Page 4 Freedom of Information

FOI 255 to the Minister of Finance New Zealand September 25th 2014

sought from the MoF a list the unlicensed brokers who operated in the Philippines that came to the attention the then NZ Securities Commission and were listed as a warning on the NZ Securities Commission's web site. The period of interest is 2000 to 2005.

October 16th 2014 The Minister of Finance provided a link to view requested document click here.


FOI 205 to ASIC - Bank Statement

Start July 8th 2014 seek bank statements showing the movement of cash for the transactions from various funds to Exploration Funds in return for worthless assets after ANZ removed as Custodian replaced by AAM. September 9th 2014 from ASIC. Received one doc ‘20140909 - FOI 205 - decision letter.pdf" (31 pages) first 5 pages cover letter, Schedule of Documents (36 items) and rest of document ANZ Bank statements. FIN.

20140909 - FOI 205 - decision letter.pdf 20140909 - FOI 205 - decision letter.pdf
Size : 3908.647 Kb
Type : pdf

FOI 206 to APRA - Risk based variation.

Start July 31st 2014 seek APRA's "risk based supervision with the Trio board increased significantly in 2008-09 relative to 2004-05" please provide documentation supporting this variation. September 8th 2014 from APRA. Received three docs, first ‘APRA Supervision Blueprint.pdf’ (13 pages) APRA publication dated January 2010. Second doc ‘FOI Request_14.002748 (206).pdf’ (5 pages cover letter with Schedule of Documents (2 items) and blank page. Third doc ‘SOARS Publication.pdf’ (12 pages) APRA pub. dated June 2012. None of the documents cover "fraud", "self managed" or "SIS Act" and generic documents relevant to request. FIN.

APRA Supervision Blueprint.pdf APRA Supervision Blueprint.pdf
Size : 201.831 Kb
Type : pdf
FOI Request_14.002748 (206).pdf FOI Request_14.002748 (206).pdf
Size : 1035.159 Kb
Type : pdf
SOARS Publication.pdf SOARS Publication.pdf
Size : 354.317 Kb
Type : pdf

FOI 207 to APRA - Risk level

Start July 31st 2014 seek document of risk level of the Trio Capital fund in June 2008 to July 2009. September 8th 2014 from APRA. Received two docs ‘FOI Request_14.002748 (207).pdf’ (5 pages) cover letter and Schedule of Documents (1 item) one blank page. Second doc ‘Section 56 of the Australian Prudentrial Regulation Authority Act 1998.pdf14.002748 (207).pdf’ (9 pages) APRA Act 1998. Not relevant to request. FIN.

FOI Request_14.002748 (207).pdf FOI Request_14.002748 (207).pdf
Size : 981.828 Kb
Type : pdf

FOI 216 to APRA - Doc to support claim

Start July 31st 2014 seek documentation held by APRA that supports either of these claims in relation to the Trio Capital fund in January 2008 to July 2009. 1. Mr Ripoll said it is "abundantly clear" that SMSFs had no protection (PJC Inquiry 22/09/2011) 2. Senator Sherry found nothing to indicate "in any way, shape or form that an SMSF is not compensated in the event of theft and fraud" (PJC Inquiry 4 April 2012). September 8th 2014 from APRA. Received doc 216_20140908.pdf (6 pages) cover letter including Part 23 SIS Act. Not relevant to request. FIN.

216_20140908.pdf 216_20140908.pdf
Size : 2825.223 Kb
Type : pdf

FOI 231 to APRA – Intermingling

Start August 10th 2014 seek documentation about the intermingling of various Trio Capital funds into one bank account. October 7th 2014 APRA demand $30.00 fee charge. September 15th 2014 from APRA. Received two files, first ‘14.002748(231)_20140915.pdf’ (4 pages) cover letter and Schedule of Documents (1 item). Second doc ‘Prudential-Practice-Guide-SPG-530-Investment-Governance[1].pdf’ (29 pages) generic APRA doc ‘Prudential-Practice-Guide’ dated November 2013. Not relevant to specific request. FIN.

14.002998_20140926.pdf 14.002998_20140926.pdf
Size : 690.858 Kb
Type : pdf
14.002998_20141007.pdf 14.002998_20141007.pdf
Size : 895.887 Kb
Type : pdf

FOI 236 to ASIC - Spreadsheet & appendix

Start August 26th 2014 seek document ASIC noted in it's submission September 2011 at p11 "When our inquiries and investigations are complete, we will review the Appendix 4 to assess the extent to which it can be made public" and also ASF spreadsheet sent by Richard Bell, New York to Shawn Richard in Sydney, late 2009 early 2010. November 24th 2014 from ASIC. Received two files, first ENF2014/20008 ‘20141124 - FOI 236 - letter.pdf’ (12 pages) cover letter and Schedule of Documents (55 items) all exempt bar two, refused under section 37(1) 37(2)(b) 45, 47E and 47F. Second file ENF2014/14353 ‘20141007 - FOI 236 - letter.pdf’ (2 pages) list of public examinations and EU. FIN.

