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.