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.

127 requests
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FASEA Financial Adviser Examination Feedback & Results
Response by Australian Securities and Investments Commission to Stuart Paul on .

Awaiting classification.

Dear Mr Paul   Please find attached the decision on access for FOI 206-2021.   Kind regards   Megan   Megan McKenna Lawyer, FOI & Priv...
Forex scams since 2016
Response by Australian Securities and Investments Commission to Jamie Dixon on .

Refused.

Dear Mr Dixon   Please find attached correspondence about your FOI request.   Please also find a link to the ‘Targeting Scams’ [1]ACCC report m...
Cyber Security Incidents/Cybercrimes/Data Breaches incurred Businesses
Response by Australian Securities and Investments Commission to Steven Roddis on .

Refused.

Dear Mr Roddis,   Freedom of Information Request 226-2020 – Deemed withdrawal under section 24AB   Further to my email dated 23 November 2020,...
Travel services to ASIC
Response by Australian Securities and Investments Commission to Lucas Baird on .

Partially successful.

Dear Mr Baird,   Please see attached correspondence from ASIC in relation to your request under the Freedom of Information Act 1982.   Kind re...
Correspondence with APRA
Response by Australian Securities and Investments Commission to Phillip Sweeney on .

Awaiting classification.

Dear Mr Sweeney   Thank you for the FOI request below received on 16 August 2021 (reference number 161-2021). I attach a request consultation noti...
Collaboration with APRA
Response by Australian Securities and Investments Commission to Phillip Sweeney on .

Waiting clarification.

Dear Mr Sweeney   Thank you for the FOI request below received on 17 July 2021 (reference number 110-2021). I attach a request consultation notice...
Correspondence with the Minister for Superannuation
Response by Australian Securities and Investments Commission to Phillip Sweeney on .

Delivery error

This is the mail system at host righttoknow.org.au. I'm sorry to have to inform you that your message could not be delivered to one or more recipients...
Training documents provided by John Hempton
Response by Australian Securities and Investments Commission to Phillip Sweeney on .

Refused.

This is the mail system at host righttoknow.org.au. I'm sorry to have to inform you that your message could not be delivered to one or more recipients...
AFCS's Processes for Systemic Issues
Response by Australian Securities and Investments Commission to Phillip Sweeney on .

Successful.

Dear Mr Sweeney   Freedom of Information Request No. 071-2021   Please see attached notice of access decision.   Regards   Krystal Fung...
Treasury Review of AFCA - Reporting Systemic Issues to ASIC - Resent
Response by Australian Securities and Investments Commission to Phillip Sweeney on .

Long overdue.

Dear Mr Sweeney   Freedom of Information Request No. 071-2021   Please see attached notice of access decision.   Regards   Krystal Fung...
Advice to James Shipton
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, reference 213-2020. Regards,   Haydar Tuncer Senior Freed...
Terms of Engagement for Egon Zehnder
Response by Australian Securities and Investments Commission to Phillip Sweeney on .

Successful.

Dear Mr Sweeney,   Please find attached a notice of decision and relevant documents in relation to your request under the Freedom of Information A...
Disclosures to the Minister by James Shipton and Daniel Crennan
Response by Australian Securities and Investments Commission to Phillip Sweeney on .

Partially successful.

Dear Mr Sweeney,   Please find attached correspondence in relation to your request under the Freedom of Information Act 1982.   Regards  ...
Compliance with the APS Code of Conduct before 1 July 2019
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[Phone Number Automatically Hidden], and a document releas...
Letter of Appointment - James Shipton
Response by Australian Securities and Investments Commission to Phillip Sweeney on .

Successful.

Dear Mr Sweeney Please find attached my decision in relation to your request for internal review, reference 207-2020, along with a document released p...
Email or Correspondence from the Auditor General
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[Phone Number Automatically Hidden]. Regards,   Ha...
Corporate Credit Cards
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...
Complaints Lodged and Investigated - EQUIFAX (EQUIFAX Australia Pty Ltd)
Response by Australian Securities and Investments Commission to Gayle on .

Refused.

Dear Gayle   Please find attached the internal review FOI decision.   Kind regards   Aya Morton Escalated Matters and Government, Assessme...
Change of Status of Legislative Instrument 2018/474
Response by Australian Securities and Investments Commission to Phillip Sweeney on .

Long overdue.

Dear Mr Sweeney, Please find attached my decision in relation to your FOI request received on 30 September 2020. Yours sincerely, Fleur Forsyth Law...
Correspondence between Member for Goldstein and ASIC
Response by Australian Securities and Investments Commission to Phillip Sweeney on .

Successful.

Dear Mr Sweeney,   Please see attached correspondence from ASIC.   Regards   Justin Frank Lawyer, FOI & Privacy, Chief Legal Office Aust...
ASIC Superannuation (Amendment) Instrument 2018/474
Response by Australian Securities and Investments Commission to Phillip Sweeney on .

Long overdue.

Dear Mr Sweeney, Please find attached my decision in relation to your FOI request, reference 192-2020. Regards,   Haydar Tuncer Senior Freed...
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 .

Successful.

Dear Mr Sweeney   Please find attached the decision relating to your request under the Freedom of Information Act 1982.   Kind regards Mabel...
COVID-19 FOI Request - ASIC's "No Action Letters" Hayne Royal Commission
Response by Australian Securities and Investments Commission to Phillip Sweeney on .

Successful.

Dear Mr Sweeney   Please find attached the decision relating to your request under the Freedom of Information Act 1982.   Kind regards Mabel...
COVID-19 FOI Request - Class Orders
Response by Australian Securities and Investments Commission to Phillip Sweeney on .

Successful.

Dear Mr Sweeney, I refer to your request for internal review below, in which you seek the provision of the Class Order reference numbers together with...
COVID-19 FOI Request:Copy of a Response on a "Straw Man Complaint"
Response by Australian Securities and Investments Commission to Phillip Sweeney on .

Successful.

Dear Mr Sweeney   Freedom of Information Request 110-2020 – Notice of Access Decision   Please see the attached decision.   Regards   K...

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