Answers to Questions on Notice

Witness QoN Number Committee member Topic Written or Hansard Question date Answer date Response
ASIC1Senator BraggHandling of misconduct reportsWritten15/09/202207/10/2022PDF 135KB
ASIC2Senator O'NeillLicencing - FTX Australia Pty LimitedHansard05/12/202216/01/2023PDF 86KB
ASIC75Senator O'NeillAFCA referralsHansard30/04/202403/06/2024PDF 127KB
ASIC76Mr Hawke MPMatters referred to AATHansard30/04/202403/06/2024PDF 122KB
ASIC77Senator O'NeillEnforcement fundingHansard30/04/202403/06/2024PDF 148 KB
ASIC78Mr Hawke MP and Senator O'NeillCDPP referralsHansard30/04/202403/06/2024PDF 133KB 

ASIC

79Mr Hawke MP and Senator O'NeillRecovery of costsHansard30/04/202403/06/2024PDF 102 KB
ASIC80Senator ScarrAdditional fundingHansard30/04/202403/06/2024PDF 111KB
ASIC81Senator ScarrRetention of penaltiesHansard30/04/202403/06/2024PDF 130KB
ASIC82Senator O'NeillUse of external consultantsHansard30/04/202403/06/2024PDF 119KB
ASIC83Senator O'NeillCriminal vs civilHansard30/04/202403/06/2024PDF 112KB
ASIC84Senator ScarrStatus of briefs with the CDPPHansard30/04/202403/06/2024PDF 113KB
ASIC85Senator ScarrRTC dataHansard30/04/202403/06/2024PDF 116 KB
ASIC86Senator O'NeillExternal advice on NuixHansard30/04/202403/06/2024PDF 104 KB
ASIC87Senator O'NeillDirector IDHansard30/04/202403/06/2024PDF 136KB
ASIC88Senator O'NeillInsolvency law reformHansard30/04/202403/06/2024PDF 187KB
ASIC89Senator O'NeillPre-insolvency advisersHansard30/04/202403/06/2024PDF 119KB
ASIC90Senator O'NeillGaps in financial service provisionHansard30/04/202403/06/2024PDF 115 KB
ASIC91Senator O'NeillCDPP referralsHansard30/04/202403/06/2024PDF 125KB
ASIC92Senator O'NeillComplaint referralWritten09/05/202403/06/2024PDF 446KB
ASIC93Senator O'NeillStaff allocationWritten09/05/202403/06/2024PDF 193KB
ASIC94Senator O'NeillRisk rating systemHansard14/06/202425/07/2024PDF 151 KB
ASIC95Senator Paul ScarrSterlingHansard14/06/202425/07/2024PDF 109KB
ASIC96Senator Paul ScarrCDPP referralsHansard14/06/202425/07/2024PDF 109 KB
ASIC97Senator Deborah O’NeillBank misconductHansard14/06/202425/07/2024PDF 129KB
ASIC98Senator Paul ScarrSummary prosecutionsHansard14/06/202425/07/2024PDF 111KB
ASIC99Senator Paul ScarrRegulatory Triage CommitteeHansard14/06/202425/07/2024PDF 118 KB
ASIC100Senator Deborah O’NeillReview of consultancy procurementsHansard14/06/202425/07/2024PDF 113 KB
ASIC101Senator Deborah O’NeillEngagement of consulting firms and legal servicesHansard14/06/202425/07/2024PDF 224KB
ASIC102Senator Deborah O’NeillConflicts of interest management in use of consultantsHansard14/06/202425/07/2024PDF 140 KB
ASIC103Senator Deborah O’NeillConsulting services for non-enforcement mattersHansard14/06/202425/07/2024PDF 174 KB
ASIC104Senator Deborah O’NeillMortgage brokersHansard14/06/202425/07/2024PDF 116KB
ASIC105Senator Deborah O’NeillStaff allocation to auditHansard14/06/202425/07/2024PDF 127 KB
ASIC106Senator Deborah O’NeillSecurity clearancesHansard14/06/202425/07/2024PDF 118KB
ASIC107Senator Deborah O’NeillAddressing issues with consultantsHansard14/06/202425/07/2024PDF 133 KB
ASIC108Senator Deborah O’NeillCHESS ReplacementHansard14/06/202425/07/2024PDF 144 KB
ASIC109Senator Andrew BraggDixon AdvisoryWritten06/08/202429/08/2024PDF 89KB
ASIC110Senator Andrew BraggEmployee redundancy fundsWritten09/08/202429/08/2024PDF 142KB
ASIC111Senator Andrew BraggASIC Culture Survey ResultsWritten09/08/202419/09/2024PDF 41454KB
ASIC112Senator Deborah O'NeillFocus reviews on design and distribution obligationsHansard01/11/202426/11/2024PDF 132 KB
ASIC114Senator Louise PrattAFCA systemic issue notificationsHansard01/11/202426/12/2024PDF 142 KB
ASIC115Senator Deborah O'NeillPGPA Act non-compliance with finance lawsHansard01/11/202426/11/2024PDF 108 KB
ASIC116Senator Deborah O'NeillPCAOBHansard01/11/202426/11/2024PDF 121 KB
ASIC117Senator Deborah O'NeillConflicts of interest and PCAOBHansard01/11/202426/11/2024PDF 124 KB
ASIC118Senator Deborah O'NeillAudit companiesHansard01/11/202426/11/2024