20141124 - FOI 236 - letter.pdf 20141124 - FOI 236 - letter.pdf
Size : 673.558 Kb
Type : pdf

FOI 239 to ASIC - Investigation expenditure

Start September 3rd 2014 seek document of ASIC's ongoing investigations expenditure into the Trio Capital fraud for the period October 2013 to September 2014. December 10th 2014 from ASIC. Received doc ‘20140929 - FOI 239 - letter.pdf’ (3 pages) cover letter and Sum of Amount list. FIN.

20140929 - FOI 239 - letter.pdf 20140929 - FOI 239 - letter.pdf
Size : 97.902 Kb
Type : pdf

FOI 281 to AFP - Money trail

Start October 31st 2014 seek document of AFP directive to follow the money trail of the alleged theft in 2002 from China's state assets into Australia via Gao Yan and document of AFP directive not to follow the $186m of ordinary citizen's savings that disappeared out of Australia via the Trio Capital fund. January 16th 2015 from AFP. Received three files, first ‘Redacted Documents.pdf’ (14 pages) redacted and difficult to read. Second doc ‘Schedule of Decision.pdf’ (5 pages) Schedule of Documents (8 items) exempt s22(1)(a)(ii), s33(a)(iii), s33(b), s47E(d), s37(1)(a), s37(2)(b), s47C(1), s47G(1)(b) and s47F. Third doc ‘Signed Decision Letter.pdf’ (13 pages) cover letter. FIN.

Redacted Documents.pdf Redacted Documents.pdf
Size : 2585.897 Kb
Type : pdf
Schedule of Decision.pdf Schedule of Decision.pdf
Size : 28.074 Kb
Type : pdf
Signed Decision Letter.pdf Signed Decision Letter.pdf
Size : 4019.639 Kb
Type : pdf

FOI 285 to ASIC - GCSL report

Start November 10th 2014 seek the 6,000 GCSL documents that cannot be released due to the MofU, December 8th 2014 from ASIC. Received one doc ‘20141208 - FOI 285 - letter.pdf’ (24 pages) cover letter, Schedule of Documents list of (2 items) one released – one exempt under s45 and 47G(1) rest of pages is ‘PPB further explanatory memorandum to unitholders. FIN.

20141208 - FOI 285 - letter.pdf 20141208 - FOI 285 - letter.pdf
Size : 1090.841 Kb
Type : pdf

FOI 288 to ASIC - Richard Bell actions

Start November 14th 2014 seek documents held by ASIC about the US disciplinary action against Frank Richard Bell in regards to financial racketeering and his qualification status. December 8th 2014 from ASIC. ENF2104/24463 Received doc ‘20141208 - FOI 288 - decision letter.pdf’ (22 pages) cover letter and the FINRA (publicly available). FIN.

20141208 - FOI 288 - decision letter.pdf 20141208 - FOI 288 - decision letter.pdf
Size : 822.467 Kb
Type : pdf

FOI 290 to SEC - NEW WORLD FINANCIAL, INC

Start November 16th 2014 FINRA expelled NEW WORLD FINANCIAL, INC. in 06/2006 and we seek information (2000 to 2004) of Matthew Littauer CRD#2027330 Frank Richard Bell CRD# 1425780 Eugene Liu CRD# 4314785 of any breaches of US Security Law, or criminal violations in regards to operating NEW WORLD FINANCIAL, INC., any notifications of why the company was closed down and expelled. Also any information on career history Littauer, Bell and Liu. June 17th 2015 Received doc “15-00607-FOIA Response (6.16.2015)” (59pages) consisting of cover letter (2pages) the rest made up of historical filings (57pages) FIN

15-00607-FOIA Response (6.16.2015).pdf 15-00607-FOIA Response (6.16.2015).pdf
Size : 10897.597 Kb
Type : pdf

FOI 338 to INTERPOL – Littauer

Start February 23rd 2015 seek information about the late Christopher Andrew Coppola, US citizen who was murdered in the Philippines 2005. February 28th 2015 from INTERPOL. Received doc ‘2015-082 (Matters) Response Letter.pdf’ (19 pages) cover letter and email correspondence. May 4th 2015 another doc scanned copy titled ‘May4,2015-from FBI.pdf’ (8pages) FBI/INTERPOL. FIN.

2015-082 (Matters) Response Letter.pdf 2015-082 (Matters) Response Letter.pdf
Size : 1473.947 Kb
Type : pdf
May4,2015-from FBI.pdf May4,2015-from FBI.pdf
Size : 722.624 Kb
Type : pdf