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.

51 requests
Make a request to this authority
Information on administration of 3D Group, 3D Industries.
Request sent to Australian Securities and Investments Commission by Jason Simpson on .
Awaiting response.
I am seeking information pursuant to the Freedom of Information act 1982. The information I seek is in regards to ASIC’s findings in their investig...
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 .
Awaiting response.
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 in relation to the Consumer Protection Inquiry
Request sent to Australian Securities and Investments Commission by Phillip Sweeney on .
Awaiting response.
The document I seek is a copy of a letter dated 30 January 2017 sent to Mr Greg Medcraft titled "Re: Consumer Protection Inquiry". The first parag...
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...
Number of Complaints Received Regarding Camelot Derivatives Pty. Ltd.
Response by Australian Securities and Investments Commission to Brian P. McDermott on .
Reported for administrator attention.
Dear Mr McDermott, Please find attached a letter concerning your FOI request, which is now withdrawn. Regards, Fiona Crowe | Misconduct & Breach...
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...
Cross-selling practices of Australian Banks
Response by Australian Securities and Investments Commission to Phillip Sweeney on .
Partially successful.
Dear Mr Sweeney Attached is a decision letter regarding your email of 8 December 2016 and a copy of the document. Regards Tegan Tegan Lemm | La...
Information on Lamattina
Response by Australian Securities and Investments Commission to Michael Johnstone on .
Partially successful.
Dear Mr. Johnstone, Freedom of Information request - Lamattina companies I refer to the Notice of Decision dated 21 October 2016 (attached below)....
Evidence for Royal Commission into the banks - NAB
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.  It was sent on 6 October 2016 however it appears that it  was sent to the...
Correspondence with Senator Williams
Response by Australian Securities and Investments Commission to Phillip Sweeney on .
Successful.
Dear Mr Sweeney I refer to your request for an internal review of the above decision, as received by email on 13 October 2016. I am conducting the...
Death Benefits for Widows and the NAB
Response by Australian Securities and Investments Commission to Phillip Sweeney on .
Information not held.
Dear Mr Sweeney Attached is a letter. Yours sincerely Michelle Reid     Please consider the environment before printing this document   ...
Registered company with Illegal activity
Response by Australian Securities and Investments Commission to Eamonn Mulholland on .
Refused.
Our Ref: 244/2016 Dear Mr Mulholland Freedom of Information Request - Taken to be withdrawn I refer to your email of 22 July 2016 sent to our FOI...
Whistleblower Protection - Dr Koh
Response by Australian Securities and Investments Commission to Phillip Sweeney on .
Successful.
Tracking Request Target recipient(s): [FOI #1925 email] Request date: 21/07/2016 11:11:44 AM Responses: Tracking response information:   Please...
Southern Cross Care (NSW & ACT) Financial statement FY 2014/2015
Response by Australian Securities and Investments Commission to Daffyd on .
Successful.
Dear Mr Morgan Please find attached notification of decision by email of your FOI request of 5 July 2016. Yours sincerely Grace Gagliano Grace G...
Southern Cross Care (NSW & ACT) Financial statement FY 2014/2015
Request sent to Australian Securities and Investments Commission by Daffyd on .
Long overdue.
I am seeking information shown on the FY 2015/2016 Financial Report issued by :- Southern Cross Care (NSW & ACT) ACN 131 082 374 ABN76 131 082 3...
Whistleblower Project -Letter to 30,000 Companies
Response by Australian Securities and Investments Commission to Phillip Sweeney on .
Successful.
Dear Mr Sweeney We refer to your request set out in your email of 26 June 2016, below. Please refer to our letter in response attached. Regards...
Southern Cross Care (NSW & ACT) Financial statement FY 2014/2015
Request sent to Australian Securities and Investments Commission by Daffyd on .
Long overdue.
I am seeking information shown on the FY 2015/2016 Financial Report issued by :- Southern Cross Care (NSW & ACT) ACN 131 082 374 ABN76 131 082 374 A...
ACM Group Collection Manual
Response by Australian Securities and Investments Commission to Ben Fairless on .
Partially successful.
Dear Mr Fairless, I refer to the letter dated 13 April 2016 addressed to you from Ms Penny Beck of ASIC. The review rights of the affected third p...
Direction to Undertake Review/Investigation by Assistant Treasurer
Response by Australian Securities and Investments Commission to Phillip Sweeney on .
Information not held.
Dear Mr Sweeney Please refer to the attached letter. Kind regards Evelyn Evelyn Ong | Lawyer | ASIC Deposit Takers, Credit & Insurers Level 9,...
SPEAR 09-20044/FOI Request
Response by Australian Securities and Investments Commission to Ben Fairless on .
Withdrawn by the requester.
Dear Mr Fairless, Thank you for notifying me of withdrawing your request.   Kind regards, PHILIP PECK | Lawyer, Financial Services Enforcement | A...
Life Insurance Industry Review/Investigation
Response by Australian Securities and Investments Commission to Phillip Sweeney on .
Successful.
Dear Mr Sweeney Please refer to the attached letter: Kind regards Evelyn Evelyn Ong | Lawyer | ASIC Deposit Takers, Credit & Insurers Level 9,...

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