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
-----Original Message-----
From: Me <[FOI #11634 email]>
Sent: Friday, July 5, 2024 7:56 AM
To: FOIrequest <[ASIC request email]>
Subject: Freedom of Information request - ASIC - SERC enforcement report reactions
[You don't often get email from [FOI #11634 email]. Learn why this is important at https://aka.ms/LearnAboutSenderIdentific... ]
EXTERNAL EMAIL: Do not click any links or open any attachments unless you trust the sender and know the content is safe.
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
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[FOI #11634 email]
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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 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
-----Original Message-----
From: Me <[FOI #11634 email]>
Sent: Friday, July 12, 2024 9:51 AM
To: Rachel Ranjan <[email address]>
Subject: RE: Freedom of Information request - ASIC - SERC enforcement report reactions [SEC=OFFICIAL]
EXTERNAL EMAIL: Do not click any links or open any attachments unless you trust the sender and know the content is safe.
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
-----Original Message-----
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
-------------------------------------------------------------------
Please use this email address for all replies to this request:
[FOI #11634 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...
Please note that in some cases publication of requests and responses will be delayed.
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.
-------------------------------------------------------------------
Please consider the environment before printing this document.
Information collected by ASIC may contain personal information. Please refer to our Privacy Policy<https://asic.gov.au/privacy/> 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.