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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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...
Correspondence with James Frost - AFR
Response by Australian Securities and Investments Commission to Phillip Sweeney on .

Successful.

Dear Mr Sweeney   Please find attached my letter to you.   Kind regards,   Jeremiah Leong Freedom of Information Officer, Chief Legal Off...
Response to the Chair of the House Committee on Economic
Response by Australian Securities and Investments Commission to Phillip Sweeney on .

Successful.

Dear Mr Sweeney   Please find attached:   o ASIC’s Decision in response to your FOI request; and o the documents we have released to you.  ...
Founding Trust Deed made on 23 December 1913 in the State of S.A.
Response by Australian Securities and Investments Commission to Phillip Sweeney on .

Successful.

Dear Mr Sweeney   Please find attached ASIC’s decision in relation to your FOI request received on 6 August 2019.     Regards Lauren  ...
Federal Court NSD1654/2018 - "Model Litigant" commitment by Phil Chronican
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...
ASIC Code of Conduct
Response by Australian Securities and Investments Commission to Phillip Sweeney on .

Successful.

Dear Mr Sweeney, ASIC considers that your formal request under the Freedom of Information Act 1982 (Cth) has been withdrawn. Please find attached a...
Royal Commission Correspondence
Response by Australian Securities and Investments Commission to Phillip Sweeney on .

Information not held.

Dear Mr Sweeney   Please find attached my letter to you.   Kind regards,   Jeremiah Leong Freedom of Information Officer, Chief Legal Off...
Does ASIC Play A Role In Determining What Is Considered To Be Irresponsible Lending
Internal review request sent to Australian Securities and Investments Commission by steven on .

Awaiting internal review.

As a legal practitioner you would know that acquiescence is admission by default. You might consider trying to perfect the law rather than just me...
Shareholders list of 3D Group/3d Industries and T3d (the proponent of the DOCA)
Request to Australian Securities and Investments Commission by Jason Simpson. Annotated by Locutus Sum on .

Refused.

Some of the wanted information is not held by the authority. Other information held by the authority is available for a fee and is therefore not access...
Correspondence The Treasurer and the Chairman of ASIC
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...
Correspondence from the Royal Commissioner
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...
Comprehensive Inquiries related to NAB Trustees
Response by Australian Securities and Investments Commission to Phillip Sweeney on .

Information not held.

Dear Mr Sweeney   Freedom of information request – confirmation of withdrawal   Please find attached our letter, sent by email only.   Your...
Referal under s64 of the SRC Act
Response by Australian Securities and Investments Commission to Phillip Sweeney on .

Successful.

Dear Mr Sweeney I write to you regarding your FOI application by email of 28 August 2018 in the matter of MLC Nominees, seeking access to a related...
Communication Trail - ASIC Decision CAS-20359 - K6F4BB
Response by Australian Securities and Investments Commission to Phillip Sweeney on .

Successful.

Dear Mr Sweeney   Please find attached my decision regarding your request for an internal review.     Regards Lauren   Lauren Roy Tea...
Seeking Tenders for Default Superannuation for ASIC Staff
Response by Australian Securities and Investments Commission to Phillip Sweeney on .

Successful.

Dear Mr Sweeney   Please find attached my letter to you.   Kind regards,   Jeremiah Leong Freedom of Information Officer, Chief Legal Off...
ASCI's Proceedings Against NAB's Superannuation Trustee
Response by Australian Securities and Investments Commission to Phillip Sweeney on .

Successful.

Dear Mr Sweeney   Please find attached my letter to you.   Kind regards,   Jeremiah Leong Freedom of Information Officer, Chief Legal Off...
FOI Delegations
Follow up sent to Australian Securities and Investments Commission by Ben Fairless on .

Successful.

Thank you for responding with the documents, ASIC is the only agency I'm aware of that manage their FOI authorisations in this way. Yours sincerel...
Deeds of The Universal Superannuation Scheme
Response by Australian Securities and Investments Commission to Phillip Sweeney on .

Refused.

Dear Mr Sweeney   Freedom of information request – notice of charge decision   Please find attached our letter, sent by email only.   Yours...
Evidence held by the Parliament of South Australia
Response by Australian Securities and Investments Commission to Phillip Sweeney on .

Successful.

Dear Mr Sweeney   We refer to your request for access to documents under the Freedom of Information Act 1982.   Please find attached ASIC’s no...
Correspondence between ASIC and the directors of 3D Group PTY LTD and 3D Industries PTY LTD
Response by Australian Securities and Investments Commission to Jason Simpson on .

Waiting clarification.

Dear Mr Simpson, Attached is a letter from ASIC. Kind regards, Patricia Hu | Lawyer | Insolvency Practitioners | Brisbane | ' 07 3867 4976 | * [1...
Appearing as a witness to the Royal Commission
Response by Australian Securities and Investments Commission to Phillip Sweeney on .

Successful.

Dear Mr Sweeney, Please see attached correspondence in relation to your request dated 11 March 2018. Kind regards Melissa Smith | Senior Manager...
Misconduct of staff
Response by Australian Securities and Investments Commission to Julie on .

Waiting clarification.

Dear Julie, Please see attached letter. Regards Nicky Peacocke |Employee Relations Manager | People & Development | ASIC | Sydney | ( 02 9911 5...
Correspondence with the Committee with Oversight over ASIC
Response by Australian Securities and Investments Commission to Phillip Sweeney on .

Successful.

Dear Mr Sweeney Please find attached ASIC's decision in relation to your FOI request. Regards Lauren Lauren Roy | Escalated Matters & Government...

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