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.

106 requests
Make a request to this authority
COVID-19 FOI Request - ASIC's "No Action Letters" Hayne Royal Commission
Response by Australian Securities and Investments Commission to Phillip Sweeney on .
Delayed.
Dear Mr Sweeney   Please find attached further correspondence in relation to your request.   Kind regards Mabel Say Freedom of Information O...
COVID-19 FOI Request - ASIC's "No Action Letters" Hayne Royal Commission - Part 2
Response by Australian Securities and Investments Commission to Phillip Sweeney on .
Delayed.
Dear Mr Sweeney   Please find attached further correspondence in relation to your request.   Kind regards Mabel Say Freedom of Information O...
COVID-19 FOI Request - Class Orders
Response by Australian Securities and Investments Commission to Phillip Sweeney on .
Awaiting response.
Dear Mr Sweeney   Please see attached correspondence.   Kind regards,   Jessica Zhang Freedom of Information Officer, Chief Legal Office...
COVID-19 FOI Request - Purported Fund Rules dated too late.
Response by Australian Securities and Investments Commission to Phillip Sweeney on .
Successful.
Dear Mr Sweeney   Freedom of Information Request 154-2020 – Notice of Access Decision   Please see the attached decision.   Regards   K...
COVID-19 FOI Request - Purported 'Successor Fund Transfer' - Widows Survivorship Pension
Response by Australian Securities and Investments Commission to Phillip Sweeney on .
Successful.
Dear Mr Sweeney   Freedom of Information Request 153-2020 – Notice of Access Decision   Please see attached decision.   Regards   Kryst...
COVID-19 FOI Request - Determination by the SCT
Response by Australian Securities and Investments Commission to Phillip Sweeney on .
Successful.
Dear Mr Sweeney   Freedom of Information Request 148-2020 – Notice of Access Decision   Please see attached decision.   Regards   Kryst...
COVID-19 FOI Request - Standing of a Member of the Public to Commence Criminal Proceedings
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...
COVID-19 FOI Request:Copy of a Response on a "Straw Man Complaint"
Response by Australian Securities and Investments Commission to Phillip Sweeney on .
Awaiting classification.
Dear Mr Sweeney   Freedom of Information Request 110-2020 – Notice of Access Decision   Please see the attached decision.   Regards   K...
COID-19 FOI Request - Australian Superannuation Authority
Response by Australian Securities and Investments Commission to Phillip Sweeney on .
Refused.
Dear Mr Sweeney,   Please find attached my decision in relation to your FOI request received on 15 August 2020.   Yours sincerely,     F...
COVID-19 FOI Request - ASIC's law library catalogue
Response by Australian Securities and Investments Commission to Phillip Sweeney on .
Successful.
Dear Mr Sweeney, Please find attached my decision in relation to your FOI request, reference 165-2020, together with the document that I have decide...
COVID-19 FOI Request: Misrepresentation of the Jurisdiction of ASIC
Response by Australian Securities and Investments Commission to Phillip Sweeney on .
Refused.
Dear Mr Sweeney   Further to my below email. I note that the schedule of requests was omitted. It is now attached.   Regards   Krystal Fun...
COVID-19 FOI Request - More Misconduct by ASIC Officers
Response by Australian Securities and Investments Commission to Phillip Sweeney on .
Successful.
Dear Mr Sweeney,   Please find attached my decision in relation to your FOI request received on 25 July 2020.   Yours sincerely,   Fleur F...
COVID-19 FOI Request - Superannuation Authority
Response by Australian Securities and Investments Commission to Phillip Sweeney on .
Awaiting internal review.
Dear Mr Sweeney, Please find attached my decision in relation to your request for internal review, reference 161-2020.   Regards,   Haydar T...
COVID-19 FOI Request - Extracts from Deeds in ASIC's Possession
Response by Australian Securities and Investments Commission to Phillip Sweeney on .
Successful.
Dear Mr Sweeney   Freedom of Information Request 120-2020 – Notice of Access Decision   Further to my email dated 21 August 2020, please see at...
COVID-19 FOI Request: Statutory Interpretation by ASIC staff
Response by Australian Securities and Investments Commission to Phillip Sweeney on .
Refused.
Dear Mr Sweeney,   Please find attached correspondence in relation to your request for an internal review of a decision under the Freedom of Infor...
NAB's Superannuation Trustee - Disclosure and Reporting to Members
Response by Australian Securities and Investments Commission to Phillip Sweeney on .
Information not held.
Dear Mr Sweeney,   Please find attached a Notice of Decision in relation to your request made under the Freedom of Information Act 1982 with refer...
COVID-19 FOI Request - Internal Communication on COVID-19 related FOI Requests
Response by Australian Securities and Investments Commission to Phillip Sweeney on .
Refused.
Dear Mr Sweeney   Freedom of Information Request 128-2020   Please see attached notice of access decision.   Regards   Krystal Fung An...
COVID-19 FOI Request - Correspondence with the SCT
Request sent to Australian Securities and Investments Commission by Phillip Sweeney on .
Delayed.
Warren Day, Executive Director, Assessment and Intelligence, testified before the Joint Parliamentary Committee on Corporations and Financial Servi...
COVID-19 FOI Request - False and Misleading documents Provided to ASIC
Request sent to Australian Securities and Investments Commission by Phillip Sweeney on .
Delayed.
Warren Day, Executive Director, Assessment and Intelligence, testified before the Joint Parliamentary Committee on Corporations and Financial Servi...
COVID-19 FOI Request: Definition of a 'Beneficiary" or "Concerned Person"
Request sent to Australian Securities and Investments Commission by Phillip Sweeney on .
Long overdue.
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 .
Long overdue.
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 .
Long overdue.
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 .
Long overdue.
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 .
Long overdue.
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...

Only requests made using Right To Know are shown. ?