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1
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Australian Securities and Investments Commission - Answer to questions posed 6 September 2019 (received 11 September 2019)
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2
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Australian Securities and Investments Commission - Answer to questions posed 10 October 2019 (received 25 October 2019)
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3
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Australian Securities and Investments Commission - Answer to questions posed 10 October 2019 (received 25 October 2019)
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4
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Australian Securities and Investments Commission - Answer to questions posed 10 October 2019 (received 25 October 2019)
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5
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Australian Securities and Investments Commission - Answers to questions posed on 28 October 2019 (received 27 November 2019)
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6
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Australian Securities and Investments Commission - Answers to questions posed on 27 November 2019 (received 27 November 2019)
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7
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Australian Securities and Investments Commission - Answer to questions posed 19 November 2019 (received 2 December 2019)
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8
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Mr Jeffrey Knapp - Answer to question posed at a public hearing on 29 November 2019 (received 2 December 2019)
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9
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Treasury - Answer to questions posed at a public hearing on 29 November 2019 (received 18 December 2019)
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10
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Financial Reporting Council - Answer to question posed at a public hearing on 29 November 2019 (received 18 December 2019)
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11
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Mr Ken Trotman - Ms Celia Hammond MP - Registered company auditors - from public hearing on 29 November 2019 (received 18 December 2019)
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12
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Australian National Audit Office - Mr Georganas - Quality assurance - public hearing 29 November 2019 (received 19 December 2019)
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13
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Chartered Accountants Australia and New Zealand - Answer to questions posed at a public hearing on 29 November 2019 (received 20 December 2019)
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14
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Australian Securities and Investments Commission - Answer to questions posed 27 November 2019 (received 20 December 2019)
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15
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EY - Senator Whish-Wilson - Tranche 2 AML/CTF laws - public hearing 29 November 2019 (received 20 December 2019)
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16
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EY - Senator Whish-Wilson - Special and general purpose financial statements - public hearing 29 November 2019 (received 20 December 2019)
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17
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EY - Mr Georganas - Report Westpac financial crime - public hearing 29 November 2019 (received 20 December 2019)
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18
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EY - Senator Whish-Wilson - Litigation overview - public hearing 29 November 2019 (received 20 December 2019)
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19
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Deloitte - Senator Whish-Wilson - auditor liability - public hearing 29 November 2019 (received 10 January 2020)
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20
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Deloitte - Senator Whish-Wilson - Corporate failure and audit quality - public hearing 29 November 2019 (received 10 January 2020)
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21
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Deloitte - Senator O'Neill - ASIC Audit inspections - public hearing 29 November 2019 (received 10 January 2020)
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22
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Deloitte - Senator O'Neill - Work health and safety - public hearing 29 November 2019 (received 10 January 2020)
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23
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KPMG - Senator O'Neill - Ferrier Hodgson - public hearing 29 November 2019 (received 10 January 2020)
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24
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KPMG - Senator O'Neill - Work health and safety - public hearing 29 November 2019 (received 10 January 2020)
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25
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KPMG - Senator O'Neill - No disclosure agreements - public hearing 29 November 2019 (received 10 January 2020)
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26
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KPMG - Mr Georganas - Everett assignment - public hearing 29 November 2019 (received 10 January 2020)
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27
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KPMG - Senator O'Neill - Everett Assignment emails - public hearing 29 November 2019 (received 10 January 2020)
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28
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KPMG - Senator Whish-Wilson - List of corporate collapses - public hearing 29 November 2019 (received 10 January 2020)
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29
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KPMG - Senator Whish-Wilson - Litigation trends - public hearing 29 November 2019 (received 10 January 2020)
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30
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KPMG - Senator O'Neill - CPS 220 work - public hearing 29 November 2019 (received 10 January 2020)
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31
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KPMG - Senator O'Neill - section 311 notification statistics - public hearing 29 November 2019 (received 10 January 2020)
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32
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NAB - Mr Georganas - Risk division employee statistics - public hearing 9 December 2019 (received 10 January 2020)
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33
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PwC - Senator Whish-Wilson - ExxonMobile - Special purpose accounts - public hearing 9 December 2019 (received 12 January 2020)
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34
