Evidence of Criminal Conduct by Nicole Smith Chairman of NULIS
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,
The document I seek is a copy of a letter that should be in the possession of ASIC that confirms that Nicole Smith the previous Chairman of NULIS Nominees (Australia) Ltd, the puppet Trustee of the National Australia Bank has engaged in criminal conduct - namely the contravention of subsection 1017C(5) of the Corporations Act 2001 as well as Section 84B of the Trustee Act 1936 (SA).
This document was addressed to Nicole Smith and the document is signed by Peter O'Connor who is a member of a superannuation fund now administered by NULIS.
The compensation policy of the Coalition Government is based on the 'moral hazard' argument where fund members are expected to take an active role in monitoring the conduct of the trustee of their superannuation fund.
A fund member, Mr O'Connor, was seeking copies of fund deeds to be lodged in evidence to the Royal Commission into Misconduct in the Banking, Superannuation and Financial Services Industry. Nicole Smith engaged in criminal conduct by failing to provide copies of these deeds to this fund member so that they could be lodged as evidence of fraud committed by NULIS and the National Australia Bank.
The misconduct of Nicole Smith also amounts to a contempt of the Royal Commission.
ASIC has recently laid charges in the Federal Court of Australia against NULIS and NAB in relation to another matter.
The search period is from 1 December 2017 to the present.
Yours faithfully,
Phillip Sweeney
Dear Mr Sweeney
Freedom of Information Request – Notice to identify documents under
section 24AB of the FOI Act
We refer to your request for access to documents under the Freedom of
Information Act 1982 concerning NULIS Nominees (Australia) Limited.
Please find attached our letter, sent by email only.
Yours sincerely
David Asadi
Lawyer, Escalated Matters & Government
Australian Securities and Investments Commission
Tel: +61 3 9280 4614
[1][email address]
[2]ASIC-Cobrand-ALT-Inline-Signature-02
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Dear David Asadi,
I refer to your letter of 1 October 2018. In this letter you state:
"ASIC can search for copies of letters provided to ASIC, however the current terms of
your request prevents me from effectively identifying the document you seek. For this
reason, we require you revise your wording as to whether any such document
confirms criminal conduct."
Mr Peter O'Connor is a member of a superannuation fund administered by NULIS Nominees (Australia) Ltd {NULIS} a subsidiary company of the National Australia Bank.
Mr O'Connor in a letter dated 27 December 2017 made a written request to Nicole Smith, the then Chairman of NULIS for copies of Deeds of the fund in which Mr O'Connor has a beneficial interest. This letter was received by NULIS on 8 January 2018.
Mr O'Connor stated that he wished to lodge copies of these deeds as evidence to the Royal Commission into Misconduct in the Banking, Superannuation and Financial Services Industry.
In order to comply with the provisions of subsection 1017C(5) of the Corporations Act 2001, Nicole Smith should have provided Mr O'Connor with copies of the Deeds requested on for before 8 February 2018.
Mr O'Connor did not receive copies of any deeds from Nicole Smith or any reply to his written request.
Within 10 days of 8 February 2018, Nicole Smith should have lodged a Breach Notice with ASIC since a contravention of subsection 1017C(5) is a serious offence with a maximum penalty of a fine and two years imprisonment.
No such Breach Notice was lodged with ASIC.
Attached to a letter dated 20 September 2018 and addressed to James Shipton, Mr O'Connor provided a copy of the written request Nicole Smith dated 27 December 2018.
During the testimony of Nicole Smith at the Royal Commission, Royal Commissiioner Hayne alluded that criminal sanctions may be appropriate for the misconduct of Nicole Smith and her fellow directors of NULIS.
I trust this information has satisfied you concerns
Yours sincerely,
Phillip Sweeney
Dear Mr Sweeney
Freedom of information request – consultation with affected third parties
Please find attached our letter, sent by email only.
Yours sincerely
David Asadi
Lawyer, Escalated Matters & Government
Australian Securities and Investments Commission
Tel: +61 3 9280 4614
[1][email address]
[2]ASIC-Cobrand-ALT-Inline-Signature-02
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.
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Dear Mr Sweeney
Freedom of information request – Notice the applicant is liable to pay a
charge
Please find attached our letter, sent by email only.
Yours sincerely
David Asadi
Lawyer, Escalated Matters & Government
Australian Securities and Investments Commission
Tel: +61 3 9280 4614
[1][email address]
[2]ASIC-Cobrand-ALT-Inline-Signature-02
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.
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Dear David Asadi,
I note that ASIC is seeking to charge me a fee for access information under the Freedom of Information Act.
I am an old aged pensioner living in poverty because I am a victim of superannuation fraud committed by NULIS Nominees (Australia) Ltd and on this basis am seeking for ASIC to waive this access fee.
Yours sincerely,
Phillip Sweeney
Dear Mr Sweeney
Please find attached our letter in response to your email dated 26
November 2018.
