Dear Australian Securities and Investments Commission,

Dr. Ken Henry, then Treasury Secretary of Australia provided information from an anonymous “whistleblower” to then Chairman of the Australian Securities and Investments Commission, Tony D'Aloisio requesting ASIC investigate individuals associated with Absolute Alpha, Trio Capital, Astarra Funds Management and Pacific Continental Securities UK.
Specifically, I am seeking information regarding:
1. Communications from Dr. Ken Henry as Secretary of the Treasury of Australia to initiate investigations using coercive powers available under project Wickenby at the request of the anonymous whistleblower or based on the “anonymous” whistleblower’s information.
2. Communications from Dr. Ken Henry as Secretary of the Treasury of Australia instructing ASIC, or any other multi-agency task force which ASIC was a part of at the time authorizing the anonymous “whistleblower” access to investigative records and the ASIC investigation team.
3. Documents that Dr. Ken Henry as Secretary of the Treasury of Australia or the anonymous “whistleblower” provided to ASIC or in ASIC possession:
a. ASIC’s Investment Banking team, Michael Parker, Grantly Brown and Belinda Renshaw information about the Fortune Astarra Montford Fund. Information provided to the principals of Fortune Capital during a phone call on 9/30/2009 to cancel DPAs:
i. ASIC barcode #S01772324 DPA for AUD$12.85 Mil
ii. ASIC barcode #S01772325 DPA for AUD$4.087 Mil
iii. ASIC barcode #S01772326 DPA for AUD$19.043 Mil
iv. ASIC barcode #S01772326 DPA for AUD$12.7 Mil
v. ASIC barcode #S01772328 DPA for AUD$0.100 Mil
vi. ASIC barcode #S01772329 DPA for AUD$1.5 Mil
b. Dr. Ken Henry as Secretary of the Treasury of Australia or the anonymous “whistleblower” provided during a phone call on 9/30/2009 information asserting that the individuals involved with Absolute Alpha and Trio Capital were also the individuals responsible for Pacific Continental Securities and assured Fortune that the DPA’s could be cancelled with no follow up from the regulators or administrators.

4. Information about Huntleigh Investment fund and possible naked short selling of securities through the use of foreign broker dealers, market maker exceptions through the use of owned broker dealers and joint back-office agreements.
i. Emails between traders of brokerage firms in Canada and individuals associated with Huntleigh Investment Fund. (Screen name of trader is evil olive)
ii. Brokerage records of any associated BD trading securities owned by Huntleigh Investment Fund.
iii. Communications and documents from Dr. Ken Henry, the anonymous whistleblower, or contractors of AllyGroup in attempting to hide the existence of naked short selling and characterizing Trio as fraud instead.
5. If the “whistleblower” has provided documents to ASIC, Dr. Ken Henry, other Australian government agencies.
a. Information about the individuals who provided input into the public submission and details of any other cooperation.
b. Information about the restrictions on the use of any such information such as if the submission would be permitted to be used as an endorsement from ASIC or Treasury in soliciting clients.
c. Due diligence conducted on the “whistleblower”, if they had legal proceedings in Australia or in other jurisdictions for making unfounded accusations of fraud for personal gain or if to ASIC’s knowledge such, they had previously been accused but cleared of criminal, civil or internal company procedures at the time. Additionally about the anonymous “whistleblower”:
i. if the whistleblower is a registered broker dealer in the United States.
ii. if the whistleblower is a registered investment advisor in the United States.
iii. if the whistleblower has an Australian Financial Services License
iv. if at the time the whistleblower had potentially contravened any securities laws or regulations.
v. if the whistleblower was at the time raising funds from victims of Trio Capital after prior legal issues.

Yours faithfully,

Gene Liu