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PwC - Mr Gorman - Westpac War Room - public hearing 9 December 2019 (received 12 January 2020)
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35
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PwC - Senator O'Neill - Offshore Service centres - public hearing 9 December 2019 (received 12 January 2020)
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36
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PwC - Senator O'Neill - CPS 220 - public hearing 9 December 2019 (received 12 January 2020)
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37
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PwC - Senator O'Neill - Retirement payments - public hearing 9 December 2019 (received 12 January 2020)
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38
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EY - Senator O'Neill - CPS 220 proposals - Written questions from 18 December 2020 (received 16 January 2020)
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39
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Auditing and Assurance Standards Board - Senator Whish-Wilson - Breaches of audit laws and standards - Written questions from 23 December 2020 (received 29 January 2020)
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40
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Financial Reporting Council - Senator Whish-Wilson - Retirement plan - Written questions from 23 December 2020 (received 29 January 2020)
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41
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Deloitte - Senator Whish-Wilson - Audit failures - Written questions 23 December 2019 (received 29 January 2020)
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42
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Deloitte - Senator Whish-Wilson - ASIC audit inspections - Written questions 23 December 2019 (received 29 January 2020)
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44
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Deloitte - Senator Whish-Wilson - General purpose financial statements - Written questions 23 December 2019 (received 29 January 2020)
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45
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Deloitte - Senator Whish-Wilson - Money Laundering - Written questions 23 December 2019 (received 29 January 2020)
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46
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Deloitte - Senator Whish-Wilson - Prices and revenue - Written questions 23 December 2019 (received 29 January 2020)
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47
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Deloitte - Senator Whish-Wilson - Partner tax rates - Written questions 23 December 2019 (received 29 January 2020)
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48
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Deloitte - Senator Whish-Wilson - Retirement plans for former partners - Written question 23 December 2019 (received 29 January 2020)
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49
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Deloitte - Senator Whish-Wilson - Financial services remediation programs - Written question 23 December 2019 (received 29 January 2020)
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50
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Deloitte - Senator Whish-Whilson - Government contracts - Written questions 23 Decembe 2019 UPDATED 17 February 2020 (received 29 January 2020)
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51
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KPMG - Senator Whish-Wilson - Audit failures - Written questions 23 December 2019 (received 30 January 2020)
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52
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KPMG - Senator Whish-Wilson - ASIC audit inspections - Written questions 23 December 2019 (received 30 January 2020)
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53
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KPMG - Senator Whish-Wilson - General purpose financial statements - Written questions 23 December 2019 (received 30 January 2020)
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54
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KPMG - Senator Whish-Wilson - Money laundering - Written questions 23 December 2019 (received 30 January 2020)
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55
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KPMG - Senator Whish-Wilson - Prices and revenue - Written questions 23 December 2019 (received 30 January 2020)
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56
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KPMG - Senator Whish-Wilson - Partner tax rates - Written questions 23 December 2019 (received 30 January 2020)
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57
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KPMG - Senator Whish-Wilson - Retirement plans for former partners - Written questions 23 December 2019 (received 30 January 2020)
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58
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KPMG - Senator Whish-Wilson - Financial services remediation programs - Written question 23 December 2019 (received 30 January 2020)
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59
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KPMG - Senator Whish-Wilson - Government contracts - Written question 23 December 2019, updated 12 February 2020 (received 30 January 2020)
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60
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PwC - Senator Whish-Wilson - Audit failure - Written questions 23 December 2019 (received 31 January 2020)
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61
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PwC - Senator Whish-Wilson - ASIC audit inspections - Written questions 23 December 2019 (received 31 January 2020)
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63
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PwC - Senator Whish-Wilson - Money laundering - Written questions 23 December 2019 (received 31 January 2020)
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64
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PwC - Senator Whish-Wilson - Prices and revenue - Written questions 23 December 2019, including correction (received 31 January 2020)
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65
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PwC - Senator Whish-Wilson - Partner tax rates - Written questions 23 December 2019 (received 31 January 2020)
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66
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PwC - Senator Whish-Wilson - Retirement Plans for former partners - Written questions 23 December 2019 (received 31 January 2020)
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67
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PwC - Senator Whish-Wilson - Financial services remediation programs - Written questions 23 December 2019 (received 31 January 2020)
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68
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PwC - Senator Whish-Wilson - Government contracts - Written questions 23 December 2019 (received 31 January 2020)
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69
