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Freedom of information disclosure log

Information released under the Freedom of Information Act

APRA is required by s 11C of the Freedom of Information Act 1982 to publish a disclosure log on its website from 1 May 2011. The disclosure log lists information that has been released in response to a Freedom of Information (FOI) access request.

The disclosure log requirement does not apply to:

  • personal information about any person if publication of that information would be 'unreasonable';

  • information about the business, commercial, financial or professional affairs of any person if publication of that information would be 'unreasonable';

  • other information covered by a determination made by the Australian Information Commissioner if publication of that information would be 'unreasonable'; and

  • any information if it is not reasonably practicable to publish the information because of the extent of modifications that would need to be made to delete the information listed in the above dot points.

The information described in this disclosure log has been released by APRA under the Freedom of Information Act 1982 and is available for public access. The link provided will generally be to the current version of the document.

If you wish to access any information noted in the disclosure log please email: foi@apra.gov.au.

Or write to:

FOI Contact Officer
Australian Prudential Regulation Authority
GPO Box 9836
Sydney NSW 2001

A charge may be imposed to reimburse APRA for the cost incurred in copying or reproducing the information or sending it to you. You will be notified if any charge is payable and required to pay the charge before the information is provided. APRA will try to meet all reasonable requests for an alternate format of the document in a timely manner and at the lowest reasonable cost to you.

Disclosure log no.

Date information listed in disclosure log

Summary of FOI request received by APRA

Information published in the disclosure log

2011/01

31 May 2011

Letters from beneficiaries to APRA in relation to the AXA Staff Superannuation Plan (the Fund) and the enforceable undertaking entered into by the trustee of the Fund dated 30 May 2005.

Modified versions of letters from beneficiaries to APRA (with identity and all other personal information omitted) in relation to the Fund and the enforceable undertaking entered into by the trustee of the Fund dated 30 May 2005.

2011/02

21 October 2011

Documents that report the total amount held by superannuation trusts in Australia each year from 2001 to present.

Six publicly available statistical publications consisting of:

a) APRA's Annual Superannuation Bulletin for the years 2007, 2008, 2009 and 2010;

b) APRA's March 2011 Quarterly Superannuation Performance publication; and

c) APRA's Insight publication - celebrating 10 years of superannuation data collection 1996 - 2006.

2011/03

28 October 2011

Guidelines or policy documents that APRA officers use to assess:

a) whether an applicant for an RSE licence should be granted an RSE licence; and

b) when or under what conditions a previously issued RSE licence should be suspended or revoked; and

procedural documents that cover the steps to be taken when suspending or revoking an RSE licence.

Four documents, three of which are publicly available:

a) Licensing and registering a superannuation entity - Explanatory guide on licensing and registration;

b) Licensing and registering a superannuation entity - Licence application;

 

; and

d) RSE licence cancellation procedure.

2011/04

28 October 2011

Documents which disclose figures relating to early release of superannuation benefits.

Three publicly available documents:

a) Early release of superannuation benefits - Summary details for 2003/4 to 2010/11 years;

b) Early release of superannuation benefits - Specific details for 2003/4 to 2011/12 (to date) years; and

c) Extract of 2009/10 APRA Annual Report.

2011/05

4 November 2011

Guidelines or policy documents relating to:

a) when APRA officers should refer complaints concerning financial services or regulated superannuation funds to ASIC; and

b) when APRA officers should refer matters to ASIC during an investigation.

A modified version of the Joint Protocol for Co-Operation between APRA and ASIC pursuant to the Memorandum of Understanding of 18 May 2010 dated 16 March 2011.

2011/06

2 December 2011

Internal review of APRA's decision relating to disclosure log number 2011/5.

The Memorandum of Understanding between APRA and ASIC dated 18 May 2010; and

The Joint Protocol for Co-Operation between APRA and ASIC pursuant to the Memorandum of Understanding of 18 May 2010 dated 16 March 2011.

2011/07

2 December 2011

The Memorandum of Understanding between APRA and ASIC dated 18 May 2010 and the Joint Protocol arrangement of June 2010.

The Memorandum of Understanding between APRA and ASIC dated 18 May 2010; and

The Joint Protocol for Co-Operation between APRA and ASIC pursuant to the Memorandum of Understanding of 18 May 2010 dated June 2010.

