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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ASCI's Proceedings Against NAB's Superannuation Trustee
Response by Australian Securities and Investments Commission to Phillip Sweeney on .

Successful.

Dear Mr Sweeney   Please find attached my letter to you.   Kind regards,   Jeremiah Leong Freedom of Information Officer, Chief Legal Off...
FOI Delegations
Follow up sent to Australian Securities and Investments Commission by Ben Fairless on .

Successful.

Thank you for responding with the documents, ASIC is the only agency I'm aware of that manage their FOI authorisations in this way. Yours sincerel...
Evidence held by the Parliament of South Australia
Response by Australian Securities and Investments Commission to Phillip Sweeney on .

Successful.

Dear Mr Sweeney   We refer to your request for access to documents under the Freedom of Information Act 1982.   Please find attached ASIC’s no...
Appearing as a witness to the Royal Commission
Response by Australian Securities and Investments Commission to Phillip Sweeney on .

Successful.

Dear Mr Sweeney, Please see attached correspondence in relation to your request dated 11 March 2018. Kind regards Melissa Smith | Senior Manager...
Correspondence with the Committee with Oversight over ASIC
Response by Australian Securities and Investments Commission to Phillip Sweeney on .

Successful.

Dear Mr Sweeney Please find attached ASIC's decision in relation to your FOI request. Regards Lauren Lauren Roy | Escalated Matters & Government...
Possession of a Superannuation Trust Deed
Response by Australian Securities and Investments Commission to Phillip Sweeney on .

Successful.

Dear Mr Sweeney, Please find notice of my decision attached. Chelsea McIntosh Escalated Matters & Government | Assessment & Intelligence | ASIC |...
Letter in relation to the Consumer Protection Inquiry
Response by Australian Securities and Investments Commission to Phillip Sweeney on .

Successful.

Dear Mr Sweeney, ASIC's response to your FOI request  is attached below.   Yours sincerely Mirijana Soldatic | FOI Coordinator| Chief Legal Offic...
Information on administration of 3D Group, 3D Industries.
Response by Australian Securities and Investments Commission to Jason Simpson on .

Successful.

I am out of the office until 24/07/2017.   For urgent matters, please email [email address] in my absence.       Note: This is an automated resp...
Letter to Chairman - Inquiry into the Life Insurance Industry
Response by Australian Securities and Investments Commission to Phillip Sweeney on .

Successful.

Dear Mr Sweeney, ASIC's response to your FOI request  is attached below.   Yours sincerely Mirijana Soldatic | FOI Coordinator| Chief Legal Offic...
Correspondence with NULIS Nominees (Australia) Ltd
Response by Australian Securities and Investments Commission to Phillip Sweeney on .

Successful.

Dear Mr Sweeney, Please see the attached letter in relation to your Freedom of Information Request dated 16 March 2017. Regards, Phillip Mines |...
Employee information provided to ballot agents in Enterprise Agreement bargaining
Response by Australian Securities and Investments Commission to James Smith on .

Successful.

Dear Mr Smith Please refer to attached letter. Yours sincerely Victoria Skinner Victoria Skinner Employee Relations Manager People & Developmen...
Email from ASIC to Jason Simpson 29/07/2015
Response by Australian Securities and Investments Commission to Jason Simpson on .

Successful.

Dear Mr Simpson Please see the attached correspondence from ASIC regarding your FOI request. Kind regards Lauren Lauren Roy | Escalated Matters...
ASICmeetingresponcefromSimpson Letter dated 13/10/2016
Response by Australian Securities and Investments Commission to Jason Simpson on .

Successful.

Dear Mr Simpson Please see the attached correspondence from ASIC regarding your FOI request. Kind regards Lauren Lauren Roy | Escalated Matters...
ASIC Response to Senate Economics Reference Committee
Response by Australian Securities and Investments Commission to Phillip Sweeney on .

Successful.

Dear Mr Sweeney Please see attached letter in relation to your FOI request. Regards Leah Quach Leah Quach | Lawyer (Tue – Fri) | Investment Mana...
Cross-selling practices of Australian Banks
Response by Australian Securities and Investments Commission to Phillip Sweeney on .

Partially successful.

Dear Mr Sweeney Attached is a decision letter regarding your email of 8 December 2016 and a copy of the document. Regards Tegan Tegan Lemm | La...
Information on Lamattina
Response by Australian Securities and Investments Commission to Michael Johnstone on .

Partially successful.

Dear Mr. Johnstone, Freedom of Information request - Lamattina companies I refer to the Notice of Decision dated 21 October 2016 (attached below)....
Evidence for Royal Commission into the banks - NAB
Response by Australian Securities and Investments Commission to Phillip Sweeney on .

Successful.

Dear Mr Sweeney, ASIC's response to your FOI request  is attached below.  It was sent on 6 October 2016 however it appears that it  was sent to the...
Correspondence with Senator Williams
Response by Australian Securities and Investments Commission to Phillip Sweeney on .

Successful.

Dear Mr Sweeney I refer to your request for an internal review of the above decision, as received by email on 13 October 2016. I am conducting the...
Whistleblower Protection - Dr Koh
Response by Australian Securities and Investments Commission to Phillip Sweeney on .

Successful.

Tracking Request Target recipient(s): [FOI #1925 email] Request date: 21/07/2016 11:11:44 AM Responses: Tracking response information:   Please...
Southern Cross Care (NSW & ACT) Financial statement FY 2014/2015
Response by Australian Securities and Investments Commission to Daffyd on .

Successful.

Dear Mr Morgan Please find attached notification of decision by email of your FOI request of 5 July 2016. Yours sincerely Grace Gagliano Grace G...
Whistleblower Project -Letter to 30,000 Companies
Response by Australian Securities and Investments Commission to Phillip Sweeney on .

Successful.

Dear Mr Sweeney We refer to your request set out in your email of 26 June 2016, below. Please refer to our letter in response attached. Regards...
ACM Group Collection Manual
Response by Australian Securities and Investments Commission to Ben Fairless on .

Partially successful.

Dear Mr Fairless, I refer to the letter dated 13 April 2016 addressed to you from Ms Penny Beck of ASIC. The review rights of the affected third p...
Life Insurance Industry Review/Investigation
Response by Australian Securities and Investments Commission to Phillip Sweeney on .

Successful.

Dear Mr Sweeney Please refer to the attached letter: Kind regards Evelyn Evelyn Ong | Lawyer | ASIC Deposit Takers, Credit & Insurers Level 9,...
Vexatious Applicant requests
Response by Australian Securities and Investments Commission to Ben Fairless on .

Successful.

Dear Mr Fairless Please find attached letter of today's date concerning your FOI request dated 19 January 2016. Mirijana Soldatic | FOI Coordinato...
Aggregate statistics on reports of misconduct and outcome
Response by Australian Securities and Investments Commission to Justin Warren on .

Successful.

Dear Mr Warren Please find attached ASIC's response to your FOI request. Regards, Fiona Crowe | Misconduct & Breach Reporting | Assessment & Intel...

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