Appendix 1 Submissions and additional information
1Society of Corporate Law Academics (SCoLA)
2FinClear
3National Stock Exchange of Australia Limited (NSXA)
4Financial Services Council (FSC)
5Governance Institute of Australia Ltd
6Computershare
6.1 Supplementary to submission 6
7Australian Securities and Investments Commission (ASIC)
8Cboe Australia
9Digital Asset
10Australian Securities Exchange (ASX)
Tabled documents
1ASIC-Reserve Bank of Australia (RBA) joint statement on the ASX Clearing House Electronic Subregister System replacement program, 17 November 2022. Tabled by Senator O'Neill at a public hearing on 5December 2022
2ASX media release, 17 November 2022. Tabled by Senator O'Neill at a public hearing on 5 December 2022
3Josh Taylor, 'FTX bypassed regular process for obtaining Australian financial services licence', The Guardian, 23 November 2022. Tabled by Senator O'Neill at a public hearing on 5 December 2022
4David Ferrall, 'Technology is the solution to the ASX's CHESS troubles,' Australian Financial Review, 5December 2022. Tabled by Senator O'Neill at a public hearing on 5December 2022
5Table extracted from the IMF Global Financial Stability Report (October 2021), p. xii, ‘Net Flows into Investment Funds by Fund Label, 2010:Q1–20:Q4’. Tabled by Senator O'Neill at a public hearing on 5 December 2022
6ASIC Opening Statement, 23 February 2023. Tabled by ASIC at a public hearing on 23February 2023
7ASIC Notices to the ASX, 21 February 2023. Tabled by ASIC at a public hearing on 23February 2023
8ASIC Letter to Senate Economics Legislation Committee regarding the investigation into Deputy Chair Karen Chester, 22 February 2023. Tabled by ASIC at a public hearing on 23 February 2023
9ASX Opening Statement, 23 February 2023. Tabled by the ASX at a public hearing on 23 February 2023
10ASX CHESS Replacement Factsheet, June 2020. Tabled by the ASX at a public hearing on 23 February 2023
11Digital Asset Opening Statement, 8 June 2023. Tabled by Senator O'Neill at a public hearing 8 June 2023
12NSXA Opening Statement, 8 June 2023. Tabled by Senator O'Neill at a public hearing 8June 2023
13NSXA Handout to Parliamentary Joint Committee, 8 June 2023. Tabled by SenatorO'Neill at a public hearing 8 June 2023
14Financial Services Council Opening Statement, 8 June 2023. Tabled by Senator O'Neill at a public hearing 8 June 2023
15ASX Opening Statement, 8 June 2023. Tabled by Senator O'Neill at a public hearing 8June 2023
16Foreign Investment Review Board (FIRB) Investment Policy Handout, 27 June 2023.Tabled by FIRB at public hearing 27June 2023
Additional information
1ASX opening statement provided at a public hearing on 5 December 2022
Answers to questions on notice
1ASIC-001: Senator Bragg - Handling of misconduct reports: asked in writing of ASIC, 15 September 2022 (received 7 October 2022)
2FRAA-001. Senator O'Neill - ASIC Stakeholder Engagement: asked of FRAA at a public hearing, 5 December 2022 (received 17 January 2023)
3ASIC-002. Senator O'Neill - Licensing - FTX Australia Pty Limited: asked at a public hearing, 5 December 2022 (received 16 January 2023)
4ASIC-003. Senator O'Neill - Crypto - Enforcement staff numbers: asked at a public hearing, 5 December 2022 (received 16 January 2023)
5ASIC-004. Senator O'Neill - Crypto - Resourcing
6ASIC-005. Senator Scarr - Licencing - Resourcing: asked at a public hearing, 5December 2022 (received 16 January 2023)
7ASIC-006. Senator O'Neill - ASX & CHESS Replacement - industry costs: asked at a public hearing, 5 December 2022 (received 16 January 2023)
8ASIC-007. Senator O'Neill - ASX & CHESS Replacement - forward work plan for current CHESS: asked at a public hearing, 5 December 2022 (received 16 January 2023)
9ASIC-008. Senator O'Neill - ASX & CHESS Replacement - current ASIC-RBA
co-regulatory framework: asked at a public hearing, 5 December 2022 (received16January 2023)
10ASIC-009. Senator O'Neill - Nuix contract: asked at a public hearing, 5 December 2022 (received 16 January 2023)
11ASIC-010. Senator O'Neill - Performance measurement in the context of the FRAA review: asked at a public hearing, 5 December 2022 (received 16 January 2023)
12ASIC-011. Senator Scarr - ASIC Committees: asked at a public hearing,5 December 2022 (received 16 January 2023)
13ASIC-012. Senator Scarr - Reports of misconduct (ROM) statistics: asked at a public hearing, 5 December 2022 (received 16 January 2023)
14ASIC-013. Senator Scarr - Rio Tinto: asked at a public hearing, 5 December 2022 (received 16 January 2023)
15ASIC-014. Senator O'Neill - Remediation: asked at a public hearing, 5 December 2022 (received 16 January 2023)
16ASIC-015. Senator O'Neill - ASX & CHESS Replacement - Competition in clearing and settlement: asked at a public hearing, 5 December 2022 (received 16 January 2023)
17ASIC-016. The Hon. Mr Pitt MP - Insurance: asked at a public hearing, 5 December 2022 (received 16 January 2023)
18ASIC-017. Senator O'Neill - Predictive Genetic Information in Life Insurance: asked in writing 20 December 2022 (received 16 January 2023)
19ASIC-018. Senator O'Neill - Greenwashing: asked in writing 20 December 2022 (received 8 February 2023)
20ASIC-019. Senator O'Neill - ASIC 2021-2022 Annual Report: asked in writing 20December 2022 (received 6 February 2023)
21ASIC-020. Senator Pratt - Strategic Minerals Corporation Pty Ltd (formerly Strategic Minerals Corporation NL): asked in writing 19 December 2022 (received 31 January 2023)
22ASX-001. Senator O'Neill - CHESS Replacement Project: asked at a public hearing, 5December 2022 (received 6 February 2023)
23ASX-002. Senator O'Neill - FRAA review into ASIC: asked in writing, 20 December 2022 (received 6 February 2023)
24ASX-003. Senator O'Neill - Greenwashing: asked in writing, 20 December 2022 (received 6 February 2023)
25BoardRoom-001. Senator O'Neill - ASIC's recent statements regarding the CHESS Replacement Project: asked at a public hearing, 23 February 2023 (received 10 March 2023)
26LinkGroup-001. Senator Pratt - Proposed amendments of licensing regime and regulatory obligations for operators of financial markets: asked at a public hearing, 23February 2023 (received 16 March 2023)
27Computershare-001. Senator O'Neill - Various: asked at a public hearing, 23 February 2023 (received 16 March 2023)
28ASX 008. Senator O'Neill - Various: asked at a public hearing, 8 June 2023 (received23June 2023)
29FSC 001. Senator O'Neill: asked at a public hearing, 8 June 2023 (received 26 June 2023)
Correspondence
1Correspondence from ASX to PJC CFS regarding ASX's decision making process for the chess replacement project 29 June 2023