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.

91 requests
Make a request to this authority
COVID-19 FOI Request - Internal Communication on COVID-19 related FOI Requests
Request sent to Australian Securities and Investments Commission by Phillip Sweeney on .
Awaiting response.
A number of FOI requests have recently been lodged with ASIC related to misconduct by ASIC Officers Warren Day. Belinda Taneski and Gerard Fitzgeral...
COVID-19 FOI Request:Copy of a Response on a "Straw Man Complaint"
Clarification sent to Australian Securities and Investments Commission by Phillip Sweeney on .
Awaiting response.
I refer to your letter of 10 July 2020 {ASIC ref: FOI 1 10-2020} This letter makes reference to the following five FOI requests: (i) COVID-19 FO...
COVID-19 FOI Request: Statutory Interpretation by ASIC staff
Request sent to Australian Securities and Investments Commission by Phillip Sweeney on .
Awaiting response.
For ASIC to “administer” statutory laws contained in the Corporations Act 2001, the ASIC Act 2001 and the Superannuation Industry (Supervision) Act...
NAB's Superannuation Trustee - Disclosure and Reporting to Members
Request sent to Australian Securities and Investments Commission by Phillip Sweeney on .
Awaiting response.
In a Media Release dated Thursday 2 February 2017 and titled "17-022MR ASIC imposes licence conditions on NAB’s superannuation trustee" ASIC requ...
COVID-19 FOI Request: Definition of a 'Beneficiary" or "Concerned Person"
Request sent to Australian Securities and Investments Commission by Phillip Sweeney on .
Awaiting response.
Prior to 1 July 2019 ASIC staff were subject to the Public Service Act 1999. Subsection 13(9) provides: (9) An APS employee must not provide fals...
COVID-19 FOI Request: Definition of "the governing rules"
Request sent to Australian Securities and Investments Commission by Phillip Sweeney on .
Awaiting response.
The Australian Law Dictionary {Oxford University Press} defines “trust deed” as follows: “The instrument (a deed of settlement) establishing a tru...
COVID-19 FOI Request: Copy of False and Misleading Information Provided to Senator Williams
Request sent to Australian Securities and Investments Commission by Phillip Sweeney on .
Awaiting response.
Prior to 1 July 2019 ASIC staff were subject to the Public Service Act 1999. Subsection 13(9) provides: (9) An APS employee must not provide fals...
COVID-19 FOI Request: Copy of an original Trust Deed
Request sent to Australian Securities and Investments Commission by Phillip Sweeney on .
Awaiting response.
Prior to 1 July 2019 ASIC staff were subject to the Public Service Act 1999. Subsection 13(9) provides: (9) An APS employee must not provide fals...
COVID-19 FOI Request: Copy of False and Misleading Information provided to Senator Williams
Request sent to Australian Securities and Investments Commission by Phillip Sweeney on .
Awaiting response.
Prior to 1 July 2019 ASIC staff were subject to the Public Service Act 1999. Subsection 13(9) provides: (9) An APS employee must not provide fa...
Transparency of Stakeholder Engagement Meetings
Response by Australian Securities and Investments Commission to Phillip Sweeney on .
Refused.
Dear Mr Sweeney Please find attached the decision concerning your FOI request, reference 234-2019. Yours sincerely,   Mirijana Soldatic Seni...
Criminal prosecution guidelines
Response by Australian Securities and Investments Commission to John Smith on .
Partially successful.
Dear Mr Smith, Please find attached my decision in relation to your FOI request, reference 041-2020, together with the document to which I have deci...
Validity of the Corporations law
Response by Australian Securities and Investments Commission to H Hopes on .
Successful.
Dear Mr Hopes,   Please find the attached decision in relation to your request under the Freedom of Information Act 1982 (Cth).   Kind regards...
Please Clarify Why All These Supposed Government Entities That Purport To Be Public Services Are Actually Businesses Under ! ABN
Response by Australian Securities and Investments Commission to steven on .
Refused.
Dear Steven   Please find attached notification of my decision in relation to your FOI request of 11 September 2019.   Yours sincerely   G...
Evidence of Criminal Conduct by Nicole Smith Chairman of NULIS
Response by Australian Securities and Investments Commission to Phillip Sweeney on .
Successful.
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...
Australian Financial Complaints Authority Where does the funding originate from
Response by Australian Securities and Investments Commission to steven on .
Refused.
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 with the House Committee on Economics
Response by Australian Securities and Investments Commission to Phillip Sweeney on .
Successful.
Dear Mr Sweeney,   Please find the attached correspondence in relation to your request under the Freedom of Information Act 1982 (Cth).   Kind...
Counsel Representing ASIC in the Federal Court - NULIS Matter
Response by Australian Securities and Investments Commission to Phillip Sweeney on .
Successful.
Dear Mr Sweeney, A response to your FOI request received by ASIC on 26 November 2018 was sent to you on 17 December 2018. However, the email correspon...
Correspondence with James Frost - AFR
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...
Response to the Chair of the House Committee on Economic
Response by Australian Securities and Investments Commission to Phillip Sweeney on .
Successful.
Dear Mr Sweeney   Please find attached:   o ASIC’s Decision in response to your FOI request; and o the documents we have released to you.  ...
Founding Trust Deed made on 23 December 1913 in the State of S.A.
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 received on 6 August 2019.     Regards Lauren  ...
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...
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...

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