ASIC - SERC enforcement report reactions
Dear Australian Securities and Investments Commission,
May I please request:
- All emails sent by ASIC between 0000 1 July and 2359 5 July 2024, where:
- The author is an ASIC SES (or equivalent), including acting SES, and
- The email relates in any way to the SERC report on ASIC investigation and enforcement (whether before or after the report’s formal tabling), and
- The email was not sent outside the Commonwealth (that is, internal emails, or to other Commonwealth entities, or a minister/their office, are all included; emails to journalists, or companies (that are not CCEs), or private citizens are excluded)
Personal information of any SES or equivalent, including a/SES and SES at other departments, is included unless (1) it is sensitive personal information, or (2) it is a non-work contact detail (such as a mobile phone number where the employer didn’t provide the phone)
Duplicates are excluded - one email trail is sufficient if it has all the emails in scope
Attachments to emails, and other documents referred to in emails, are included
Third party personal information, apart from SES as above, is excluded except for first names
All emails domains (‘@asic.gov.au’) are included
All email addresses are included subject to the above. So positional emails and SES names included, other names excluded except first name
Yours faithfully,
Me
Dear Me
Thank you for the FOI request below received on 5 July 2024 (reference number 141-2024).
Please find attached correspondence of today's date.
Kind regards
Dr Rachel Ranjan
Senior Lawyer, FOI, Legal Services
Australian Securities and Investments Commission
Level 5, 100 Market Street, Sydney NSW 2000
Tel: 9911 5841
Dear Rachel Ranjan,
Thanks for getting back to me
I don’t agree with your assessment. ICT should be able to conduct all the relevant searches. Further, ICT should be able to conduct key word searches across all relevant inboxes (not one at a time). The SES would only need to review documents that had been already compiled.
That doesn’t require no work, but it removes a core basis of your reasoning.
Nonetheless, I am happy to narrow the request to all SES Band 2s and above (incl a/SES)
Yours sincerely,
Me
Dear Me
Thank you for your email.
I have conducted inquiries with our People & Development team and have been informed that while ASIC does not use the APS band taxonomy, roles classified as APS SES Band 2 are generally similar to ASIC's Executive Director level roles.
I would be grateful for your confirmation of the following revised request:
- All emails sent by ASIC between 0000 1 July and 2359 5 July 2024, where:
- The author is an ASIC Executive Director (or equivalent), including acting Executive Director, and
- The email relates in any way to the SERC report on ASIC investigation and enforcement (whether before or after the report’s formal tabling), and
- The email was not sent outside the Commonwealth (that is, internal emails, or to other Commonwealth entities, or a minister/their office, are all included; emails to journalists, or companies (that are not CCEs), or private citizens are excluded)
Personal information of any Senior Executive Leader, Senior Executive Specialist or Executive Director or equivalent, including a/SES and SES at other departments, is included unless (1) it is sensitive personal information, or (2) it is a non-work contact detail (such as a mobile phone number where the employer didn’t provide the phone)
Duplicates are excluded - one email trail is sufficient if it has all the emails in scope
Attachments to emails, and other documents referred to in emails, are included
Third party personal information, apart from Senior Executive Leader, Senior Executive Specialist or Executive Director and SES as above, is excluded except for first names
All emails domains (‘@asic.gov.au’) are included
All email addresses are included subject to the above. So positional emails and Senior Executive Leader, Senior Executive Specialist or Executive Director and SES names included, other names excluded except first name
Kind regards
Dr Rachel Ranjan
Senior Lawyer, FOI, Legal Services
Australian Securities and Investments Commission
Level 5, 100 Market Street, Sydney NSW 2000
Tel: 9911 5841