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