Appendix 1 - Submissions and additional information

Appendix 1Submissions and additional information

1Australian Securities and Investments Commission

1.1 Supplementary to submission 1

1.2 Supplementary to submission 1

1.3 Supplementary to submission 1

1.4 Supplementary to submission 1

1.5 Supplementary to submission 1

1.6 Supplementary to submission 1

2Australian Financial Complaints Authority

Additional Information 1

3Australian Small Business and Family Enterprise Ombudsman

4Maurice Blackburn Lawyers

5Australian Banking Association

6Consumer Action Law Centre

7Financial Services Council

8Institute of Public Affairs

9Small Business Development Corporation

10Law Council of Australia

11Australian Institute of Company Directors

12Mr James Shipton, Melbourne School of Government

13Dr David Millhouse

Additional Information 1

14Chartered Accountants Australia and New Zealand

15Australian Restructuring Insolvency and Turnaround Association

16Stockbrokers and Investment Advisers Association

17Institute of Public Accountants

18Associate Professor Marina Nehme

19Associate Professor Andy Schmulow

20Professor Jason Harris

21Adams Economics

21.1 Supplementary to submission 21

22Confidential

22.1 Confidential

23Confidential

24Mr John Hinde

25Mr Peter Keenan

26Mr Dennis Ryle

27Mr Laurence Thomas

28Name Withheld

29Name Withheld

30Name Withheld

31Name Withheld

32Name Withheld

33Name Withheld

34Name Withheld

35Name Withheld

36Name Withheld

37Name Withheld

38Name Withheld

39Name Withheld

40Confidential

41Confidential

42Confidential

43Confidential

44Confidential

45Confidential

46Mr Michael Sanderson

47Dr Evan Jones

48Mr Donald Carter

49Mr Niall Coburn

50A/Prof Vivienne Brand and Mr Jordan Tutton

51Prime Trust Action Group

52CISA Consulting Pty Ltd

53Sterling First Action Group

54Mrs Denise Brailey

55Ms Caroline Read

56Mr Jaime Asher

57Mr Lindsay David

58Mr Graeme Medhurst

59Madgwicks

60Australian Citizens Party

61Mr Lachlan Walden

62Bank Reform Now

63Financial Planning Association

64Name Withheld

65Name Withheld

66Name Withheld

67Name Withheld

68Name Withheld

69Name Withheld

70Name Withheld

71Name Withheld

72Name Withheld

73Name Withheld

74Name Withheld

75Name Withheld

76Name Withheld

77Name Withheld

78Name Withheld

79Name Withheld

80Name Withheld

81Name Withheld

82Name Withheld

83Name Withheld

84Name Withheld

85Name Withheld

86Name Withheld

87Name Withheld

88Name Withheld

89Name Withheld

90Name Withheld

91Name Withheld

92Name Withheld

93Name Withheld

94Name Withheld

95Name Withheld

96Name Withheld

97Name Withheld

98Name Withheld

99Name Withheld

100Name Withheld

101Name Withheld

102Name Withheld

103Name Withheld

104Name Withheld

105Name Withheld

106Name Withheld

107Name Withheld

110Confidential

111Confidential

112Confidential

113Confidential

114Confidential

115Mr Bruce Golightly

116Confidential

117Confidential

118Confidential

119Confidential

120Confidential

121Confidential

122Confidential

123Confidential

124Confidential

125Confidential

126Confidential

127Confidential

128Confidential

129Confidential

130Confidential

131Confidential

132Confidential

133Confidential

134Confidential

135Confidential

136Confidential

137Confidential

138Confidential

139Confidential

140Confidential

141Confidential

142Confidential

143Association of Financial Advisers

144Name Withheld

145Name Withheld

146Name Withheld

147Name Withheld

148Name Withheld

149Name Withheld

150Name Withheld

151Name Withheld

152Name Withheld

153Name Withheld

154Name Withheld

155Name Withheld

156Name Withheld

157Name Withheld

158Name Withheld

159Name Withheld

160Name Withheld

161Name Withheld

162Name Withheld

163MAYFAIR 101

163.1 Supplementary to submission 163

163.2 Supplementary to submission 163

163.3 Supplementary to submission 163

163.4 Supplementary to submission 163

164CPA Australia

165Chartered Accountants Australia and New Zealand

166Tax Practitioners Board

167Professor Andy Schmulow, Dr Corinne Cortese, Professor Brendan Lyon and Dr John-Paul Monck