2011/08

16 December 2011

Guidance notes, guidelines, procedure manual or similar documents that have been issued by APRA to trustees of regulated employer-sponsored superannuation trusts which relate to the requirements in s 58 of theSuperannuation Industry (Supervision) Act 1993 and r 4.03 of the Superannuation Industry (Supervision) Regulations 1994.

The following documents were released in full:

a) Superannuation Circulars II.D.1; III.A.2; III.A.3;

b) Superannuation FAQ 13.1;

c) Draft SPG 521; and

d) SPG 200.

2011/09

16 December 2011

Correspondence between the Parliamentary Joint Committee on Corporations and Financial Services and APRA between 1 January 2011 and 1 November 2011.

Correspondence between the Parliamentary Joint Committee on Corporations and Financial Services and APRA between 1 January 2011 and 1 November 2011 (edited under section 22 of the Freedom of Information Act 1982 for relevance).

2011/10 

16 December 2011

Correspondence between officers of ASIC and officers of APRA in relation to the Applicant’s previous FOI request of 26 September 2011.

Copies of a redacted version of the ‘Joint Protocol for the Co-operation between APRA and ASIC pursuant to the Memorandum of Understanding of 18 May 2010, or any document that describes how to redact the Joint Protocol.

Seven emails between APRA and ASIC officers relating to the Applicant’s FOI request of 26 September 2011.

2011/11

30 December 2011

Request for certain correspondence and notes relating to an earlier FOI request.

Internal APRA emails, memo and file note, and correspondence between APRA and CCSL Limited regarding an earlier FOI request.

2012/01

27 January 2012

Documents which relate to the assignment or transfer of the pre -1 July 1981 liabilities of AFG Insurances Limited, such as:

(i) any agreement or Deed by which such liabilities were assigned (e.g., to National Insurance Company of New Zealand Limited, or any other entity); and/or

(ii) any approvals, notices issued by APRA in that regard.

A newspaper article and insurance record publication detailing AFG Insurances Limited’s sale of its general portfolio to the National Insurance Company of New Zealand Ltd.

2012/02

26 March 2012

Request for copies of certain documents relating to an earlier FOI request by the Applicant.

Two file notes, two memoranda and two emails with personal information of the Applicant omitted.

2012/03

4 April 2012

Request for copies of certain documents relating to an earlier FOI request by the Applicant.

A file note and a memorandum with personal information of the Applicant omitted.

2012/04

27 April 2012

Request for copies of certain documents relating to an earlier FOI request by the Applicant.

A file note and a memorandum with personal information of the Applicant omitted.

2012/05

27 April 2012

Request for copies of certain documents relating to an earlier FOI request by the Applicant.

A file note and a memorandum with personal information of the Applicant omitted.

2012/06

27 April 2012

Request for copies of certain documents relating to an earlier FOI request by the Applicant.

A file note and two memoranda with personal information of the Applicant omitted.

2012/07

30 May 2012

Documents which relate to investments in superannuation administration companies by superannuation funds.

Superannuation Circulars II.D.1; II.D.5 and III.A.4.

2012/08

1 June 2012

Request for documents including details of, and the timeframe for, the implementation of Stronger Super reforms.

Two publicly available documents:

a) The Superannuation Legislation Amendment (Trustee Obligations and Prudential Standards) Bill 2012; and

b) Explanatory Memorandum - The Superannuation Legislation Amendment (Trustee Obligations and Prudential Standards) Bill 2012.

2012/09

29 August 2012

The audited accounts and auditor's report of AustralianSuper for the year ended 30 June 2011.

Two publicly available documents consisting of:

a) The audited accounts of AustralianSuper for the year ended 30 June 2011.

b) The auditor's report for AustralianSuper for the year ended 30 June 2011.

2012/10

13 November 2012

Documents and instructions relating to the registration of an APRA regulated superannuation fund in 1995.

Superannuation Circular No. III.A.1 - Notification to the Commissioner to become a regulated superannuation fund under the Superannuation Industry (Supervision) Act 1993. Published in April 1994 by the Insurance and Superannuation Commission.

2012/11

7 December 2012

Documents and instructions relating to the Professional Pensions Pooled Superannuation Trust's (PST) election to become a regulated superannuation fund in 1995.

  1. Blank election form to become a regulated superannuation fund with instructions published by the Insurance and Superannuation Commission.

