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.

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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...
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...
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...
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...
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,...
Vexatious Applicant requests
Response by Australian Securities and Investments Commission to Ben Fairless on .

Successful.

Dear Mr Fairless Please find attached letter of today's date concerning your FOI request dated 19 January 2016. Mirijana Soldatic | FOI Coordinato...
Aggregate statistics on reports of misconduct and outcome
Response by Australian Securities and Investments Commission to Justin Warren on .

Successful.

Dear Mr Warren Please find attached ASIC's response to your FOI request. Regards, Fiona Crowe | Misconduct & Breach Reporting | Assessment & Intel...
The Ken Jarrett Deed
Response by Australian Securities and Investments Commission to Julie Simpson on .

Successful.

Dear Ms Simpson Please find attached ASIC's decision in relation to your FOI request received on 23 September 2015. Kind regards Lauren Lauren...
From FOI log: ASIC referral to NSW police
Response by Australian Securities and Investments Commission to Culley Palmer on .

Successful.

The document was released to the FOI applicant with redactions.  Part of the redactions include  the paragraph after the heading "Background". From:...
From FOI log: Documents on FOI requests and s47C refusals
Response by Australian Securities and Investments Commission to Culley Palmer on .

Successful.

Documents 41-54 attached
ASIC disclosure log item 34 - Trio Capital
Response by Australian Securities and Investments Commission to JS on .

Successful.

Please see attached documentation as requested below. FOI requests From: JS <[FOI #565 email]> To: FOI requests at ASIC <[ASIC request email]> Da...
Outcome of ASIC Connect Web Portal Project Post Implementation Review
Response by Australian Securities and Investments Commission to Jason Brooks on .

Successful.

Please find attached ASIC's decision in relation to your Freedom of Information Request Mirijana Soldatic | Analyst | Small Business Compliance & De...
IP Address Blocking
Follow up sent to Australian Securities and Investments Commission by Brendan Molloy on .

Successful.

Thank you very much for that clarification. Enjoy your weekend. :) -- Regards, Brendan Molloy Secretary Pirate Party Australia

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