168Confidential

169Confidential

170Australian Taxation Office

171Professor James Guthrie, Professor John Dunmay, Professor Jane Andrew and Dr Erin Twyford

172Confidential

173Adams Economics

173.1 Supplementary to submission 173

174Confidential

175Confidential

176Name Withheld

177Confidential

177.1 Confidential

177.2 Confidential

177.3 Confidential

177.4 Confidential

177.5 Confidential

178Confidential

179Mr Mark Allen

180Confidential

181Confidential

182Dr Ian Cornford

183National Credit Providers Association

184Confidential

185Mr Stephen Helberg

186Confidential

187Name Withheld

188Mr Christopher Budd

189Confidential

190Name Withheld

191Confidential

192the Honorable Mr Bob Katter Federal Member for Kennedy

193Name Withheld

194Mr & Mrs Roger & Tracy Gott

Additional Information 1

Additional Information 2

195Confidential

196Confidential

197Mr Rob Gower

198Dr Eugene Schofield-Georgeson

Additional Information

1Correspondence to the Committee - Mark Bishop - Written inputs on Whistleblowing - Received 3.11.23

2Correspondence to the Committee - AFCA letter of correction regarding information provided during 1 November 2023 Public Hearing in Canberra - Received 1.12.23

Answers to Question on Notice

1ASIC-001: answers to written questions on notice asked by Senator Andrew Bragg - Engagement with federal parliament (received on 18 November 2022).

2ASIC-002: answers to written questions on notice asked by Senator Andrew Bragg - Nuix (received on 5 December 2022).

3ASIC-003: answers to written questions on notice asked by Senator Andrew Bragg - Bronxx & superannuation insider trading investigation 2020-2021 (received on 5 December 2022).

4ASIC-004: answers to written questions on notice asked by Senator Andrew Bragg - Request for copies of correspondence to Senator’s office (received on 25 November 2022).

5ASIC-005: answers to written questions on notice asked by Senator Andrew Bragg - ALS Limited (received on 5 December 2022).

6ASIC-006: answers to written questions on notice asked by Senator Andrew Bragg - Superannuation insider trading investigation 2021-22 – PII claim (received on 2 March 2023).

7ASIC-007: answers to written questions on notice asked by Senator Andrew Bragg - Nuix - Insider trading - Black Hat investigation (received on 6 February 2023).

8ASIC-008: answers to written questions on notice asked by Senator Andrew Bragg - Nuix – Insider trading - Ongoing investigation (received on 6 February 2023).

9ASIC-009: answer to written questions on notice asked by Senator Andrew Bragg - Kalkine (received on 16 January 2023).

10ASIC-010: answers to written questions on notice asked by Senator Andrew Bragg - AFR articles (received on 2 March 2023).

11ASIC-011: answers to written questions on notice asked by Senator Andrew Bragg - Melissa Caddick (received on 20 February 2023).

12ASIC-012: answers to written questions on notice asked by Senator Andrew Bragg - Magnis (received on 21 February 2023).

13ASIC-013: answers to written questions on notice asked by Senator Andrew Bragg - JFS Hair Management (received on 3 March 2023).

14ASIC-014: answers to written questions on notice asked by Senator Andrew Bragg - Commissioner Hughes LinkedIn post (received on 3 March 2023).

15ASIC-015: answers to written questions on notice asked by Senator Andrew Bragg - IRexchange (received on 30 March 2023).

16ASIC-016: answers to written questions on notice asked by Senator Andrew Bragg - Melissa Caddick (received on 30 March 2023).

17ASIC-017: answers to written questions on notice asked by Senator Andrew Bragg - Treasury Investigation(received on 28 June 2023).

18ASIC-018: answers to written questions on notice asked by Senator Andrew Bragg - Kris Ridgway(received on 8 June 2023).

