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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FASEA Financial Adviser Examination Feedback & Results
Response by Australian Securities and Investments Commission to Stuart Paul on .
Dear Mr Paul   Please find attached the decision on access for FOI 206-2021.   Kind regards   Megan   Megan McKenna Lawyer, FOI & Priv...
Trustee Disclosure Obligations - Access to orginal Trust Deeds
Response by Australian Securities and Investments Commission to P.C. Sweeney on .
Dear Mr Sweeney,   Please see notice of access decision.   Kind regards,   Krystal Fung Lawyer, FOI & Privacy Legal Services Australia...
ASIC Investigations and Regulatory Actions on Bit Trade Pty Ltd (Kraken)
Response by Australian Securities and Investments Commission to Lloyd Butler on .
Dear Lloyd I refer to your request dated 22 February 2025 under the Freedom of Information Act 1982 (FOI Act) in which you seek access to documents...
Legality of the ePayments Code reducing consumer rights previously enjoyed under common law regarding mistaken payments
Response by Australian Securities and Investments Commission to Harriet Spring on .
Dear Ms Spring,   Please find attached my decision in relation to your FOI request – FOI 280-2024.   Please contact me if you have any questio...
Documents Relating to the Sharing of DVA Client Information
Response by Australian Securities and Investments Commission to noseyrosey on .
Dear applicant I refer to your request dated 14 December 2024 under the Freedom of Information Act 1982 (FOI Act) in which you seek access to document...
SERC 5.130 - Finance advice to ASIC re CDDA
Response by Australian Securities and Investments Commission to Perfectly Normal Applicant on .
Dear applicant   I refer to your request dated 14 August 2024 under the Freedom of Information Act 1982 (FOI Act) in which you seek access to docu...
Documents about ASIC Communications Director
Response by Australian Securities and Investments Commission to Geronimo Bob on .
Dear Geronimo Bob, I refer to your FOI request dated 9 January 2024, ASIC reference 003-2024.   Please find attached notice of a request consulta...
ASIC meeting details
Response by Australian Securities and Investments Commission to Foible on .
Dear FOIBLE, Please find attached notice of a request consultation process due to a practical refusal reason, pursuant to s 24AB of the FOI Act. Kind...
Correspondence to Senator Williams - Penality for Deed Concealment
Response by Australian Securities and Investments Commission to P.C. Sweeney on .
Dear Mr Sweeney   Please see attached notice of decision.   Regards   Krystal Fung Lawyer, FOI & Privacy Legal Services Australian Sec...
Documents relating to ASIC correspondence
Response by Australian Securities and Investments Commission to (Not the real) Bob Neil on .
Please find attached ASIC’s response to your FOI request.   Regards,   Fiona Crowe Escalated Matters & Government Australian Securities and...
204B(1)(b)(ii) - disqualified directors
Follow up sent to Australian Securities and Investments Commission by Perfectly Normal Applicant on .
Thank you for your decision. Unfortunately for ASIC, I believe you that the documents don’t exist I’m quite willing to assume that FOI / Legal are...
Forex scams since 2016
Response by Australian Securities and Investments Commission to Jamie Dixon on .
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 .
Dear Mr Roddis,   Freedom of Information Request 226-2020 – Deemed withdrawal under section 24AB   Further to my email dated 23 November 2020,...
Training documents provided by John Hempton
Response by Australian Securities and Investments Commission to Phillip Sweeney on .
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...
Advice to James Shipton
Response by Australian Securities and Investments Commission to Phillip Sweeney on .
Dear Mr Sweeney, Please find attached my decision in relation to your FOI request, reference 213-2020. Regards,   Haydar Tuncer Senior Freed...
Complaints Lodged and Investigated - EQUIFAX (EQUIFAX Australia Pty Ltd)
Response by Australian Securities and Investments Commission to Gayle on .
Dear Gayle   Please find attached the internal review FOI decision.   Kind regards   Aya Morton Escalated Matters and Government, Assessme...
COID-19 FOI Request - Australian Superannuation Authority
Response by Australian Securities and Investments Commission to Phillip Sweeney on .
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: Misrepresentation of the Jurisdiction of ASIC
Response by Australian Securities and Investments Commission to Phillip Sweeney on .
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: Statutory Interpretation by ASIC staff
Response by Australian Securities and Investments Commission to Phillip Sweeney on .
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 .
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 .
Dear Mr Sweeney   Freedom of Information Request 128-2020   Please see attached notice of access decision.   Regards   Krystal Fung An...
Transparency of Stakeholder Engagement Meetings
Response by Australian Securities and Investments Commission to Phillip Sweeney on .
Dear Mr Sweeney Please find attached the decision concerning your FOI request, reference 234-2019. Yours sincerely,   Mirijana Soldatic Seni...
Please Clarify Why All These Supposed Government Entities That Purport To Be Public Services Are Actually Businesses Under ! ABN
Response by Australian Securities and Investments Commission to steven on .
Dear Steven   Please find attached notification of my decision in relation to your FOI request of 11 September 2019.   Yours sincerely   G...
Australian Financial Complaints Authority Where does the funding originate from
Response by Australian Securities and Investments Commission to steven on .
Dear Sir, You have asked for an internal review of ASIC's handling of your FOI request titled 'Australian Financial Complaints Authority Where does th...
Royal Commission Correspondence
Response by Australian Securities and Investments Commission to Phillip Sweeney on .
Dear Mr Sweeney   Please find attached my letter to you.   Kind regards,   Jeremiah Leong Freedom of Information Officer, Chief Legal Off...

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