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EY - Senator Whish-Wilson - Audit failure - Written questions 23 December 2019 (received 3 February 2020, further information received 21 February 2020)
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70
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EY - Senator Whish-Wilson - ASIC Audit Inspections - Written questions 23 December 2019 (received 3 February 2020)
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71
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EY - Senator Whish-Wilson - General Purpose Financial Statements - Written questions 23 December 2019 (received 3 February 2020)
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72
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EY - Senator Whish-Wilson - Money laundering - Written questions 23 December 2019 (received 3 February 2020)
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73
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EY - Senator Whish-Wilson - Prices and revenue - Written questions 23 December 2019 (received 3 February 2020)
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74
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EY - Senator Whish-Wilson - Partner tax rates - Written questions 23 December 2019 (received 3 February 2020)
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75
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EY - Senator Whish-Wilson - Retirement plans for former partners - Written questions 23 December 2019 (received 3 February 2020)
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76
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EY - Senator Whish-Wilson - Financial services remediation programs - Written questions 23 December 2019 (received 3 February 2020)
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77
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EY - Senator Whish-Wilson - Government contracts - Written questions 23 December 2019 (received 3 February 2020)
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78
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Australian Securities and Investments Commission - Senator Whish-Wilson - Audit and auditor's report - Written questions 23 December 2019 (received 5 February 2020)
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79
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Australian Securities and Investments Commission - Senator Whish-Wilson - Auditing standards - Written questions 23 December 2019 (received 5 February 2020)
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80
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Australian Securities and Investments Commission - Senator Whish-Wilson - Auditing inspections - Written questions 23 December 2019 (received 5 February 2020)
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81
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Australian Securities and Investments Commission - Senator Whish-Wilson - Code of ethics for professional Accountants - Written questions 23 December 2019 (received 5 February 2020)
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82
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Australian Securities and Investments Commission - Senator Whish-Wilson - Audit failures - Written question 23 December 2019 (received 5 February 2020)
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83
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Westpac - Senator O’Neill - CPS 220 - Written questions 28 January 2020 (received 6 February 2020)
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84
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Westpac - Senator O’Neill - AML/CTF/Compliance - Written questions 28 January 2020 (received 6 February 2020)
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85
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Australian National Audit Office - Responses to Questions on Notice - public hearing 7 February 2020 (received 11 February 2020)
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86
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CPA Australia - Answers to Questions on Notice - public hearing 7 February 2020 (received 14 February)
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87
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Pitcher Partners - Answer to Questions on Notice - public hearing 7 February 2020 (received 14 February 2020)
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88
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APESB - Prohibitions and Non-Audit Services - public hearing 7 February 2020 (received 14 February 2020)
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89
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APESB - Guidance on Materiality - public hearing 7 February 2020 (received 14 February 2020)
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90
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APESB - Technological solution for Conflicts of Interests - public hearing 7 February 2020 (received 14 February 2020)
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91
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APESB - Monitoring & Enforcement - public hearing 7 February 2020 (received 14 February 2020)
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92
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Maurice Blackburn - Answer to Questions on Notice - public hearing 7 February 2020 (received 14 February 2020)
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93
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Grant Thornton - Answers to Questions on Notice - Public hearing 7 February 2020 (received 15 February 2020)
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94
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Australia Prudential Regulation Authority - Public Hearing 7 February 2020 (received 17 February 2020)
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95
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Australian Securities and Investments Commission – Corporate collapses – written question 19 (received 14 February 2020)
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96
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Australian Securities and Investments Commission – Conflict of interest in ASIC – disciplinary actions – public hearing 7 February 2020 (received 14 February 2020)
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97
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Australian Securities and Investments Commission - Conflict of interest in ASIC – pension payments - public hearing 7 February 2020 (received 14 February 2020)
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98
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Australian Securities and Investments Commission – APRA/ASIC relationship - public hearing 7 February 2020 (received 14 February 2020)
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99
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Westpac - Review of Westpac’s CPS 220 Risk Management Framework – public hearing 7 February 2020 (received 14 February 2020)
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100
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Westpac - Review of IFTI reporting - public hearing 7 February 2020 (received 14 February 2020)
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101
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Westpac - Systems and controls to monitor and report transactions - public hearing 7 February 2020 (received 14 February 2020)