19ASIC-019: answers to questions on notice asked by Senator Jess Walsh at private briefing on 3 May 2023- Prioritising complaints (received on 21 July 2023).

20ASIC-020: answers to questions on notice asked by Senator Andrew Bragg at private briefing on 3 May 2023- Complaints from professional bodies(received on 29 June 2023).

21ASIC-021: answers to questions on notice asked by Senator Andrew Bragg at private briefing on 3 May 2023- Serious Financial Crimes Taskforce (received on 29 June 2023).

22ASIC-022: answers to questions on notice asked by Senator Andrew Bragg at public hearing on 23 June 2023- Unions and superannuation (received on 21 July 2023).

23ASIC-023: answers to questions on notice asked by Senator Andrew Bragg at public hearing on 23 June 2023- Dixon Advisory Settlement (received on 21 July 2023).

24ASIC-024: answers to questions on notice asked by Senator Andrew Bragg at public hearing on 23 June 2023- AFR Article - Communicating with Treasury (received on 21 July 2023).

25ASIC-025: answers to questions on notice asked by Senator Jess Walsh at public hearing on 23 June 2023- Matters Assessed as needing no further action (received on 21 July 2023).

26ASIC-026: answers to questions on notice asked by Senator Jess Walsh at public hearing on 23 June 2023- How ASIC handles reports of misconduct (received on 21 July 2023).

27ASIC-027: answers to questions on notice asked by Senator Andrew Bragg at public hearing on 23 June 2023- ASIC Policy about Devices (received on 21 July 2023).

28ASIC-028: answers to questions on notice asked by Senator Deborah O'Neil at public hearing on 23 June 2023- PwC Authorised Representatives (received on 26 July 2023).

29ASIC-029: answers to questions on notice asked by Senator Malcolm Roberts post public hearing 23 June 2023 on 28 June 2023 - ASIC investigation record (received on 7 August 2023).

30ASIC-030: answers to questions on notice asked by Senator Malcolm Roberts post public hearing 23 June 2023 on 28 June 2023 - ASIC Organisational Review (received on 7 August 2023).

31ASIC-031: answers to questions on notice asked by Senator Malcolm Roberts post public hearing 23 June 2023 on 28 June 2023 - FOI Documents provided to Mr Adams (received on 7 August 2023).

32ASIC-032: answers to questions on notice asked by Senator Malcolm Roberts post public hearing 23 June 2023 on 28 June 2023 - ASIC ability to speak about ASIC investigations with Government (received on 7 August 2023).

33ASIC-033: answers to questions on notice asked by Senator Malcolm Roberts post public hearing 23 June 2023 on 28 June 2023 - ASIC procedures relating to National Anti-Corruption Commission (received on 7 August 2023).

34ASIC-034: answers to questions on notice asked by Senator Malcolm Roberts post public hearing 23 June 2023 on 28 June 2023 - ASIC enforcement errors and Office of Enforcement training (received on 7 August 2023).

35ASIC-035: answers to questions on notice asked by Senator Malcolm Roberts post public hearing 23 June 2023 on 28 June 2023 - ASIC phone policy (received on 7 August 2023).

36ASIC-036: answers to written questions on notice asked by Senator Andrew Bragg on 4 July 2023 - Plutus Payroll tax fraud (received 4 September 2023).

37CDPP-001: answers to questions on notice asked by Senator Andrew Bragg at a public hearing on 24 August 2023 – ASIC referrals to the CDPP (received 22 September 2023).

38FAAA-001: answers to questions on notice asked by Senator Andrew Bragg at a public hearing on 23 August 2023 – Financial advisors (received 22 September 2023).

39CDPP–002: answers to questions on notice asked by Senator Andrew Bragg – Prosecution of corporate crime matters (Received on 6 October 2023).

40ASIC-038: answers to questions on notice written by Chair Senator Andrew Bragg on 1 August 2023 - Weekend Australian Article on Mayfair Case (received on 23 October 2023).

41ASIC-051: answers to questions on notice written by Chair Senator Andrew Bragg on 6 September 2023- ASIC Corporate (received on 23 October 2023).