Yours sincerely
David Asadi
Lawyer, Escalated Matters & Government
Australian Securities and Investments Commission
Tel: +61 3 9280 4614
[1][email address]
[2]ASIC-Cobrand-ALT-Inline-Signature-02
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
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Dear Mr Sweeney
Freedom of information request – notice of charge decision
Please find attached our letter, sent by email only.
Yours sincerely
David Asadi
Lawyer, Escalated Matters & Government
Australian Securities and Investments Commission
Tel: +61 3 9280 4614
[1][email address]
[2]ASIC-Cobrand-ALT-Inline-Signature-02
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
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Dear David Asadi,
I am now willing to pay the charge of $70.00
If necessary I am resubmitting this FOI request.
Yours sincerely,
Phillip Sweeney
Dear Mr Sweeney
Thank you for your email dated 17 August 2019.
In September 2018, you submitted two FOI requests:
1. Request relating to The Universal Super Scheme (ASIC ref. 27355-18) –
$60.00
2. Request relating to NULIS Nominees (Australia) Limited (ASIC ref.
27356-18) – $15.00
Please confirm whether you agree to pay the charges associated with one or
both of your FOI requests. Once confirmed, we will forward your request to
the relevant ASIC team, who will contact you in due course.
Yours sincerely
David Asadi
Lawyer, Wealth Management Enforcement – Superannuation
Australian Securities and Investments Commission
Tel: +61 3 9280 4614
[1][email address]
[2]ASIC logo
Dear David Asadi,
I agree to pay these charges.
Can I pay by MasterCard?
Yours sincerely,
Phillip Sweeney
Dear David Asadi,
I only wish to pay the $15.00 for the request related to NULIS Nominees (Australia) Ltd
Yours sincerely,
Phillip Sweeney
Hello Phillip,
Please find attached the ASIC invoice for the FOI request that has been
ordered.
Kind regards,
Accounts Payable
Australian Securities and Investments Commission
PO Box 4000, Gippsland Mail Centre, Morwell, 3840
Tel: +61 3 5177 5288
[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
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Dear Mr Sweeney
I refer to your email to Mr Asadi of ASIC of 22 August 2019. For your
records, please find attached a new charges notice.
I note that after your email to Mr Asadi you sent payment which satisfies
the charge in this notice.
Kind Regards
Tim Homel
Lawyer
Escalated Matters & Government, Assessment & Intelligence
Australian Securities and Investments Commission
Level 5, 100 Market Street, Sydney, 2001
[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
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Dear Mr Sweeney
I refer to your email to Mr Asadi of 22 August 2019. Please find attached
the FOI decision and document released in response to your request.
Kind Regards
Tim Homel
Lawyer
Escalated Matters & Government, Assessment & Intelligence
Australian Securities and Investments Commission
Level 5, 100 Market Street, Sydney, 2001
[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
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1. mailto:[email address]
3. https://www.asic.gov.au/privacy
Hello Phillip,
This is a reminder that payment of the attached invoice is now overdue.
If payment has already been made in full can you please supply a
remittance advice.
If you have any queries, please contact Accounts Receivable on 03 5177
3110.
Kind regards,
Accounts Receivable
Australian Securities and Investments Commission
PO Box 4000, Gippsland Mail Centre, Morwell, 3840
Tel: +61 3 5177 5288
[1][email address]
[2]ASIC logo
From: AccountsReceivable <[email address]>
Sent: Friday, 30 August 2019 1:50 PM
To: [FOI #4783 email]
Subject: ASIC Invoice 01200084440 (Treat as In Confidence) [DLM=Sensitive]
Hello Phillip,
Please find attached the ASIC invoice for the FOI request that has been
ordered.
Kind regards,
Accounts Payable
Australian Securities and Investments Commission
PO Box 4000, Gippsland Mail Centre, Morwell, 3840
Tel: +61 3 5177 5288
[3][email address]
[4]ASIC logo
Please consider the environment before printing this document.
Information collected by ASIC may contain personal information. Please
refer to our [5]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. mailto:[email address]
5. https://www.asic.gov.au/privacy
Hello Phillip,
This is a reminder that payment of the attached invoice is now overdue.
If payment has already been made in full can you please supply a
remittance advice.
If you have any queries, please contact Accounts Receivable on 03 5177
3110.
Kind regards,
Accounts Receivable
Australian Securities and Investments Commission
PO Box 4000, Gippsland Mail Centre, Morwell, 3840
Tel: +61 3 5177 5288
[1][email address]
[2]ASIC logo
From: AccountsReceivable <[email address]>
Sent: Friday, 30 August 2019 1:50 PM
To: [FOI #4783 email]
Subject: ASIC Invoice 01200084440 (Treat as In Confidence) [DLM=Sensitive]
Hello Phillip,
Please find attached the ASIC invoice for the FOI request that has been
ordered.
Kind regards,
Accounts Payable
Australian Securities and Investments Commission
PO Box 4000, Gippsland Mail Centre, Morwell, 3840
Tel: +61 3 5177 5288
[3][email address]
[4]ASIC logo
Please consider the environment before printing this document.
Information collected by ASIC may contain personal information. Please
refer to our [5]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. mailto:[email address]
5. https://www.asic.gov.au/privacy