PDF 122KB
ASIC119Senator Deborah O'NeillAuditor sanctionsHansard01/11/202426/11/2024

PDF 125 KB
ASIC120Senator Deborah O'NeillInteractions with CAANZ, IPA and CPAHansard01/11/202426/11/2024PDF 107 KB
ASIC121Senator Deborah O'Neill and Mr Alex Hawke MP Information Sharing & ConditionsHansard04/03/202507/03/2025139 KB

ASIC

 

122Senator Deborah O'NeillInformation Shared Between ASIC and Professional BodiesHansard04/03/202507/03/2025134 KB
ASIC123Mr Alex Hawke MPInformation sharingHansard04/03/202507/03/202583 KB
ASIC124Senator Louise PrattPrivacy Issues balanced with justice outcomesHansard04/03/202507/03/2025141 KB
ASIC125Senator Louise PrattStrategic MineralsHansard04/03/202507/03/2025196 KB
ASIC126Senator Deborah O'NeillSafe Harbour Provisions/Mosaic BrandsHansard04/03/202507/03/2025136 KB
ASIC127Senator Deborah O’NeillStar EntertainmentHansard04/03/202507/03/2025132 KB
CPA Australia1Senator Deborah O'Neill Various TopicsHansard04/03/202507/03/2025343 KB
Institute of Public Accountants 1Senator Barbara Pocock, Senator Deborah O'Neill and Mr Alex Hawke MPFines and Compliance Mechanisms of MembersHansard04/03/202507/03/2025254 KB
Institute of Public Accountants2Senator Louise PrattCredentialsHansard 04/03/202507/03/2025170 KB
ASIC3Senator O'NeillCrypto - Enforcement staff numbersHansard05/12/202216/01/2023PDF 82KB
ASIC4Senator O'NeillCrypto - ResourcingHansard05/12/202216/01/2023PDF 85KB
ASIC5Senator ScarrLicencing - ResourcingHansard05/12/202216/01/2023PDF 126KB
ASIC6Senator O'NeillASX & CHESS Replacement - industry costsHansard05/12/202216/01/2023PDF 85KB
ASIC7Senator O'NeillASX & CHESS Replacement - forward work plan for current CHESSHansard05/12/202216/01/2023PDF 101KB
ASIC8Senator O'NeillASX & CHESS Replacement - current ASIC-RBA co-regulatory frameworkHansard05/12/202216/01/2023PDF 174KB
ASIC9Senator O'NeillNuix contractHansard05/12/202216/01/2023PDF 81KB
ASIC10Senator O'NeillPerformance measurement in the context of the FRAA reviewHansard05/12/202216/01/2023PDF 133KB
ASIC11Senator ScarrASIC CommitteesHansard05/12/202216/01/2023PDF 468KB
ASIC12Senator ScarrReports of misconduct (ROM) statisticsHansard05/12/202216/01/2023PDF 82KB
ASIC13Senator ScarrRio TintoHansard05/12/202216/01/2023PDF 143KB
ASIC14Senator O'NeillRemediationHansard05/12/202216/01/2023PDF 151KB
ASIC15Senator O'NeillASX & CHESS Replacement - Competition in clearing and settlementHansard05/12/202216/01/2023PDF 159KB
ASIC16The Hon. Mr Pitt MPInsuranceHansard05/12/202216/01/2023PDF 85KB
ASIC17Senator O'NeillPredictive Genetic Information in Life InsuranceWritten20/12/202216/01/2023PDF 111KB
ASIC18Senator O'NeillGreenwashingWritten20/12/202208/02/2023PDF 119KB
ASIC19Senator O'NeillASIC 2021–2022 Annual ReportWritten20/12/202206/02/2023PDF 507KB
