Page 2 Freedom of Information

FOI 030 to ASIC - Further complaints of Trio

Start April 24th 2013 seek documentation of the "range of other unrelated complaints about Trio" that ASIC had before 2009. 

July 23rd 2013 from ASIC. Received 3 docs titled ‘2862_001.pdf’ (23 pages) cover letter Schedule of Documents 1. = 48 items, 2. = 149 items. Mostly denied access by relevant section 37(2)(b), 47C, 47F, 47F(1), 47F(1)(2) and 47E(d). Doc ‘2863_001.pdf’ Product Disclosure Statement Alpha Strategic Fund ARSN 115 962 368 February 15th 2006 (172 pages). Doc titled 2864_001.pdf heavily redacted and ‘My Retirement Plan’ November 29th 2005 and Astarra Capital – Identification, Rectification and Reporting Compliance Breaches, Procedures updated 2006. and Astarra Board Meeting Feb 22 2006, Astarra Capital Complaints Manual Jan 20th 2006, Astarra Capital Corporate Governance Charter Jan 20th 2006. FIN. cost $80.00.

2862_001-unlocked.pdf 2862_001-unlocked.pdf
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2863_001.pdf 2863_001.pdf
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2864_001.pdf 2864_001.pdf
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FOI 065 to ASIC - Report a scam by community

Start June 10th 2013 seek community reporting of the Trio Capital fraud (September 2009 to December 2011). July 10th 2013 from ASIC. Received two docs, first 3177_001.pdf (1 page) email complaint, second doc titled ‘Signed FOI Decision 65 - VOFF Inc - 20130710.pdf’ (6 pages) cover letter with Schedule of Documents list (43 items) exempt s47E(d). FIN.

 
3177_001.pdf 3177_001.pdf
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FOI 122 to ASIC - Costs going after financial advisor

Start July 11th 2013 seek ASIC's expenditure and costs (September 21st 2009 - July 11th 2013) going after financial advisors in Australian jurisdiction. August 12th 2013 from ASIC. Received one file 2782_001.pdf  (3 pages) cover letter and Schedule. 2009-10 $9.272, 2010-11 $60,023, 2011-12 $120,202, 2012-13 $228,126 total $536,196. FIN.

2782_001_R.pdf 2782_001_R.pdf
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FOI 137 to ASIC - Charts & docs shown to S. Richard

Start July 23rd 2013 seek charts and documents shown to Shawn Darrell Richard during the Section 19 investigation, on 8th Oct 2009, 12th May 2010, 1st June 2010.

August 22nd 2013 from ASIC. Received three docs, first 4989_001.pdf (116 pages) Astarra Asset Management dated August 1st 2009, second doc 4991_001.pdf (7 pages) cover letter and Schedule of Documents (99 items) mostly exempt under s37(1) third 4990_001 (114 pages). Astarra APRA RSE License meetings. FIN.

4989_001.pdf 4989_001.pdf
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4991_001_R.pdf 4991_001_R.pdf
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4990_001.pdf 4990_001.pdf
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FOI 141 to AUSTRAC - amalgamate 139 & 140 Start July 30th 2013 seek the Trio Capital transactions, expand beyond (April 2008 to April 2010) and now seek from 2006 up till today. Not including: 28 May 2008 07 August 2008 12 November 2008 08 December 2008 31 December 2008 26 March 2009 09 April 2009 18 June 2009 07 August 2009 September 12th 2013. Received 12 files, cover letter and 10 individual documents of transactions and 1 page of Schedule of Documents. AUSTRAC FOI 141 cover letter.pdf (4 pages) cover letter. AUSTRAC FOI 141 No1.pdf (2 pages) AUSTRAC FOI 141 No2.pdf (2 pages) AUSTRAC FOI 141 No3.pdf (2 pages) AUSTRAC FOI 141 No4.pdf (3 pages) AUSTRAC FOI 141 No5.pdf (3 pages) AUSTRAC FOI 141 No6.pdf (4 pages) all redacted. AUSTRAC FOI 141 No7.pdf (4 pages) all redacted. AUSTRAC FOI 141 No8.pdf (2 pages) AUSTRAC FOI 141 No9.pdf (2 pages) AUSTRAC FOI 141 No10.pdf (2 pages) AUSTRAC FOI 141 Schedual of Docs.pdf (2 pages) (10 items) FIN.

AUSTRAC FOI 141 cover letter_R.pdf AUSTRAC FOI 141 cover letter_R.pdf
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AUSTRAC FOI 141 No1.pdf AUSTRAC FOI 141 No1.pdf
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AUSTRAC FOI 141 No2.pdf AUSTRAC FOI 141 No2.pdf
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AUSTRAC FOI 141 No3.pdf AUSTRAC FOI 141 No3.pdf
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AUSTRAC FOI 141 No4.pdf AUSTRAC FOI 141 No4.pdf
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AUSTRAC FOI 141 No5.pdf AUSTRAC FOI 141 No5.pdf
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AUSTRAC FOI 141 No6.pdf AUSTRAC FOI 141 No6.pdf
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AUSTRAC FOI 141 No7.pdf AUSTRAC FOI 141 No7.pdf
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AUSTRAC FOI 141 No8.pdf AUSTRAC FOI 141 No8.pdf
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AUSTRAC FOI 141 No9.pdf AUSTRAC FOI 141 No9.pdf
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AUSTRAC FOI 141 No10.pdf AUSTRAC FOI 141 No10.pdf
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AUSTRAC FOI 141 Schedual of Docs.pdf AUSTRAC FOI 141 Schedual of Docs.pdf
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FOI 144 to ASIC - PPB returned money

Start February 9th 2014 seek document showing the return of $152,982.78 per ASIC Orders of 16 October 2009. March 6th 2014 from ASIC. Received two docs, first 4733_001.pdf (1 page) cover letter. Second doc 4734_001 (14 pages) dispersal of frozen monies. FIN.

4733_001.pdf 4733_001.pdf
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4734_001.pdf 4734_001.pdf
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