Australian Securities and Investments Commission

Part of the Treasury portfolio and a Federal authority, also called ASIC

The Australian Securities and Investments Commission (ASIC) is Australia's corporate, markets and financial services regulator. We contribute to Australia's economic reputation and well being by ensuring that Australia's financial markets are fair and transparent, supported by confident and informed investors and consumers.

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ASIC Number of enforement actions taken by year
Response by Australian Securities and Investments Commission to John Flymore on .

Partially successful.

Dr Mr Flymore,   Please see attached notice of decision.   Kind regards,   Krystal Fung Lawyer, FOI & Privacy Legal Services Australia...
ASIC - SERC enforcement report reactions
Response by Australian Securities and Investments Commission to Me on .

Partially successful.

Dear "Me", Please find attached my decision in relation to your internal review request, together with the additional material released pursuant to th...
ASIC CDDA authorisation - attempts at
Follow up sent to Australian Securities and Investments Commission by Me on .

Successful.

Thanks for this. Helpful Admittedly it is an unexpected outcome Request you forward this feedback to the relevant team in ASIC: - Given ASIC's...
Contractor Expenditure - Aggregated / Non-Aggregated
Follow up sent to Australian Securities and Investments Commission by MissAnonymous on .

Successful.

Dear Australian Securities and Investments Commission Attn Freedom of Information Proper Officer Also apologies about mis-spelling the name Haydar -...
ASIC SERC 5.130 written advice
Response by Australian Securities and Investments Commission to Me on .

Successful.

Dear "Me", Please find attached my decision in relation to your revised FOI request, together with the documents released pursuant to the decision....
Correcting response to former Senator John Williams
Response by Australian Securities and Investments Commission to P.C. Sweeney on .

Successful.

Dear Mr Sweeney   I note that this FOI was previously referenced as 178-2023. It has been assigned a new reference number 178A-2023.   Please...
Correcting Written Testimony to a Senate Committee
Response by Australian Securities and Investments Commission to P.C. Sweeney on .

Successful.

Dear Mr Sweeney   Please see attached notice of access decision.   Regards   Krystal Fung Lawyer, FOI & Privacy Legal Services Austral...
Correspondence from AFCA to ASIC related to a “missing” Superannuation Fund
Response by Australian Securities and Investments Commission to P.C. Sweeney on .

Successful.

Hello, P C Sweeney! You have enabled mail forwarding on https://DropMail.me from temporary address [email address] to your address [FOI #10633 email]....
Correspondence to trustees to comply with disclosure obligations
Response by Australian Securities and Investments Commission to P.C. Sweeney on .

Successful.

Dear Mr Sweeney   Please see attached notice of decision.   Krystal Fung Lawyer, FOI & Privacy Legal Services Australian Securities and In...
Correspondence from AFCA to ASIC Related to a "missing: Trust Deed
Response by Australian Securities and Investments Commission to P.C. Sweeney on .

Successful.

Hello, P C Sweeney! You have enabled mail forwarding at https://DropMail.me from temporary address [email address] to your address [FOI #10577 email]....
One year Delay in Superannuation Transparency Measures
Response by Australian Securities and Investments Commission to P.C. Sweeney on .

Successful.

Dear Mr Sweeney   Please see attached correspondence.   Kind regards   Jessica Zhang Lawyer, FOI & Privacy, Legal Services Australian Se...
Banned financial advisers
Response by Australian Securities and Investments Commission to Nina Hendy on .

Successful.

Dear Ms Hendy   I refer to your request dated 4 June 2024 under the Freedom of Information Act 1982 (FOI Act) in which you seek access to document...
ASIC's Style Guides/Writing Guides/Brand Guides
Response by Australian Securities and Investments Commission to Alex Pentland on .

Partially successful.

Dear Mr Pentland   Please find attached my decision in relation to your FOI request, ref 007-2024, together with the documents released pursuant t...
Social media - no longer, responding to queries via @ASIC_Connect
Follow up sent to Australian Securities and Investments Commission by Ben Fairless on .

Successful.

Thank you for your reply which answers my questions. Happy to consider this request resolved. Yours sincerely, Ben Fairless
Duty to enforce the offence provisions in legislation administered by ASIC
Response by Australian Securities and Investments Commission to (Not the real) Bob Neil on .

Partially successful.

Dear Sir/Madam   Freedom of Information Request No. 136-2023   I refer to your FOI request to ASIC.   Please see attached notice of access...
ASIC CDDA scheme
Response by Australian Securities and Investments Commission to Me on .

Partially successful.

OFFICIAL   Dear Me Please see attached an internal review decision letter together with the documents released to you in relation to your FOI re...
Correspondence from AFCA to ASIC Related to a Trustee of a Super Fund
Response by Australian Securities and Investments Commission to P.C. Sweeney on .

Successful.

Our reference: FOI 131-2023     Dear Mr Sweeney   Please see the attached notice of decision. Yours sincerely Rose Bruce-Smith (she/her)...
A Conspiracy to Defraud
Response by Australian Securities and Investments Commission to P.C. Sweeney on .

Successful.

Dear Mr Sweeney   Please see the attached notice of decision in relation to your Freedom of Information request dated 16 August 2023.   If you...
Correspondence from AFCA to ASIC Related to the Governing Rules of a Super Fund
Response by Australian Securities and Investments Commission to P.C. Sweeney on .

Partially successful.

Our reference: FOI 132-2023   Dear Mr Sweeney   I acknowledge your email of 3 August 2023 in response to my decision on your request FOI 132-2...
Queen of Australia
Response by Australian Securities and Investments Commission to Dean Miles on .

Partially successful.

  Dear FOI Applicant,   Please see attachment.     Yours faithfully,   FOI Team       Dear Applicant, A decision regarding your FOI reques...
Travel services to ASIC
Response by Australian Securities and Investments Commission to Lucas Baird on .

Partially successful.

Dear Mr Baird,   Please see attached correspondence from ASIC in relation to your request under the Freedom of Information Act 1982.   Kind re...
AFCS's Processes for Systemic Issues
Response by Australian Securities and Investments Commission to Phillip Sweeney on .

Successful.

Dear Mr Sweeney   Freedom of Information Request No. 071-2021   Please see attached notice of access decision.   Regards   Krystal Fung...
Terms of Engagement for Egon Zehnder
Response by Australian Securities and Investments Commission to Phillip Sweeney on .

Successful.

Dear Mr Sweeney,   Please find attached a notice of decision and relevant documents in relation to your request under the Freedom of Information A...
Disclosures to the Minister by James Shipton and Daniel Crennan
Response by Australian Securities and Investments Commission to Phillip Sweeney on .

Partially successful.

Dear Mr Sweeney,   Please find attached correspondence in relation to your request under the Freedom of Information Act 1982.   Regards  ...
Compliance with the APS Code of Conduct before 1 July 2019
Response by Australian Securities and Investments Commission to Phillip Sweeney on .

Successful.

Dear Mr Sweeney, Please find attached my decision in relation to your FOI request, reference[Phone Number Automatically Hidden], and a document releas...

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