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.

149 requests
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COVID-19 FOI Request - Standing of a Member of the Public to Commence Criminal Proceedings
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...
COID-19 FOI Request - Australian Superannuation Authority
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 received on 15 August 2020.   Yours sincerely,     F...
COVID-19 FOI Request - ASIC's law library catalogue
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 165-2020, together with the document that I have decide...
COVID-19 FOI Request: Misrepresentation of the Jurisdiction of ASIC
Response by Australian Securities and Investments Commission to Phillip Sweeney on .

Refused.

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 - More Misconduct by ASIC Officers
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 received on 25 July 2020.   Yours sincerely,   Fleur F...
COVID-19 FOI Request - Superannuation Authority
Response by Australian Securities and Investments Commission to Phillip Sweeney on .

Awaiting internal review.

Dear Mr Sweeney, Please find attached my decision in relation to your request for internal review, reference 161-2020.   Regards,   Haydar T...
COVID-19 FOI Request - Extracts from Deeds in ASIC's Possession
Response by Australian Securities and Investments Commission to Phillip Sweeney on .

Successful.

Dear Mr Sweeney   Freedom of Information Request 120-2020 – Notice of Access Decision   Further to my email dated 21 August 2020, please see at...
COVID-19 FOI Request: Statutory Interpretation by ASIC staff
Response by Australian Securities and Investments Commission to Phillip Sweeney on .

Refused.

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 .

Information not held.

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 .

Refused.

Dear Mr Sweeney   Freedom of Information Request 128-2020   Please see attached notice of access decision.   Regards   Krystal Fung An...
COVID-19 FOI Request - Correspondence with the SCT
Request sent to Australian Securities and Investments Commission by Phillip Sweeney on .

Long overdue.

Warren Day, Executive Director, Assessment and Intelligence, testified before the Joint Parliamentary Committee on Corporations and Financial Servi...
COVID-19 FOI Request - False and Misleading documents Provided to ASIC
Request sent to Australian Securities and Investments Commission by Phillip Sweeney on .

Long overdue.

Warren Day, Executive Director, Assessment and Intelligence, testified before the Joint Parliamentary Committee on Corporations and Financial Servi...
COVID-19 FOI Request: Definition of a 'Beneficiary" or "Concerned Person"
Request sent to Australian Securities and Investments Commission by Phillip Sweeney on .

Long overdue.

Prior to 1 July 2019 ASIC staff were subject to the Public Service Act 1999. Subsection 13(9) provides: (9) An APS employee must not provide fals...
COVID-19 FOI Request: Definition of "the governing rules"
Request sent to Australian Securities and Investments Commission by Phillip Sweeney on .

Long overdue.

The Australian Law Dictionary {Oxford University Press} defines “trust deed” as follows: “The instrument (a deed of settlement) establishing a tru...
COVID-19 FOI Request: Copy of False and Misleading Information Provided to Senator Williams
Request sent to Australian Securities and Investments Commission by Phillip Sweeney on .

Long overdue.

Prior to 1 July 2019 ASIC staff were subject to the Public Service Act 1999. Subsection 13(9) provides: (9) An APS employee must not provide fals...
COVID-19 FOI Request: Copy of an original Trust Deed
Request sent to Australian Securities and Investments Commission by Phillip Sweeney on .

Long overdue.

Prior to 1 July 2019 ASIC staff were subject to the Public Service Act 1999. Subsection 13(9) provides: (9) An APS employee must not provide fals...
COVID-19 FOI Request: Copy of False and Misleading Information provided to Senator Williams
Request sent to Australian Securities and Investments Commission by Phillip Sweeney on .

Long overdue.

Prior to 1 July 2019 ASIC staff were subject to the Public Service Act 1999. Subsection 13(9) provides: (9) An APS employee must not provide fa...
Transparency of Stakeholder Engagement Meetings
Response by Australian Securities and Investments Commission to Phillip Sweeney on .

Refused.

Dear Mr Sweeney Please find attached the decision concerning your FOI request, reference 234-2019. Yours sincerely,   Mirijana Soldatic Seni...
Criminal prosecution guidelines
Response by Australian Securities and Investments Commission to John Smith on .

Partially successful.

Dear Mr Smith, Please find attached my decision in relation to your FOI request, reference 041-2020, together with the document to which I have deci...
Validity of the Corporations law
Response by Australian Securities and Investments Commission to H Hopes on .

Successful.

Dear Mr Hopes,   Please find the attached decision in relation to your request under the Freedom of Information Act 1982 (Cth).   Kind regards...
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 .

Refused.

Dear Steven   Please find attached notification of my decision in relation to your FOI request of 11 September 2019.   Yours sincerely   G...
Evidence of Criminal Conduct by Nicole Smith Chairman of NULIS
Response by Australian Securities and Investments Commission to Phillip Sweeney on .

Successful.

Hello Phillip,   This is a reminder that payment of the attached invoice is now overdue.  If payment has already been made in full can you please...
Australian Financial Complaints Authority Where does the funding originate from
Response by Australian Securities and Investments Commission to steven on .

Refused.

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...
Correspondence with the House Committee on Economics
Response by Australian Securities and Investments Commission to Phillip Sweeney on .

Successful.

Dear Mr Sweeney,   Please find the attached correspondence in relation to your request under the Freedom of Information Act 1982 (Cth).   Kind...
Counsel Representing ASIC in the Federal Court - NULIS Matter
Response by Australian Securities and Investments Commission to Phillip Sweeney on .

Successful.

Dear Mr Sweeney, A response to your FOI request received by ASIC on 26 November 2018 was sent to you on 17 December 2018. However, the email correspon...

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