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.

77 requests
Make a request to this authority
Evidence of Criminal Conduct by Nicole Smith Chairman of NULIS
Follow up sent to Australian Securities and Investments Commission by Phillip Sweeney on .
Refused.
I am now willing to pay the charge of $70.00 If necessary I am resubmitting this FOI request. Yours sincerely, Phillip Sweeney
Correspondence with James Frost - AFR
Response by Australian Securities and Investments Commission to Phillip Sweeney on .
Awaiting classification.
Dear Mr Sweeney   Please find attached my letter to you.   Kind regards,   Jeremiah Leong Freedom of Information Officer, Chief Legal Off...
Federal Court NSD1654/2018 - "Model Litigant" commitment by Phil Chronican
Response by Australian Securities and Investments Commission to Phillip Sweeney on .
Successful.
Dear Mr Sweeney,   Please see attached correspondence.   Kind regards,   Jessica Zhang Freedom of Information Officer, Chief Legal Office...
Founding Trust Deed made on 23 December 1913 in the State of S.A.
Request sent to Australian Securities and Investments Commission by Phillip Sweeney on .
Awaiting response.
On the 6 September 2018, ASIC announced that it had commenced civil proceedings in the Federal Court against two NAB superannuation trustees, one of...
Response to the Chair of the House Committee on Economic
Request sent to Australian Securities and Investments Commission by Phillip Sweeney on .
Awaiting response.
The following email was sent on 8 August 2018 at a time when Royal Commissioner Hayne was examining the conduct of superannuation trustees, which in...
ASIC Code of Conduct
Response by Australian Securities and Investments Commission to Phillip Sweeney on .
Successful.
Dear Mr Sweeney, ASIC considers that your formal request under the Freedom of Information Act 1982 (Cth) has been withdrawn. Please find attached a...
Royal Commission Correspondence
Response by Australian Securities and Investments Commission to Phillip Sweeney on .
Information not held.
Dear Mr Sweeney   Please find attached my letter to you.   Kind regards,   Jeremiah Leong Freedom of Information Officer, Chief Legal Off...
Does ASIC Play A Role In Determining What Is Considered To Be Irresponsible Lending
Internal review request sent to Australian Securities and Investments Commission by steven on .
Awaiting internal review.
As a legal practitioner you would know that acquiescence is admission by default. You might consider trying to perfect the law rather than just me...
Shareholders list of 3D Group/3d Industries and T3d (the proponent of the DOCA)
Request to Australian Securities and Investments Commission by Jason Simpson. Annotated by Locutus Sum on .
Refused.
Some of the wanted information is not held by the authority. Other information held by the authority is available for a fee and is therefore not access...
Correspondence The Treasurer and the Chairman of ASIC
Response by Australian Securities and Investments Commission to Phillip Sweeney on .
Successful.
Dear Mr Sweeney,   Please see attached correspondence.   Kind regards,   Jessica Zhang Freedom of Information Officer, Chief Legal Office...
Australian Financial Complaints Authority Where does the funding originate from
Response by Australian Securities and Investments Commission to steven on .
Awaiting classification.
Dear Sir, You have asked for an internal review of ASIC's handling of your FOI request titled 'Australian Financial Complaints Authority Where does th...
Correspondence from the Royal Commissioner
Response by Australian Securities and Investments Commission to Phillip Sweeney on .
Successful.
Dear Mr Sweeney,   Please see attached correspondence.   Kind regards,   Jessica Zhang Freedom of Information Officer, Chief Legal Office...
Comprehensive Inquiries related to NAB Trustees
Response by Australian Securities and Investments Commission to Phillip Sweeney on .
Information not held.
Dear Mr Sweeney   Freedom of information request – confirmation of withdrawal   Please find attached our letter, sent by email only.   Your...
Referal under s64 of the SRC Act
Response by Australian Securities and Investments Commission to Phillip Sweeney on .
Successful.
Dear Mr Sweeney I write to you regarding your FOI application by email of 28 August 2018 in the matter of MLC Nominees, seeking access to a related...
Communication Trail - ASIC Decision CAS-20359 - K6F4BB
Response by Australian Securities and Investments Commission to Phillip Sweeney on .
Successful.
Dear Mr Sweeney   Please find attached my decision regarding your request for an internal review.     Regards Lauren   Lauren Roy Tea...
Seeking Tenders for Default Superannuation for ASIC Staff
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...
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...
Deeds of The Universal Superannuation Scheme
Response by Australian Securities and Investments Commission to Phillip Sweeney on .
Refused.
Dear Mr Sweeney   Freedom of information request – notice of charge decision   Please find attached our letter, sent by email only.   Yours...
Counsel Representing ASIC in the Federal Court - NULIS Matter
Request sent to Australian Securities and Investments Commission by Phillip Sweeney on .
Long overdue.
ASIC has commenced proceedings in the Federal Court (Sydney) in relation to misconduct by NULIS Nominees (Australia) Ltd following testimony given i...
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...
Correspondence between ASIC and the directors of 3D Group PTY LTD and 3D Industries PTY LTD
Response by Australian Securities and Investments Commission to Jason Simpson on .
Waiting clarification.
Dear Mr Simpson, Attached is a letter from ASIC. Kind regards, Patricia Hu | Lawyer | Insolvency Practitioners | Brisbane | ' 07 3867 4976 | * [1...
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...
Misconduct of staff
Response by Australian Securities and Investments Commission to Julie on .
Waiting clarification.
Dear Julie, Please see attached letter. Regards Nicky Peacocke |Employee Relations Manager | People & Development | ASIC | Sydney | ( 02 9911 5...
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...

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