ASCI's Proceedings Against NAB's Superannuation Trustee
Phillip Sweeney made this Freedom of Information request to Australian Securities and Investments Commission
This request has been closed to new correspondence from the public body. Contact us if you think it ought be re-opened.
Dear Australian Securities and Investments Commission,
On Thursday 6 September 2018 ASIC commenced Federal Court action against NAB companies NULIS Nominees (Australia) Limited (NULIS) and MLC Nominees Pty Ltd (MLC Nominees).
The documents I seek are the most recent versions of the Originating Process document and the Concise Statement document associated with these proceedings in the Federal Court
I also seek any document that identified the names of Counsel who ASIC has or will engage to plead this matter in the Federal Court
Yours faithfully,
Phillip Sweeney
Dear Australian Securities and Investments Commission,
I am clarifying my FOI request to include copies of the following documents filed by ASIC in NSD1654/2018
23 October 2018 - Particulars (including Further and better Particulars)
12 October Amended Document
12 October Amended Document
Yours faithfully,
Phillip Sweeney
Dear Mr Sweeney
I refer to your email to the Australian Securities and Investments
Commission (ASIC) dated 26 November 2018.
I acknowledge receipt of your request and advise that I am the relevant
decision maker.
ASIC is prepared to release the identity of the Counsel in relation to
these proceedings outside the request process established by the Freedom
of Information Act 1982 (Cth) (‘the Act’). However, in exercising this
discretion, ASIC requires that you first withdraw the formal request under
the Act.
Please confirm whether you wish to withdraw your formal request by close
of business on 12 December 2018.
Yours faithfully,
Jeremiah Leong
Freedom of Information Officer, Chief Legal Office
Australian Securities and Investments Commission
Level 7, 120 Collins Street, Melbourne, 3000
Tel: +61 3 9280 3451
[1][email address]
[2]ASIC logo
-----Original Message-----
From: Phillip Sweeney <[3][email address]>
Sent: Monday, 26 November 2018 6:04 PM
To: FOIrequest <[4][ASIC request email]>
Subject: Freedom of Information request - Counsel Representing ASIC in the
Federal Court - NULIS Matter
Dear Australian Securities and Investments Commission,
ASIC has commenced proceedings in the Federal Court (Sydney) in relation
to misconduct by NULIS Nominees (Australia) Ltd following testimony given
in the Royal Commission into Misconduct in the Banking, Superannuation and
Financial Services Industry.
The document or documents I seek are those that identify the Counsel who
ASIC are or will be briefing in relation to this matter.
I am not seeking any documents related to allegations or evidence to be
tendered to the Federal Court - just documents disclosing the identity of
Counsel.
Yours faithfully,
Phillip Sweeney
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References
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Dear Mr Sweeney
I refer to your emails to the Australian Securities and Investments Commission (ASIC) dated 5 December 2018.
I acknowledge receipt of your request and advise that I am the relevant decision maker.
Noting that you have clarified your request of 5 December 2018, I will review this clarified request.
I will convey my decision to you in due course.
Yours faithfully,
Jeremiah Leong
Freedom of Information Officer, Chief Legal Office
Australian Securities and Investments Commission
Level 7, 120 Collins Street, Melbourne, 3000
Tel: +61 3 9280 3451
[email address]
-----Original Message-----
From: Phillip Sweeney <[FOI #5144 email]>
Sent: Wednesday, 5 December 2018 10:00 AM
To: FOIrequest <[ASIC request email]>
Subject: Re: Freedom of Information request - ASCI's Proceedings Against NAB's Superannuation Trustee
Dear Australian Securities and Investments Commission,
I am clarifying my FOI request to include copies of the following documents filed by ASIC in NSD1654/2018
23 October 2018 - Particulars (including Further and better Particulars)
12 October Amended Document
12 October Amended Document
Yours faithfully,
Phillip Sweeney
-------------------------------------------------------------------
Please use this email address for all replies to this request:
[FOI #5144 email]
This request has been made by an individual using Right to Know. This message and any reply that you make will be published on the internet. More information on how Right to Know works can be found at:
https://www.righttoknow.org.au/help/offi...
If you find this service useful as an FOI officer, please ask your web manager to link to us from your organisation's FOI page.
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Please consider the environment before printing this document.
Information collected by ASIC may contain personal information. Please refer to our Privacy Policy for information about how we handle your personal information, your rights to seek access to and correct your personal information, and how to complain about breaches of your privacy by ASIC.
This e-mail and any attachments are intended for the addressee(s) only and may be confidential. They may contain legally privileged, copyright material or personal and /or confidential information. You should not read, copy, use or disclose the content without authorisation. If you have received this email in error, please notify the sender as soon as possible, delete the email and destroy any copies. This notice should not be removed.
Dear Mr Sweeney
I refer to my email to you dated 5 December 2018 in response to your
request under the Freedom of Information Act 1982 (Cth) (‘the Act’) sent
by email on 26 November 2018.
The Australian Securities and Investments Commission (‘ASIC’) advises that
the Counsel briefing ASIC in relation to the NULIS proceedings in the
Federal Court are: Tim Faulkner SC and Joanne Shepard.
As ASIC has provided the names of Counsel to you in relation to these
proceedings, and ASIC did not receive a response from you by 12 December
2018 as stipulated in my email to you on 5 December 2018, ASIC considers
that your formal request under the Act has been withdrawn.
Kind regards,
Jeremiah Leong
Freedom of Information Officer, Chief Legal Office
Australian Securities and Investments Commission
Level 7, 120 Collins Street, Melbourne, 3000
Tel: +61 3 9280 3451
[1][email address]
[2]ASIC logo
Please consider the environment before printing this document.
Information collected by ASIC may contain personal information. Please
refer to our [3]Privacy Policy for information about how we handle your
personal information, your rights to seek access to and correct
your personal information, and how to complain about breaches of your
privacy by ASIC.
This e-mail and any attachments are intended for the addressee(s) only and
may be confidential. They may contain legally privileged, copyright
material or personal and /or confidential information. You should not
read, copy, use or disclose the content without authorisation. If you have
received this email in error, please notify the sender as soon as
possible, delete the email and destroy any copies. This notice should not
be removed.
References
Visible links
1. mailto:[email address]
3. https://www.asic.gov.au/privacy
Dear Mr Sweeney
Please find attached my letter to you.
Kind regards,
Jeremiah Leong
Freedom of Information Officer, Chief Legal Office
Australian Securities and Investments Commission
Level 7, 120 Collins Street, Melbourne, 3000
Tel: +61 3 9280 3451
[1][email address]
[2]ASIC logo
Please consider the environment before printing this document.
Information collected by ASIC may contain personal information. Please
refer to our [3]Privacy Policy for information about how we handle your
personal information, your rights to seek access to and correct
your personal information, and how to complain about breaches of your
privacy by ASIC.
This e-mail and any attachments are intended for the addressee(s) only and
may be confidential. They may contain legally privileged, copyright
material or personal and /or confidential information. You should not
read, copy, use or disclose the content without authorisation. If you have
received this email in error, please notify the sender as soon as
possible, delete the email and destroy any copies. This notice should not
be removed.
References
Visible links
1. mailto:[email address]
3. https://www.asic.gov.au/privacy