ASIC20Senator PrattStrategic Minerals Corporation Pty Ltd (formerly Strategic Minerals Corporation NL)Written19/12/202231/01/2023PDF 132KB
ASIC21Senator O'NeillASIC licence transfersWritten23/02/202328/03/2023PDF 133KB
ASIC22Senator PrattStrategic MineralsWritten27/02/202321/03/2023PDF 123KB
ASIC23Senator PrattDH FlindersHansard23/02/202327/03/2023PDF 116KB
ASIC24Dr Mulino MPCAMACHansard23/02/202321/03/2023PDF 129KB
ASIC25Senator O'NeillPwC Securities Ltd authorised representativesHansard27/06/202327/06/2023PDF686KB
ASIC26Senator ScarrCHESS Replacement Vendor ManagementHansard27/06/202307/08/2023PDF198KB
ASIC27Senator O'NeillCHESS replacement ASIC regulatory authorityHansard27/06/202307/08/2023PDF76KB
ASIC28Senator O'NeillCHESS replacement ASIC regulatory powersHansard27/06/202307/08/2023PDF58KB
ASIC29Senator O'NeillASX CHESS Replacement ASIC regulatory powersHansard27/06/202307/08/2023PDF290KB
ASIC30Senator O'NeillCHESS Replacement Ernst and Young Engagement Hansard27/06/202307/08/2023PDF80KB
ASIC31Senator O'NeillErnst Young Engagement Hansard27/06/202307/08/2023PDF66KB
ASIC32Mr Hawke MPASX CHESS Replacement Hansard27/06/202307/08/2023PDF240KB
ASIC33Senator O'NeillContracts with PwCHansard27/06/202304/09/2023PDF32KB
ASIC34Senator PrattMs Oma strategic mineralsWritten27/06/202304/09/2023PDF51KB
ASIC35Senator O'NeillProfessional bodies notification to ASIC on fit and proper status of their members.Hansard27/06/202304/09/2023PDF31KB
ASIC36Senator PrattCentrepayHansard20/10/202325/10/2023244 KB
ASIC37Senator O'NeillCHESS replacement programWritten27/10/202320/11/2023PDF147KB
ASIC38Senator Barbara PocockPwC ability to disqualify AR and director on fit and proper groundsHansard20/10/202330/11/2023154 KB
ASIC39Senator ScarrPwC application of section 1041HHansard20/10/202330/11/202379 KB
ASIC40Senator Barbara PocockPwC consideration of license applications by those involved in disclosureHansard20/10/202330/11/202376 KB
ASIC41Senator Barbara PocockPwC evidence relied on by ASIC delegate to ban Peter CollinsHansard20/10/202330/11/202378 KB
ASIC42Senator O'NeillPwC Linklaters inquiryHansard20/10/202330/11/202388 KB
ASIC43Senator Barbara PocockPwC Peter Calleja and Sean GregoryHansard20/10/202330/11/2023105 KB
ASIC44Senator Barbara PocockPwC Peter Konidaris and Eddy MoussaHansard20/10/202330/11/202386 KB
ASIC45Senator Barbara PocockPwC Peter van Dongen, Wayne Plummer and Tom SeymourHansard20/10/202330/11/2023106 KB
ASIC46Senator Barbara PocockPwC Richard GreggHansard20/10/202330/11/202384 KB
ASIC47Senator O'NeillSchemesHansard20/10/202330/11/2023105 KB
ASIC48Senator ScarrDebt collectionHansard20/10/202330/11/2023145 KB
ASIC49Senator O'NeillAuditingHansard03/11/202330/11/2023105 KB
ASIC50Senator O'NeillAuditingHansard03/11/202330/11/202398 KB
