Page 5 Freedom of Information

FOI 357 to ASIC - Tracking

Start April 23rd 2015 seek document of ASIC’s or third party investigation (Securities Exchange Commission in the US) initially commenced in 2010 into the tracking of the $123m from the Astarra Strategic fund. May 25th 2015 from ASIC. Received doc ‘2409_001.pdf’ (11 pages) cover letter and Schedule of Documents (6 pages) and lists (60 items) NAB, ANZ, Westpac, Citygroup Pty Ltd, St George, CBA, Macquarie and AUSTRAC Data but refused to release under s37(1)(a), s37(2)(b), s47G(1)(a). FIN.

2409_001_R.pdf 2409_001_R.pdf
Size : 1241.563 Kb
Type : pdf

FOI 370 to SEC - eSat/Flader

Start July 27th 2015 seek the filed form 144 to sell over 60,000 eSat shares by Flader in 2000. August 11th 2015 received 2 page document of Flader’s purchase of eSat in May 2000.

esat_144.pdf esat_144.pdf
Size : 146.843 Kb
Type : pdf

FOI 373 to AFP - Investigation

Start July 28th 2015 seek of investigation (criminal / forensic investigation, not liquidation) carried out by the AFP or third party into the missing $123 million out of the Astarra Strategic / Trio Capital fund(s) including timeframe and expenditure. Also schedule of international jurisdictions investigated. September 29th from AFP. Received three docs, first ‘CRM2016-45 Documents.pdf’ (17 pages) redacted correspondence ASIC-AFP & AFP to Manila. Redacted under s22(1)(a)(ii), s33 (a)(iii),s47F, 47C. Second doc ‘Decision Letter - CRM2016-45.pdf’ (8 pages) cover letter. Third doc ‘Schedule - Released Documents - CRM2016-45.pdf’ (2 pages) Schedule of Documents (8 items) and lists exemption. (Two of three files provided by AFP are provided).

Schedule - Released Documents - CRM2016-45.pdf Schedule - Released Documents - CRM2016-45.pdf
Size : 187.404 Kb
Type : pdf
CRM2016-45 Documents.pdf CRM2016-45 Documents.pdf
Size : 3622.087 Kb
Type : pdf

FOI 381 to ASIC – recent ASIC report

Start August 20th 2015 seek documents confirming the underlying funds were controlled by Jack Flader and or GCSL. September 16th 2015 from ASIC. Received file 2577_001.pdf (12 pages) under s25 neither confirm nor deny whether the documents exist and if they did they would be exempt by virtue os s33 particularly 33(a)(iii) would or could reasonable be expected to cause damage to the international relations of the Commonwealth. Also s 33(b), s37(1), blank page, older correspondence dated Dec 15th 2014 and Schedule of Documents (33 items) mostly ANZ statements that were released earlier.

2577_001_R.pdf 2577_001_R.pdf
Size : 1227.009 Kb
Type : pdf

FOI 383 to SEC – Millennium alert

Start August 21st 2015 seek SEC 2002 correspondence that alerted about Millennium and also the SEC correspondence acknowledging the cooperation and assistance of the regulatory and law enforcement officials of several foreign jurisdictions, regarding Millennium. Also the list of countries the above mentioned correspondence was sent to. September 25th 2015 received two files 15-06151-FOIA Enclosures.pdf (two pages) Court Orders Freeze Millennium’s Assets and 15-06151-FOIA.pdf (1 page) cover letter.

15-06151-FOIA Enclosures.pdf 15-06151-FOIA Enclosures.pdf
Size : 33.666 Kb
Type : pdf

FOI 403 to SEC - WFG

Start September 30th 2015 seek document showing history and ownership of World Financial Group when Matthew N. Littauer and Frank R. Bell (2004-8) were connected with the firm. October 8th 2015 received three files, first file ‘15-07208-FOIA Response Letter.pdf’ (1page) cover letter, file two ‘Form BD Matthew Littauer 2005.pdf’ (18pages) Littauer’s New World Company and his suspension details. Third file ‘From BD Frank Bell 2003.pdf’ (4pages) regarding company World Financial Capital Markets Inc.

Form BD Matthew Littauer 2005.pdf Form BD Matthew Littauer 2005.pdf
Size : 130.6 Kb
Type : pdf
From BD Frank Bell 2003.pdf From BD Frank Bell 2003.pdf
Size : 33.508 Kb
Type : pdf

FOI 405 to ASIC – WGAM & Bella Donna

Start October 27th 2015 seek documentation about Wright Global Asset Management (period 2003 to 2006) December 1st 2015 Received six files and cover letter. Doc “1. VOFF 405 - Section 311 notice - Wright Global Asset Management#2.pdf” (1page) from KPMG to ASIC informing that Wright Global Asset Management Pty Ltd breached Section 319 of the Corporation Act – May 2005. Doc “2. VOFF 405 - Changes to form 484 - Wright Global Asset Management.pdf” (1page) ASIC informing WGAM they did not complete Form 484 correctly – 20 January 2005. Doc “3. VOFF 405 - Letter from company re late lodgement - Wright Global Asset Management.pdf” (2pages) WGAM Compliance Unit excuse for failure to lodge form – 18 July 2006. Doc “4. VOFF 405 - Letter from ASIC re late lodgement - Wright Global Asset Management.pdf” (1page) ASIC WGAM cannot grant extension of time for lodgement of financial statements – 24 July 2006. Doc “5. VOFF 405 - Letter from ASIC re late lodgement - Wright Global Asset Management 1C0076290.pdf” (1page) ASIC to WGAM cannot grant an extension of time. – 5 September 2006. Doc “6. VOFF 405 - letter from company re late lodgement - Wright Global Asset Management 021531854.pdf” (2pages) WGAM to ASICexcuse that directors were overseas. ASIC’s letter dated 24 July 2006. Doc cover letter “VOFF 405 - Decision to release - 20151201.pdf” (3pages) reason for decision and Schedule of Documents.

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