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.

66 requests
In a letter dated 7 December 2018 (ASIC ref: CAS-20359-K6F4BB} David Asadi {Misconduct and Breach Reporting} confirmed that ASIC would take no regul...
Dear Mr Sweeney   Freedom of information request – notice of charge decision   Please find attached our letter, sent by email only.   Yours...
Dear Mr Sweeney I refer to your emails to the Australian Securities and Investments Commission (ASIC) dated 5 December 2018. I acknowledge receipt of...
Thank you for your email.   I am out of the office and I will attend to your email when I return on 7 January 2019.   Please note, ASIC office...
Dear Mr Sweeney   Freedom of information request – notice of charge decision   Please find attached our letter, sent by email only.   Yours...
FOI Delegations
Response by Australian Securities and Investments Commission to Ben Fairless on .
Awaiting classification.
Dear Mr Fairless,   Please find attached a letter regarding your request to access documents.   Kind regards,   Jessica Zhang Freedom of I...
ASIC has commenced proceedings in the Federal Court (Sydney) in relation to misconduct by NULIS Nominees (Australia) Ltd following testimony given i...
Dear Mr Sweeney I have attached a PDF of our decision letter dated 25 October 2018. Please contact me if you have any queries. Regards - James Graps...
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...
Dear Mr Simpson, I refer to your request for an internal review of a decision under the FOI Act. Please see attached Notice of Decision. Please cont...
Dear Mr Simpson, Attached is a letter from ASIC. Kind regards, Patricia Hu | Lawyer | Insolvency Practitioners | Brisbane | ' 07 3867 4976 | * [1...
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...
Dear Mr Sweeney Please find attached ASIC's decision in relation to your FOI request. Regards Lauren Lauren Roy | Escalated Matters & Government...
Dear Mr McDermott, Please find attached a letter concerning your FOI request, which is now withdrawn. Regards, Fiona Crowe | Misconduct & Breach...
Dear Mr Sweeney, Please find notice of my decision attached. Chelsea McIntosh Escalated Matters & Government | Assessment & Intelligence | ASIC |...
Dear Mr Sweeney, ASIC's response to your FOI request  is attached below.   Yours sincerely Mirijana Soldatic | FOI Coordinator| Chief Legal Offic...
I am out of the office until 24/07/2017.   For urgent matters, please email [email address] in my absence.       Note: This is an automated resp...
We are a group of 160 clients of Courtenay House Capital Trading Group seeking information to resolve outstanding questions relating to our funds wh...
Dear Mr Sweeney, ASIC's response to your FOI request  is attached below.   Yours sincerely Mirijana Soldatic | FOI Coordinator| Chief Legal Offic...
Dear Mr Sweeney, Please see the attached letter in relation to your Freedom of Information Request dated 16 March 2017. Regards, Phillip Mines |...
Dear Mr Smith Please refer to attached letter. Yours sincerely Victoria Skinner Victoria Skinner Employee Relations Manager People & Developmen...
Dear Mr Simpson Please see the attached correspondence from ASIC regarding your FOI request. Kind regards Lauren Lauren Roy | Escalated Matters...
Dear Mr Simpson Please see the attached correspondence from ASIC regarding your FOI request. Kind regards Lauren Lauren Roy | Escalated Matters...
Dear Mr Sweeney Please see attached letter in relation to your FOI request. Regards Leah Quach Leah Quach | Lawyer (Tue – Fri) | Investment Mana...

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