ASIC51Senator O'NeillCybersecurityHansard03/11/202330/12/202378 KB
ASIC52Senator O'NeillCybersecurityHansard03/11/202330/11/202380 KB
ASIC53Senator O'NeillCybersecurityHansard03/11/202330/11/202378 KB
ASIC54The Hon. Mr Pitt MPCybersecurityHansard03/11/202330/11/202366 KB
ASIC55Senator O'Neill and The Hon. Mr Pitt MPCybersecurity and AIHansard03/11/202330/11/202380 KB
ASIC56Senator O'NeillRemediation and claims handlingHansard03/11/202330/11/202394 KB
ASIC57Senator O'NeillData on creditHansard03/11/202330/11/202376 KB
ASIC58Senator O'NeillCredit and predatory lendingHansard03/11/202330/11/2023116 KB
ASIC59The Hon. Mr Pitt MPClearLoans creditHansard03/11/202330/11/202388 KB
ASIC60Senator O'NeillCancelled or suspended credit licensees April 1 2022 to 9 December 2022Hansard03/11/202330/11/2023144 KB
ASIC61Senator O'NeillSmall Amount Credit Contract (SACC) sectorHansard03/11/202330/11/2023183 KB
ASIC62The Hon. Mr Pitt MPCreditHansard03/11/202330/11/2023132 KB
ASIC63Senator O'NeillCreditHansard03/11/202330/11/2023114 KB
ASIC64Senator O'NeillCapital raisingHansard03/11/202321/12/2023801 KB
ASIC65Senator O'NeillAuditors/NuixHansard03/11/202330/11/2023105 KB
ASIC66Senator O'NeillCrowdfunding and peer-to-peer lendingHansard03/11/202321/12/2023738 KB
ASIC67Senator O'NeillHybrid Capital bondsHansard03/11/202330/11/202379 KB
ASIC68Senator PrattCentrePay and creditHansard03/11/202330/11/2023120 KB
ASIC69Senator PrattCentrePay and creditHansard03/11/202330/11/2023131 KB
ASIC70Senator PrattCentrePay, Urban Rampage and creditHansard03/11/202330/11/202392 KB
ASIC71Senator PrattCredit and target market determinationsHansard03/11/202330/11/202380 KB
ASIC72Senator O'NeillCreditHansard03/11/202330/11/202378 KB
ASIC73Senator PrattDirector IDHansard03/11/202321/12/2023433 KB
ASIC74Senator O'NeillClass Order 02/273 Business Introduction ServicesWritten20/03/202419/04/202498 KB
ASX1Senator O'NeillCHESS Replacement ProjectHansard05/12/202206/02/2023PDF 1.9MB
ASX2Senator O'NeillFRAA review into ASICWritten20/12/202206/02/2023PDF 577KB
ASX3Senator O'NeillGreenwashingWritten20/12/202206/02/2023PDF 591KB
ASX4Senator O'NeillHistorical consultation processHansard23/02/202324/03/2023PDF 1.3MB
ASX5Senator O'NeillComposition of ASX Clear and ASX Settlement BoardsHansard23/02/202324/03/2023PDF 537KB
ASX6Senator O'NeillSelection of Digital AssetHansard23/02/202324/03/2023PDF 548KB
ASX7Senator ScarrShareholding in Digital AssetHansard23/02/202324/03/2023PDF 420KB
ASX
8Senator O'Neill, Senator Scarr, Ms Zaneta Mascarenhas MPVariousHansard 08/06/202323/06/2023PDF 422KB
ASX9Senator O'Neill Changes to regulatory arrangementsWritten27/06/202311/07/2023PDF 552KB
ASX10Senator PrattIndustry consultationsHansard20/10/202310/11/2023193 KB