  2. Provision of prescribed information under theSuperannuation Industry (Supervision) Act 1993completed by the CPP Superannuation Investment Pool dated 9 October 1995.

2012/12

19 December 2012

Documents relating to an earlier FOI request by the Applicant.

Internal email correspondence and memorandum with exempt material and personal information of the Applicant omitted.

2013/01

28 February 2013

Documents relating to successor fund transfers.

Three publicly available documents:

Superannuation Circular No I.C.4: 'Equivalent rights' for members in successor fund transfers - February 2001

Superannuation Circular No III.A.6: Winding-up a superannuation fund - April 2002

Letter: Operational and governance risks issues to consider when implementing change

2013/02

April 2013

Document relating to successor fund transfers.

Superannuation Circular No I.C.4: 'Equivalent rights' for members in successor fund transfers - February 2001

2013/03

7 June 2013

Documents relating to APRA's investigation of a complaint.

Two publicly available documents:

a) NRMA Product Disclosure Statement and advertising material;

b) Printout from NRMA website (product terms and conditions).

2013/04

25 October 2013

Documents relating to Standing Offer Notice- SON108334, concerning the supply of relocation services to APRA.

Deed of Standing Offer, documents containing information about the arrangement and services procured by APRA in relation to this standing offer, internal APRA emails and email correspondence between APRA and Crown Relocations.

2014/01

17 January 2014

Founding Deeds and Deeds of Variation of the AusBev Superannuation Fund.

Deed of Variation between Elders IXL Limited and Elders Superannuation LTD dated 26 August 1986.

2014/02

17 January 2014

Deed of Variation of the AusBev Superannuation Fund, signed by Mr Ken Jarrett dated 26 August 1986.

Deed of Variation between Elders IXL Limited and Elders Superannuation LTD dated 26 August 1986.

2014/03

19 September 2014

Document relating to APRA's risk assessment process.

Probability and Impact Rating System (PAIRS) explanatory document.

2014/04

19 September 2014

Part 23 of the SIS Act prior to September 2009.

Part 23 of the Superannuation Industry (Supervision) Act 1993Superseded (effective date 1 July 2009).

2014/05

19 September 2014

Document relating to APRA's view of sound investment risk management practice.

Prudential Practice Guide

SPG 530 Investment Governance

 

2014/06

19 September 2014

Documents relating to APRA's risk based supervision process.

Two publicly available documents:

APRA Supervision Blueprint

Supervisory Oversight and Response System (SOARS) publication

2014/07

19 September 2014

Section 56 of the APRA Act 1998.

Section 56 of the Australian Prudential Regulation Authority Act 1998.

2015/01

1 December 2015

Request for documents about APRA's prudential reviews of Trio.

One publicly available document:

 

2016/01

9 May 2016

Operations of Private Health Insurers Report 2014-2015.

One publicly available document:

The Operations of Private Health Insurers Annual Report - 2014/15

2016/02

10 May 2016

Request for APRA's schedule of public examinations conducted by PPB Advisory in relation to Trio.

Two documents available:

Schedule 1 Trio Examinations

Schedule 2 Trio Examinations

2016/03

28 July 2016

Request for a letter sent to the providers of life insurance products in respect of claims handling procedures.

One publicly available document:

Letter: Information request related to claims oversight and governance

2016/04

25 November 2016

Request for the current FOI Delegations

FOI Delegations dated 19 April 2012

2017/01

20 April 2017

Letter sent by APRA to Corporate Combined Superannuation Pty Ltd confirming registration of a superannuation fund.

Letter sent by APRA to Corporate Combined Superannuation Pty Ltd dated 20 April 2006

2018/01

17 January 2018

Founding Trust Deed of The NSW Bookmakers Super Fund and copies of all amending Deeds executed up until the time of registration.

Eight documents, consisting of:

a) Founding Deed of NSW Bookmakers Super Fund (1974)

b) Deed of replacement of Trustee

c) Governing Rules

d) Various Deeds of Amendment from 1994 to 2006.

2018/02

23 April 2018

​A copy of the covering letter lodged with APRA for Fund Registration for the NSW Bookmakers' Super Fund; and any additional letters related to the registration of that fund.

One document:

a) Covering Letter lodged with APRA for Fund Registration for the NSW Bookmakers’ Super Fund.