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102
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Westpac - Financial Year 2019 Result announcement - public hearing 7 February 2020 (received 14 February 2020)
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103
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Westpac - Monitoring of AML/CTF - public hearing 7 February 2020 (received 14 February 2020)
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104
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Westpac - Review of Westpac’s Risk Management Framework - public hearing 7 February 2020 (received 14 February 2020)
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105
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BDO Australia - Answers to questions on notice 2 to 6 – public hearing 7 February 2020 (received 14 February 2020)
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106
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Westpac - 2017 CPS 220 - public hearing 7 February 2020 (received 26 February 2020)
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107
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Westpac - Senator O’Neill - EY Engagement partner for CPS220 - Written questions 13 February 2020 (received 27 February 2020)
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108
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Westpac - Senator O’Neill - Review and feedback of Westpac stakeholders - Written questions 13 February 2020 (received 27 February 2020)
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109
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Westpac - Senator O’Neill - Westpac’s use of LitePay and child exploitation - Written questions 13 February 2020(received 27 February 2020)
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110
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Westpac - Senator O’Neill -Previous audit of AML-CTF processes - Written questions 13 February 2020 (received 27 February 2020)
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111
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Westpac - Senator O’Neill - Communications with AUSTRAC regarding child exploitation - Written questions 13 February 2020 (received 27 February 2020)
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112
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Westpac - Senator O’Neill - Westpac capital raising - Written questions 13 February 2020 (received 27 February 2020)
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113
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Westpac - Senator O’Neill - Failure of the Transaction Monitoring System - Written questions 13 February 2020 (received 27 February 2020)
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114
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Westpac - Senator O’Neill - Cross-jurisdictional issues and AML scandal - Written questions 13 February 2020 (received 27 February 2020)
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115
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Westpac - Senator O’Neill - The Share Purchase Plan - Written questions 13 February 2020 (received 27 February 2020)
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116
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Westpac - Senator O’Neill - Remediation in relation to AML scandal - Written questions 13 February 2020 (received 27 February 2020)
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117
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Westpac - Senator O’Neill - Key risk role officers - Written questions 13 February 2020 (received 27 February 2020)
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118
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Westpac - Senator O'Neill - 2020 CPS220 provider - Written questions 13 February 2020 (received 27 February 2020)
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119
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Westpac - Senator O’Neill - Work by Promontory Group, EY, PwC, Deloitte, KPMG - Written questions 13 February 2020 (received 27 February 2020)
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120
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Australia Prudential Regulation Authority - Senator O’Neill - Requirement for GCRA declarations in CPS220 reviews - Written questions 13 February 2020 (received 28 February 2020)
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121
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Australia Prudential Regulation Authority - Senator O’Neill - Will GCRA declarations be in CPS220 reviews - Written questions 13 February 2020 (received 28 February 2020)
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122
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Australia Prudential Regulation Authority - Senator O’Neill - Westpac GCRA breaches - Written questions 13 February 2020 (received 28 February 2020)
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123
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Australia Prudential Regulation Authority - Senator O’Neill - Primary recipient of CPS220 - Written questions 13 February 2020 (received 28 February 2020)
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124
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Australia Prudential Regulation Authority - Senator O’Neill - Communications with Westpac regarding AML risks in CPS220 - Written questions 13 February 2020 (received 28 February 2020)
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125
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Australia Prudential Regulation Authority - Senator O’Neill - Requirement for banks to lodge CPS220 with APRA - Written questions 13 February 2020 (received 28 February 2020)
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126
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Australia Prudential Regulation Authority - Senator O’Neill - When APRA was informed about Westpac AML breaches - Written questions 13 February 2020 (received 28 February 2020)
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127
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Australia Prudential Regulation Authority - Senator O’Neill - APRA actions following Westapc 2017 CPS220 - Written questions 13 February 2020 (received 28 February 2020)
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128
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Deloitte - Senator O'Neill - Retirement plan - Written questions 3, 4, 7 - 14 May 2020 (received 18 June 2020)
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129
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PwC - Senator O'Neill - Retirement plan - Written questions Q22-01-Q22-07 - 14 May 2020 (received 18 June 2020)
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130
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EY - Senator O'Neill - Retirement plan - Written questions Q22-01-Q22-07 - 14 May 2020 (received 18 June 2020)
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131
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KPMG - Senator O'Neill - Retirement plan - Written questions 1-7 - 14 May 2020 (received 18 June 2020)
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132
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EY - Senator O’Neill – Cuts to staff pay and hours – Written questions Q26-01-Q26-07 - 21 May 2020 (received 25 June 2020)
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