Mr Alan Cameron, Independent Chair of the ASX Cash Equities Clearing and Settlement Advisory Group

1Senator O'Neill and Senator ScarrBiographies and skills of members of the ASX Cash Equities Clearing and Settlement Advisory GroupHansard20/10/202309/11/2023PDF 445KB
Financial Services Council1Senator O'NeillRegulatory structure to oversee ASXHansard08/06/202326/06/2023PDF 133KB
Governance Institute of  Australia1Senator O'NeillCHESS governance structures and consultationHansard08/06/202311/07/2023PDF 259KB
BoardRoom1Senator O'NeillASIC's recent statements regarding the CHESS Replacement ProjectHansard23/02/202310/03/2023PDF 109KB

Computershare

1Senator O'NeillVariousHansard23/02/202316/03/2023PDF 617KB
FRAA1Senator O'NeillASIC Stakeholder EngagementHansard05/12/202217/01/2023PDF 109KB
LinkGroup1Senator PrattProposed amendments of licensing regime and regulatory obligations for operators of financial marketsHansard23/02/202316/03/2023PDF 221KB
SIAA1Senator O'NeillVariousHansard23/02/202322/03/2023PDF 189KB
EY1Senator O'NeillTeam assigned to EY’s Special Report on the support and maintenance of CHESSHansard27/06/202328/07/2023PDF 101KB
EY2Senator O'NeillTeam assigned to EY’s Special Report on the support and maintenance of CHESS subcontractorsHansard27/06/202328/07/2023PDF 103KB
EY3Senator O'NeillTeam assigned to EY’s Special Report on the support and maintenance of CHESS qualificationsHansard27/06/202328/07/2023PDF 101KB
EY4Senator O'NeillCost of EY’s auditHansard27/06/202328/07/2023PDF 93KB
EY5Senator ScarrRisk mitigation strategiesHansard27/06/202328/07/2023PDF 91KB
EY6Senator O'NeillRisk Themes lack of competitionHansard27/06/202328/07/2023PDF 119KB
Takeovers Panel1Senator O'NeillTakeovers regulation comparisonHansard20/10/202308/12/2023323 KB
Takeovers Panel2Senator PrattCapital raisingHansard20/10/202308/12/2023225 KB
Treasury1Senator O'NeillForeign Investment Review - Application categoriesHansard27/06/202317/07/2023PDF 107KB
Treasury2Senator O'Neill Senator O'Neill-Review Register of Foreign Ownership of Australian AssetsHansard27/06/202317/07/2023PDF 74KB
Treasury3Senator O'NeillDomestic residential and foreign investment overlapHansard27/06/202328/07/2023PDF 82KB
Treasury4Senator O’Neill

ASIC, Takeover Panel, ASX interactions

Hansard27/06/202328/07/2023PDF 70KB
Treasury5Mr Hawke MPSecurity of Critical Infrastructure ActHansard27/06/202328/07/2023PDF 82KB
Treasury6Senator O'NeillIndependent assurance tasksHansard27/06/202320/11/2023PDF 107KB
Treasury7Senator O'NeillQuality of auditsHansard27/06/202320/11/2023PDF 167KB
Cboe Australia1Mr Hawke MPOriginal replacement program designHansard27/06/202328/07/2023PDF 209KB
Cboe Australia2Senator O'NeillWhat is needed from the business committee and the technical committee Hansard27/06/202328/07/2023PDF 163KB
Cboe Australia3Senator O'NeillPost trade settlement services ASX used in the CHESS replacement ProgramHansard27/06/202328/07/2023PDF 151KB
Cboe Australia4Senator O'NeillQuantum of Money that Cboe Australia obtained from ASXHansard27/06/202328/07/2023PDF 131KB
Cboe Australia5Senator O'NeillCboe insights into other countries arrangements for competition clearing and settlementHansard27/06/202328/07/2023PDF 228KB
Cboe Australia7Senator O'NeillCo regulatory model of the RBA and ASIC looks life after settlement facilitiesHansard27/06/202328/07/2023PDF 153KB
Commonwealth Ombudsman1Senator O'NeillASIC handling of mattersWritten11/07/202304/08/2023PDF 341KB
Digital Asset1Senator O'NeillASX CHESS Replacement ProjectHansard27/06/202302/08/2023PDF 16KB
Digital Asset2Senator O'NeillASX CHESS Replacement ProjectHansard08/06/202306/09/2023PDF 167KB
AFCA1Senator O'NeillSystemic issues reported to regulatorsHansard20/10/202316/11/2023PDF 222KB
AFCA2Senator O'NeillComplaints to AFCA about IAG loyalty discountsHansard20/10/202316/11/2023PDF 92KB
AFCA3Senator O'NeillComplaint resolution rates in Tier 2 and 3 banks and financial firmsHansard20/10/202316/11/2023PDF 528KB
AFCA4Senator O'NeillAFCA suggestions to disrupt or prevent financial scamsHansard20/10/202316/11/2023PDF 135KB
AFCA6Senator ScarrAFCA capacity to publicly name firms involved with systemic issuesHansard20/10/202316/11/2023PDF 93KB
AFCA7Senator O'Neill and Senator ScarrFirm engaging in inappropriate debt collection activityHansard20/10/202316/11/2023PDF 88KB
CommSec1Senator O'NeillCHESSWritten08/02/202422/02/2024184 KB

Committee Secretariat contact:

Committee Secretary
Parliamentary Joint Committee on Corporations and Financial Services
PO Box 6100
Parliament House
Canberra ACT 2600

Phone: +61 2 6277 3583
corporations.joint@aph.gov.au