021 (received 2 December 2021)
273
Department of Finance: Answer to question 003 - Mr Hill: CDDA prima facie test - taken on notice on 16 November 2021 (received 2 December 2021)
274
Department of Finance: Answer to question 004 - Mr Hill: CDDA administration of the scheme - taken on notice on 16 November 2021 (received 2 December 2021)
275
Department of Finance: Answer to question 005 - Mr Hill: CDDA payments that have been made by ASIC since 1995 - taken on notice on
16 November 2021 (received 2 December 2021)
276
Department of Finance: Answer to question 006 - Mr Hill: CDDA act of grace claim - taken on notice on 16 November 2021 (received 2 December 2021)
277
Department of Finance: Answer to question 007 - Mr Hill: CDDA act of grace claim, Prime Property Trust - taken on notice on 16 November 2021 (received
2 December 2021)
278
Department of Finance: Answer to question 008 - Mr Hill: CDDA claims have been made against ASIC - taken on notice on 16 November 2021 (received
2 December 2021)
279
Treasury: Answer to question 001 - 005 - Mr Hill: CDDA - taken on notice on
16 November 2021 (received 14 December 2021)
280
ASIC: Answer to written question 044-01 - Mr Smith: ASIC annual report (received 17 December 2021)
281
ASIC: Answer to question 001 - Mr Hill: ASX cyber - taken on notice from the public hearing on 26 November 2021 (received 23 December 2021)
282
ASIC: Answer to question 002 - Senator O'Neill: Interactions with ASX - taken on notice from the public hearing on 26 November 2021 (received
23 December 2021)
283
ASIC: Answer to question 005 - Mr Georganas: Infrastructure review - taken on notice from the public hearing on 26 November 2021 (received
23 December 2021)
284
ASIC: Answer to question 007 - Senator Bragg: Superannuation fund director and exec conflicts of interest- taken on notice from the public hearing on
26 November 2021 (received 23 December 2021)
285
ASIC: Answer to question 008 - Senator Bragg: Australian Super - taken on notice from the public hearing on 26 November 2021 (received
23 December 2021)
286
ASIC: Answer to question 009 - Mr Hill: Superannuation performance test - taken on notice from the public hearing on 26 November 2021 (received
23 December 2021)
287
ASIC: Answer to question 013 - Senator O'Neill: Financial compensation and fees for no service - taken on notice from the public hearing on
26 November 2021 (received 23 December 2021)
288
ASIC: Answer to question 014 - Senator O'Neill: Remediation timeframes - taken on notice from the public hearing on 26 November 2021 (received
23 December 2021)
289
ASIC: Answer to question 015 - Mr Georganas: AFSL cancellation - taken on notice from the public hearing on 26 November 2021 (received
23 December 2021)
290
ASIC: Answer to question 021 - Senator O'Neill: Pump and Dump - taken on notice from the public hearing on 26 November 2021 (received
23 December 2021)
291
ASIC: Answer to question 022 - Senator O'Neill: Pump and Dump - taken on notice from the public hearing on 26 November 2021 (received
23 December 2021)
292
ASIC: Answer to question 023 - Senator O'Neill: ASIC's data lake and social media platforms - taken on notice from the public hearing on
26 November 2021 (received 23 December 2021)
293
ASIC: Answer to question 024 - Senator O'Neill: ASIC's data lake and comparison with partner agencies - taken on notice from the public hearing on 26 November 2021 (received 23 December 2021)
294
ASIC: Answer to question 004 - Mr Georganas: CADB referrals - taken on notice from the public hearing on 26 November 2021 (received
4 February 2022)
295
ASIC: Answer to question 006-1 - Senator O'Neill: General Brief on ASIC’s Audit Inspection Program - taken on notice from the public hearing on
26 November 2021 (received 4 February 2022)
296
ASIC: Answer to question 006-2 - Senator O'Neill: ASIC’s international work on Financial Reporting and Audit - taken on notice from the public hearing on 26 November 2021 (received 4 February 2022)
297
ASIC: Answer to question 010 - Senator Bragg: Maritime Super - taken on notice from the public hearing on 27 August 2021 (received 4 February 2022)
298
ASIC: Answer to question 011 - Senator O'Neill: Engagement with professional bodies, KMPG cheating - taken on notice from the public hearing on
26 November 2021 (received 4 February 2022)
299
ASIC: Answer to question 012 - Senator O'Neill: Financial compensation - taken on notice from the public hearing on 26 November 2021 (received
4 February 2022)
300
ASIC: Answer to question 017 - Senator O'Neill: Number of registered liquidators and disciplinary committee activities - taken on notice from the public hearing on 26 November 2021 (received 4 February 2022)
301
ASIC: Answer to question 018 - Senator O'Neill: Auditing enforcement - taken on notice from the public hearing on 26 November 2021 (received
4 February 2022)
302
ASIC: Answer to question 019 - Senator O'Neill: Everblu - taken on notice from the public hearing on 26 November 2021 (received 4 February 2022)
303
ASIC: Answer to question 020-1 - Senator Pratt: Strategic Minerals Corporation Pty Ltd (formerly Strategic Minerals Corporation NL) - taken on notice from the public hearing on 26 November 2021 (received 4 February 2022)