42ASIC-052: answers to questions on notice written by Senator Malcolm Roberts on 14 September 2023- Investigation from Adams and Coburns report (received on 23 October 2023).

43ASIC-039: answers to questions on notice written by Chair Senator Andrew Bragg on 1 August 2023- ASIC Organisation Review and Travel (received on 29 September 2023). Correction Letter to question on notice received 7 December 2023.

44ASIC-041: answers to questions on notice written by Chair Senator Andrew Bragg on 10 August 2023- Boutique Capital (received on 29 September 2023).

45ASIC-042: answers to questions on notice written by Chair Senator Andrew Bragg on 10 August 2023 - Blue Sky (received on 29 September 2023).

46ASIC-043: answers to questions on notice written by Chair Senator Andrew Bragg on 5 September 2023 - Nigel Flowers (received on 29 September 2023).

47ASIC-044: answers to questions on notice written by Chair Senator Andrew Bragg on 6 September 2023 - Insolvency (received on 29 September 2023).

48ASIC-046: answers to questions on notice written by Chair Senator Andrew Bragg on 6 September 2023 - Nuix (received on 29 September 2023).

49ASIC-048: answers to questions on notice written by Chair Senator Andrew Bragg on 6 September 2023 - Greywolf Mining Resources (received on 29 September 2023).

50ASIC-049: answers to questions on notice written by Chair Senator Andrew Bragg on 6 September 2023 - Financial Advisers (received on 29 September 2023).

51ASIC-050: answers to questions on notice written by Chair Senator Andrew Bragg on 6 September 2023 - Coutenay House (received on 29 September 2023).

52CDPP- 003: answers to questions on notice written by Chair Senator Andrew Bragg on 28 September 2023 – Prosecution of corporate crime matters (received 30 October 2023)

53Treasury-001: answers to written questions on notice asked by Chair Senator Andrew Bragg on 23 October 2023 - Multiple Subjects (received on 9 November 2023).

54ASIC-055: answers to questions on notice written by Chair Senator Andrew Bragg on 10 October 2023 - Team Allocation (received on 13 November 2023).

55CDPP-003: answers to questions on notice written by Chair Senator Andrew Bragg on 2 November 2023 - ACCC Referrals (received on 24 November 2023).

56ASIC-056: answers to questions on notice written by Chair Senator Andrew Bragg on 11 October 2023 - Gabriel Bernarde and Shortselling (received on 27 November 2023).

57ASIC-057: answers to questions on notice written by Chair Senator Andrew Bragg on 12 October 2023 - Australian Home Investments (received on 27 November 2023).

58ASIC-058: answers to questions on notice written by Chair Senator Andrew Bragg on 18 October 2023 - Farmers and Agricultural Loans (received on 27 November 2023).

59ASIC-059: answers to questions on notice written by Chair Senator Andrew Bragg on 18 October 2023 - Sutton (received on 27 November 2023).

60ASIC-060: answers to questions on notice written by Chair Senator Andrew Bragg on 18 October 2023 - Kalkine (received on 27 November 2023).

61ASIC-061: answers to questions on notice written by Chair Senator Andrew Bragg on 18 October 2023 - DW8 (received on 27 November 2023).

62ASIC-045: answers to questions on notice written by Chair Senator Andrew Bragg on 6 September 2023 - Magnis Technologies (received on 29 September 2023).

63ASIC-047: answers to questions on notice written by Chair Senator Andrew Bragg on 6 September 2023 - IRexchange (received on 29 September 2023).

64AFCA-001: Answers to questions on notice asked by Senator Andrew Bragg at 1 November 2023 Public Hearing - Reports on ASIC (Received 1 December 2023).

65Treasury-002: answers to questions on notice asked by Senator Andrew Bragg at 1 November 2023 public hearing - White Collar crime in Australia (received 1 December 2023).

66Treasury-003: answers to question on notice asked by Senator Andrew Bragg at 1 November 2023 public hearing - Effectiveness of enforcement mechanisms for corporate crime (received 1 December 2023).