2018/03

23 April 2018

In respect of transfer by Bankstown City Credit Union (BCCU) to Maritime Mining & Power Credit Union (MMPCU): first joint letter, second letter, third joint letter, documents relating to APRA's consideration and approval of the proposed transfer (excluding internal APRA emails).

Three publicly available documents:

a) Consent to sale or disposal of business of an authorised deposit-taking institution;

b) Approval to hold the transferring business of a financial sector company; and

c) Revocation of Authority to carry on banking business.

2018/04

23 April 2018

Request for documents that self-managed superannuation fund (SMSF) trustees failed to read, which would have informed them that SMSFs do not have the same protections as APRA regulated superannuation funds.

Publicly available documents:

a) Links to APRA’s public website; and

b) section 229 of the Superannuation Industry (Supervision) Act 1993 (Cth).

2018/5 18 October 2018 A copy of the Trust Deed of the MLC Super Fund lodged with APRA and a copy of the decision of APRA to register this fund in 2016.

Two documents:
a) Trust Deed of MLC Super Fund dated 9 May 2016
b) Decision of APRA to Grant Fund Registration to MLC Super Fund dated 8 June 2016

2018/6 18 October 2018 A copy of the founding Trust Deed of the National Australia Bank Group Superannuation Fund A and a copy of the decision of APRA to grant fund registration. One document:
a) Decision of APRA to grant fund registration to NAB Group Superannuation Fund A dated 28 April 2006.
2018/7 5 November 2018 Emails sent or received by members of the APRA Executive Team containing the phrases “behind closed doors” or “behind closed door” from 1 March 2018 to 21 August 2018 (inclusive). Six emails containing news articles and media summaries.
2018/8 19 November 2018 A copy of the consolidated Trust Deed at the time of fund registration of the National Australia Bank Group Superannuation Fund A. One document:
a) Trust Deed of National Australia Bank Group Superannuation Fund A dated 1 July 2005
2018/9 19 November 2018 A copy of the founding Trust Deed of the Suncorp Master Trust and a copy of the decision letter advising that APRA had granted fund registration. One document:
a)  Decision of APRA to grant Fund Registration to Suncorp Master Trust dated 15 June 2006
 
2018/10 13 December 2018 Documents outlining the scope of the enforcement review being carried out by John Lonsdale. One publicly available document:
a) Media release: ‘APRA announces Terms of Reference for enforcement strategy review’ dated 12 November 2018
 
2019/01 1 July 2019 Expense figures related to external legal work for the financial services royal commission

One document:

a) APRA's External Legal Expenditure on the Royal Commission into Misconduct in the Banking Superannuation and Financial Services Industry

2019/02 1 July 2019  Any document that sets out the Terms of Reference for APRA's Capability Review or otherwise might limit the scope of inquiry by the panel members

One publicly available document:

a) APRA's Capability Review Terms of Reference

2019/03 1 July 2019 A copy of APRA's Enforcement Strategy Review

One publicly available document:

a) Enforcement Strategy Review - Final Report

2019/04 6 August 2019 Hospitality and gift declarations by APRA staff in financial years 2017-18 and 2018-19. 
2019/05 4 October 2019 Travel, accommodation and catering expenses for APRA in FY 2016-17, 2017-18 and 2018-19. 

Two documents:

2019/06 18 October 2019 Material relating to Australian preparations for the UK leaving the EU, created since April 2019.

Three emails and one executive minute with personal information redacted.

The consultation letter on amendments to margin requirements and corresponding response to submissions can be found at the link below:

Consultations on Margining and risk mitigation for non-centrally cleared derivatives

 

All Freedom of Information requests must be made in writing, specifically stating that the request is an application under the Freedom of Information Act 1982. To help us process your request please include:

  • information about the document(s) you want to see; and
  • a return address.

If you ask a third party to make a Freedom of Information request on your behalf, you must provide a specific, written authority to send copies of documents, care of that person, or to allow that person to inspect copies of documents that contain information about you.

Send all requests to

Freedom of Information Coordinator
Australian Prudential Regulation Authority
GPO Box 9836
Sydney NSW 2001

Email: foi@apra.gov.au

If you need help with your Freedom of Information request, please contact +61 2 9210 3000 or email foi@apra.gov.au.