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.

158 requests
Make a request to this authority
Trustee Disclosure Obligations - Access to orginal Trust Deeds
Response by Australian Securities and Investments Commission to P.C. Sweeney on .

Awaiting classification.

Dear Mr Sweeney,   Please see notice of access decision.   Kind regards,   Krystal Fung Lawyer, FOI & Privacy Legal Services Australia...
Correspondence with the Minister for Superannuation
Request to Australian Securities and Investments Commission by Phillip Sweeney. Annotated by Ben Fairless on .

Withdrawn by the requester.

Given the amount of time between when this request was made and now, I have updated this request to "Withdrawn". If you would like to request this info...
Freedom of Information Logs - FOI Request
Response by Australian Securities and Investments Commission to Watson Norwood on .

Awaiting classification.

Dear Mr Norwood   Please refer to the attached correspondence.   Kind regards   Monique Lindridge Freedom of Information Officer, Chief Le...
Parkinson’s NSW Limited (ABN 93023603545) conduct under Corporations Act
Response by Australian Securities and Investments Commission to Edward Shepherd on .

Awaiting classification.

Dear Mr Shepherd   Please find attached ASIC’s FOI decision and released documents in response to your FOI request.   Regards,   Fiona Cro...
ASIC v Rent 2 Own Cars Australia Pty Ltd and Ors, [QUD 609 of 2018]
Response by Australian Securities and Investments Commission to Paul Green on .

Long overdue.

Dear Mr Green   Please find attached a decision notice and relevant document in relation to FOI 097-2022.   Kind regards   Megan McKenna...
Dr. Ken Henry and Treasury's influence on Trio Capital investigation.
Response by Australian Securities and Investments Commission to Gene Liu on .

Awaiting classification.

Dear Mr Liu   Please find attached a notice to identify documents regarding your FOI request dated 2 April 2022.   Regards,   Fiona Crowe...
FASEA Financial Adviser Examination Feedback & Results
Response by Australian Securities and Investments Commission to Stuart Paul on .

Awaiting classification.

Dear Mr Paul   Please find attached the decision on access for FOI 206-2021.   Kind regards   Megan   Megan McKenna Lawyer, FOI & Priv...
Correspondence with APRA
Response by Australian Securities and Investments Commission to Phillip Sweeney on .

Awaiting classification.

Dear Mr Sweeney   Thank you for the FOI request below received on 16 August 2021 (reference number 161-2021). I attach a request consultation noti...
Collaboration with APRA
Response by Australian Securities and Investments Commission to Phillip Sweeney on .

Waiting clarification.

Dear Mr Sweeney   Thank you for the FOI request below received on 17 July 2021 (reference number 110-2021). I attach a request consultation notice...
Treasury Review of AFCA - Reporting Systemic Issues to ASIC - Resent
Response by Australian Securities and Investments Commission to Phillip Sweeney on .

Long overdue.

Dear Mr Sweeney   Freedom of Information Request No. 071-2021   Please see attached notice of access decision.   Regards   Krystal Fung...
Change of Status of Legislative Instrument 2018/474
Response by Australian Securities and Investments Commission to Phillip Sweeney on .

Long overdue.

Dear Mr Sweeney, Please find attached my decision in relation to your FOI request received on 30 September 2020. Yours sincerely, Fleur Forsyth Law...
ASIC Superannuation (Amendment) Instrument 2018/474
Response by Australian Securities and Investments Commission to Phillip Sweeney on .

Long overdue.

Dear Mr Sweeney, Please find attached my decision in relation to your FOI request, reference 192-2020. Regards,   Haydar Tuncer Senior Freed...
COVID-19 FOI Request - Superannuation Authority
Response by Australian Securities and Investments Commission to Phillip Sweeney on .

Awaiting internal review.

Dear Mr Sweeney, Please find attached my decision in relation to your request for internal review, reference 161-2020.   Regards,   Haydar T...
COVID-19 FOI Request - Correspondence with the SCT
Request sent to Australian Securities and Investments Commission by Phillip Sweeney on .

Long overdue.

Warren Day, Executive Director, Assessment and Intelligence, testified before the Joint Parliamentary Committee on Corporations and Financial Servi...
COVID-19 FOI Request - False and Misleading documents Provided to ASIC
Request sent to Australian Securities and Investments Commission by Phillip Sweeney on .

Long overdue.

Warren Day, Executive Director, Assessment and Intelligence, testified before the Joint Parliamentary Committee on Corporations and Financial Servi...
COVID-19 FOI Request: Definition of a 'Beneficiary" or "Concerned Person"
Request sent to Australian Securities and Investments Commission by Phillip Sweeney on .

Long overdue.

Prior to 1 July 2019 ASIC staff were subject to the Public Service Act 1999. Subsection 13(9) provides: (9) An APS employee must not provide fals...
COVID-19 FOI Request: Definition of "the governing rules"
Request sent to Australian Securities and Investments Commission by Phillip Sweeney on .

Long overdue.

The Australian Law Dictionary {Oxford University Press} defines “trust deed” as follows: “The instrument (a deed of settlement) establishing a tru...
COVID-19 FOI Request: Copy of False and Misleading Information Provided to Senator Williams
Request sent to Australian Securities and Investments Commission by Phillip Sweeney on .

Long overdue.

Prior to 1 July 2019 ASIC staff were subject to the Public Service Act 1999. Subsection 13(9) provides: (9) An APS employee must not provide fals...
COVID-19 FOI Request: Copy of an original Trust Deed
Request sent to Australian Securities and Investments Commission by Phillip Sweeney on .

Long overdue.

Prior to 1 July 2019 ASIC staff were subject to the Public Service Act 1999. Subsection 13(9) provides: (9) An APS employee must not provide fals...
COVID-19 FOI Request: Copy of False and Misleading Information provided to Senator Williams
Request sent to Australian Securities and Investments Commission by Phillip Sweeney on .

Long overdue.

Prior to 1 July 2019 ASIC staff were subject to the Public Service Act 1999. Subsection 13(9) provides: (9) An APS employee must not provide fa...
Does ASIC Play A Role In Determining What Is Considered To Be Irresponsible Lending
Internal review request sent to Australian Securities and Investments Commission by steven on .

Awaiting internal review.

As a legal practitioner you would know that acquiescence is admission by default. You might consider trying to perfect the law rather than just me...
Correspondence between ASIC and the directors of 3D Group PTY LTD and 3D Industries PTY LTD
Response by Australian Securities and Investments Commission to Jason Simpson on .

Waiting clarification.

Dear Mr Simpson, Attached is a letter from ASIC. Kind regards, Patricia Hu | Lawyer | Insolvency Practitioners | Brisbane | ' 07 3867 4976 | * [1...
Misconduct of staff
Response by Australian Securities and Investments Commission to Julie on .

Waiting clarification.

Dear Julie, Please see attached letter. Regards Nicky Peacocke |Employee Relations Manager | People & Development | ASIC | Sydney | ( 02 9911 5...
Affidavit submitted to NSW Supreme Court 21 April 2017 - Courtenay House Capital Trading Grouop
Request sent to Australian Securities and Investments Commission by Sam Cruickshank on .

Long overdue.

We are a group of 160 clients of Courtenay House Capital Trading Group seeking information to resolve outstanding questions relating to our funds wh...
Southern Cross Care (NSW & ACT) Financial statement FY 2014/2015
Request sent to Australian Securities and Investments Commission by Daffyd on .

Long overdue.

I am seeking information shown on the FY 2015/2016 Financial Report issued by :- Southern Cross Care (NSW & ACT) ACN 131 082 374 ABN76 131 082 3...

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