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
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Communication Trail - ASIC Decision CAS-20359 - K6F4BB
Request sent to Australian Securities and Investments Commission by Phillip Sweeney on .
Awaiting response.
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...
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...
ASCI's Proceedings Against NAB's Superannuation Trustee
Response by Australian Securities and Investments Commission to Phillip Sweeney on .
Awaiting response.
Dear Mr Sweeney I refer to your emails to the Australian Securities and Investments Commission (ASIC) dated 5 December 2018. I acknowledge receipt of...
Comprehensive Inquiries related to NAB Trustees
Response by Australian Securities and Investments Commission to Phillip Sweeney on .
Awaiting classification.
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...
Evidence of Criminal Conduct by Nicole Smith Chairman of NULIS
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...
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...
Counsel Representing ASIC in the Federal Court - NULIS Matter
Request sent to Australian Securities and Investments Commission by Phillip Sweeney on .
Awaiting response.
ASIC has commenced proceedings in the Federal Court (Sydney) in relation to misconduct by NULIS Nominees (Australia) Ltd following testimony given i...
Referal under s64 of the SRC Act
Response by Australian Securities and Investments Commission to Phillip Sweeney on .
Successful.
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...
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...
Shareholders list of 3D Group/3d Industries and T3d (the proponent of the DOCA)
Response by Australian Securities and Investments Commission to Jason Simpson on .
Awaiting classification.
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...
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...
Number of Complaints Received Regarding Camelot Derivatives Pty. Ltd.
Response by Australian Securities and Investments Commission to Brian P. McDermott on .
Refused.
Dear Mr McDermott, Please find attached a letter concerning your FOI request, which is now withdrawn. Regards, Fiona Crowe | Misconduct & Breach...
Possession of a Superannuation Trust Deed
Response by Australian Securities and Investments Commission to Phillip Sweeney on .
Successful.
Dear Mr Sweeney, Please find notice of my decision attached. Chelsea McIntosh Escalated Matters & Government | Assessment & Intelligence | ASIC |...
Letter in relation to the Consumer Protection Inquiry
Response by Australian Securities and Investments Commission to Phillip Sweeney on .
Successful.
Dear Mr Sweeney, ASIC's response to your FOI request  is attached below.   Yours sincerely Mirijana Soldatic | FOI Coordinator| Chief Legal Offic...
Information on administration of 3D Group, 3D Industries.
Response by Australian Securities and Investments Commission to Jason Simpson on .
Successful.
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...
Affidavit submitted to NSW Supreme Court 21 April 2017 - Courtenay House Capital Trading Grouop
Request sent to Australian Securities and Investments Commission by Sam Cruickshank on .
Long overdue.
We are a group of 160 clients of Courtenay House Capital Trading Group seeking information to resolve outstanding questions relating to our funds wh...
Letter to Chairman - Inquiry into the Life Insurance Industry
Response by Australian Securities and Investments Commission to Phillip Sweeney on .
Successful.
Dear Mr Sweeney, ASIC's response to your FOI request  is attached below.   Yours sincerely Mirijana Soldatic | FOI Coordinator| Chief Legal Offic...
Correspondence with NULIS Nominees (Australia) Ltd
Response by Australian Securities and Investments Commission to Phillip Sweeney on .
Successful.
Dear Mr Sweeney, Please see the attached letter in relation to your Freedom of Information Request dated 16 March 2017. Regards, Phillip Mines |...
Employee information provided to ballot agents in Enterprise Agreement bargaining
Response by Australian Securities and Investments Commission to James Smith on .
Successful.
Dear Mr Smith Please refer to attached letter. Yours sincerely Victoria Skinner Victoria Skinner Employee Relations Manager People & Developmen...
Email from ASIC to Jason Simpson 29/07/2015
Response by Australian Securities and Investments Commission to Jason Simpson on .
Successful.
Dear Mr Simpson Please see the attached correspondence from ASIC regarding your FOI request. Kind regards Lauren Lauren Roy | Escalated Matters...
ASICmeetingresponcefromSimpson Letter dated 13/10/2016
Response by Australian Securities and Investments Commission to Jason Simpson on .
Successful.
Dear Mr Simpson Please see the attached correspondence from ASIC regarding your FOI request. Kind regards Lauren Lauren Roy | Escalated Matters...
ASIC Response to Senate Economics Reference Committee
Response by Australian Securities and Investments Commission to Phillip Sweeney on .
Successful.
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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