304
ASIC: Answer to question 020-2 - Senator Pratt: Strategic Minerals Corporation Pty Ltd (formerly Strategic Minerals Corporation NL) - taken on notice from the public hearing on 26 November 2021 (received 4 February 2022)
305
ASIC: Answer to question 025-2 - Senator O'Neill: Nuix - taken on notice from the public hearing on 26 November 2021 (received 4 February 2022)
306
ASIC: Answer to question 026 - Senator O'Neill: IPO markets - taken on notice from the public hearing on 26 November 2021 (received 4 February 2022)
307
ASIC: Answer to question 027 - Senator O'Neill: IPO regulation in foreign markets - taken on notice from the public hearing on 26 November 2021 (received 4 February 2022)
308
ASIC: Answer to question 028 - Senator O'Neill: Ross Doyle travel - taken on notice from the public hearing on 26 November 2021 (received
4 February 2022)
309
ASIC: Answer to question 045-1 - Senator Bragg: Ross Doyle travel - written on notice on 26 November 2021 (received 4 February 2022)
310
ASIC: Answer to question 048-1 - Senator Bragg: Insider trading - written on notice on 12 January 2021 (received 4 February 2022)
311
ASIC: Answer to question 049-1 - Senator Bragg: Insider trading - written on notice on 19 January 2021 (received 4 February 2022)
312
ASIC: Answer to question 050-1 - Senator Bragg: Insider trading - written on notice on 19 January 2021 (received 4 February 2022)
313
ASIC: Answer to question 048-2 - Senator Bragg: Insider trading - written on notice on 12 January 2021 (received 7 February 2022)
314
ASIC: Answer to question 048-3 - Senator Bragg: Insider trading - written on notice on 12 January 2021 (received 7 February 2022)
315
ASIC: Answer to question 051-1 - Senator O'Neill: Nuix auditor - written on notice on 9 February 2022 (received 10 February 2022)
316
ASIC: Answer to question 051-2 - Senator O'Neill: Nicholas Moore – FRAA – Macquarie – NUIX conflict? - written on notice on 9 February 2022 (received
10 February 2022)
317
ASIC: Answer to question 051-3 - Senator O'Neill: Nuix Prospectus - written on notice on 9 February 2022 (received 10 February 2022)
318
ASIC: Answer to question 051-4 - Senator O'Neill: NUIX as vendor to ASIC - written on notice on 9 February 2022 (received 10 February 2022
319
ASIC: Answer to question 016 - Senator O'Neill: Cryptocurrency and A One Multi investigation - take on notice at the public hearing on 26 November 2021 (received 10 February 2022)
320
ASIC: Answer to question 025-1 - Senator O'Neill: Nuix whistleblower - take on notice at the public hearing on 26 November 2021 (received 10 February 2022)
321
ASIC: Answer to question 001 - Mr Hill: CHESS Replacement - take on notice at the public hearing on 11 February 2022 (received 3 March 2022)
322
ASIC: Answer to question 002 – Mr Hill: CHESS Replacement – take on notice at the public hearing on 11 February 2022 (received 3 March 2022)
323
ASIC: Answer to question 003 – Senator Pratt: ASIC’s external panels – take on notice at the public hearing on 11 February 2022 (received 3 March 2022)
324
ASIC: Answer to question 004 - Senator Pratt: Managed investment schemes - take on notice at the public hearing on 11 February 2022 (received 3 March 2022)
325
ASIC: Answer to question 005 - Mr Hill: CHESS Replacement - take on notice at the public hearing on 11 February 2022 (received 3 March 2022)
326
ASIC: Answer to question 006 - Mr Hill: s19 ASIC Act - take on notice at the public hearing on 11 February 2022 (received 4 March 2022)
327
ASIC: Answer to question 007 - Mr Hill: s22 ASIC Act - take on notice at the public hearing on 11 February 2022 (received 4 March 2022)
328
ASIC: Answer to question 008 - Mr Hill: s22 ASIC Act - take on notice at the public hearing on 11 February 2022 (received 4 March 2022)
329
ASIC: Answer to question 009 - Mr Hill: s19 ASIC Act - take on notice at the public hearing on 11 February 2022 (received 4 March 2022)
330
ASIC: Answer to question 010 - Mr Hill: s22 ASIC Act - take on notice at the public hearing on 11 February 2022 (received 4 March 2022)
331
ASIC: Answer to question 052-01-05 - Mr Hill: CDDA Scheme - written on notice on 15 February 2022 (received 4 March 2022)
Correspondence
1
2022-02-16 - Letter to the PJC from ASIC - ASIC's Governance framework
Additional Hearing Information
1
Letter from ASIC Deputy Chair, Daniel Crennan QC, correcting the Hansard record from the hearing on 15 July 2020
2
Letter from Industry Super Australia, correcting the record regarding a statement made by the Chair at the hearing on 15 July 2020
3
Correction contained in answer to question on notice QoN 008-03 correcting evidence given by ASIC at the public hearing on 18 November 2020
4
Correction to evidence given by AFCA at the public hearing on 18 June 2021
5
Correction to evidence given by ASIC at the public hearing on 26 November 2021
Tabled Documents
1
ASIC - Recipients of Community Benefits Payment since 1 January 2014 (public hearing, Canberra, 13 September 2019)
2
ASIC – selection from FOI re: NUIX float (public hearing, Canberra, 18 June 2021)