67Schmulow-001: answers to questions on notice asked by Senator Andrew Bragg at 1 November 2023 public hearing - Various subjects in relation to financial regulators (received on 4 December 2023).

68ASIC-054: answers to questions on notice written by Chair Senator Andrew Bragg on 6 October 2023 - Accommodation Expenditure (received on 7 December 2023).

69Tutton & Brand-001: answers to questions on notice asked by Senator Jess Walsh on 1 November 2023- Misconduct reports from the public (received on 24 November 2023).

70ASIC-062: answers to questions on notice written by Chair Senator Andrew Bragg on 18 October 2023 - Prime Trust (received on 22 December 2023).

71ASIC-063: answers to questions on notice written by Chair Senator Andrew Bragg on 18 October 2023 - Brian Locke (received on 22 December 2023).

72ASIC-064: answers to questions on notice written by Chair Senator Andrew Bragg on 23 October 2023 - Governance Structures (received on 22 December 2023).

73ASIC-065: answers to questions on notice written by Chair Senator Andrew Bragg on 23 October 2023 - Employment and accountability arrangements for commissioners (received on 22 December 2023).

74ASIC-066: answers to questions on notice written by Chair Senator Andrew Bragg on 23 October 2023 - Response to allegations of bullying (received on 22 December 2023).

75ASIC-067: answers to questions on notice written by Chair Senator Andrew Bragg on 23 October 2023 - Providing accurate evidence to Parliament (received on 22 December 2023).

76ASIC-068: answers to questions on notice written by Chair Senator Andrew Bragg on 2 November 2023 - Unconscionable conduct (received on 22 December 2023).

77ASIC-069: answers to questions on notice written by Chair Senator Andrew Bragg on 3 November 2023 - Dominique Grubisa (received on 22 December 2023).

78ASIC-070: answers to questions on notice written by Chair Senator Andrew Bragg on 8 November 2023 - CDPP Data (received on 22 December 2023).

79ASIC-071: answers to questions on notice written by Chair Senator Andrew Bragg on 13 November 2023 - Travel Expenses (received on 22 December 2023).

80ASIC-072: answers to questions on notice written by Chair Senator Andrew Bragg on 17 November 2023 - Dixon Advisory (received on 22 December 2023).

81ASIC-073: answers to questions on notice written by Chair Senator Andrew Bragg on 23 November 2023 - Dixon Advisory (received on 22 December 2023).

82ASIC-074: answers to questions on notice written by Chair Senator Andrew Bragg on 8 November 2023 - Aust-Homes Investments (received on 22 December 2023).

83ASIC-075: answers to questions on notice written by Chair Senator Andrew Bragg on 3 January 2024 - Foreign Bribrery and Phoslock Environmental Technologies (received on 23 February 2024).

84ASIC-076: answers to questions on notice written by Senator Malcolm Roberts on 5 February 2024- ASIC Investigation from Adams and Coburn Report (received on 23 February 2024).

85ASIC-078: answers to questions on notice written by Senator Andrew Bragg on 2 April 2024 – ASIC’s staff survey (received 13 May 2024).

86ASIC-079: answers to questions on notice written by Senator Andrew Bragg on 19 April 2024 – Appropriation, levies and regulator fine (received 13 May 2024).

87ASIC-077: answers to written questions on notice from Senator Malcolm Roberts on 28 March 2024 – ASIC investigation from Adams and Coburn report (received on 13 June 2024).

88ASIC-080: answers to written questions on notice from Senator Andrew Bragg on 17 May 2024 – ASIC’s overall expenditure (received 13 June 2024).

89ASIC-081: answers to written questions on notice from Senator Andrew Bragg on 30 May 2024 –CDPP Referrals (received on 19 June 2024).

90ASIC-082: answers to written questions on notice from Senator Andrew Bragg on 13 June 2024 –Gold and Copper Resources (received on 21 June 2024).

91ASIC-083: answers to written questions on notice from Senator Andrew Bragg on 14 June 2024 –Mr Anton Wilson (received on 21 June 2024).

Tabled Documents

1Opening statement made by Mr Joe Longo for the Australian Securities & Investments Commission during a public hearing in Canberra on Friday, 23 June 2023.