Australian Securities
and Investments Commission
Office address (inc courier deliveries):
Level 7, 120 Col ins Street,
Melbourne VIC 3000
Mail address for Melbourne office:
GPO Box 9827,
Melbourne VIC 3001
Tel: +61 1300 935 075
www.asic.gov.au
Alex Pentland
By email:
xxxxxxxxxxxxxxxxxxxxxxxxxx@xxxxxxxxxxx.xxx.xx
22 February 2024
Dear Mr Pentland
Freedom of Information Request No. 007-2024
Notice of Access Decision
I refer to your request dated 13 January 2024 under the
Freedom of Information
Act 1982 (
FOI Act) in which you seek access to documents in the possession of
the Australian Securities and Investments Commission (
ASIC).
Your request seeks access to the fol owing:
…the Style Guides/Brand Guides/Writing Guides currently used for the
Australian Securities and Investments Commission.
Authority to make decision
I am the authorised decision-maker for the purposes of section 23 of the FOI
Act and this letter gives notice of my decision.
Information considered
In reaching my decision, I have considered the fol owing:
• the terms of your request;
• the content of the documents which fal within the scope of your
request;
• the FOI Act, in particular sections 22 and 47E; and
• the Australian Information Commissioner’s FOI Guidelines issued under
s93A of the FOI Act (
FOI Guidelines).
Decision and reasons for the decision
I understand your request to be for ASIC documents which provide guidance
in general on style, branding and writing.
2
ASIC’s Corporate Affairs team conducted searches for documents within the
scope of your request.
Fol owing these searches, I identified 4 documents that fal within the scope of
your request.
I have decided to grant access in part to these documents, relying on the
exemption under s47E(d) of the FOI Act.
I have also decided to redact irrelevant material in the documents under s 22
of the FOI Act.
A schedule of documents, which details my decision in relation to the
documents can be found at the end of this letter.
The reasons for my decision are set out below.
Section 47E – operations of agencies
Section 47E(d) provides:
A document is conditionally exempt if its disclosure under this Act would, or
could reasonably be expected to…have a substantial adverse effect on the
proper and efficient conduct of the operations of an agency.
According to paragraph 6.101 of the FOI Guidelines, a reasonable expectation
“must be more than merely an assumption or allegation that damage may
occur if the document were to be released.”
Document 1 is ASIC’s Visual Identity Guidelines. The document contains
detailed information about the positioning, spacing, and sizing of ASIC’s logo,
graphic devices, and iconography as well as the typeface and colour palette
to be used when creating official ASIC documents.
Document 2 is ASIC’s style guide. Page 26 of the document contains a sample
letter providing step-by-step guidance on how to draft an ASIC letter. Page 38
contains a colour guide to be used when creating ASIC documents.
In recent years, there have been several incidences of scammers
impersonating ASIC-
Scams | ASIC. Disclosure of document 1 and pages 26
and 38 of document 2 would facilitate scammers to easily and accurately
replicate ASIC documents. This could reasonably be expected to cause an
increase in the number of scammers who imitate ASIC and the number of
fraudulent documents that are released into the public. More fraudulent
documents in the public would cast doubt on the legitimacy of ASIC’s genuine
documents. This could reasonably be expected to compromise the regulated
entities’ col aboration with ASIC and in turn affect ASIC’s regulatory operations.
This is because the regulated population’s engagement with ASIC is essential
to ASIC’s regulatory functions and activities.
link to page 3 link to page 3 link to page 3
3
Secondly, ASIC has declared that combatting scams is one of its core strategic
projects.
1 Releasing this material would perpetuate scammers who have
impersonated ASIC and undermine ASIC’s work in combatting scams.
Further, an increase in the number of scammers who imitate ASIC would
increase the workload of the teams responsible for managing these scams
because, given their expertise in combatting scams, they would be consulted
on how ASIC should respond. This would reduce the resources available to
combat investment scams and reduce the efficiency of ASIC.
As outlined above, disclosure could reasonably be expected to affect ASIC’s
regulatory operations as well as its work combatting scams and as such, would
have a substantial adverse effect on the proper and efficient conduct of the
operations of ASIC.
I am therefore satisfied that the relevant material is conditional y exempt under
s47E(d) of the FOI Act.
Public interest test
Where a document is conditionally exempt, access must be given unless in the
circumstances giving access would, on balance, be contrary to the public
interest (s 11A(5) of the FOI Act). As I have decided that document 1 and pages
26 and 38 of document 2 are conditional y exempt under s 47E(d)of the FOI Act,
I am required to consider whether disclosure would be contrary to the public
interest, taking into consideration s 11B of the FOI Act and part 6 of the FOI
Guidelines.
One factor in favour of access is that disclosure could promote the objects of
the FOI Act.
2 With regard to the public interest factors set out in the FOI
Guidelines,
3 I consider the relevant factors against disclosure are that disclosure
could reasonably be expected to:
• prejudice law enforcement, by prejudicing ASIC’s ability to effectively
and efficiently carry out its regulatory functions; and
• harm the interests of an individual or group of individuals, being the
victims of scams.
In my view, the factors against disclosure of the conditionally exempt material
outweigh the factor in favour of disclosure. This is because the public benefit
that lies in disclosure is outweighed by the adverse effects on ASIC’s
operational activities and regulatory responsibilities.
Accordingly, I am satisfied that the relevant material is exempt under s 47E(d)
of the FOI Act.
Section 22
Where an agency refuses access to an exempt document or decides that
giving access to a document would disclose irrelevant matter, the agency
1ASIC Corporate Plan 2023–27: Focus 2023–24, p. 8
2 FOI Act- s 11B(3)(a)
3 FOI Guidelines [6.22]
4
must consider whether it would be reasonably practicable to prepare an
edited copy of the document to delete the exempt or irrelevant matter in
accordance with s 22 of the FOI Act.
It is my view that it would not be reasonably practicable to prepare an edited
copy of document 1, which I have found exempt in full.
I consider that it is reasonably practicable to prepare an edited copy of
documents 2 and 3 with the exempt and irrelevant matter deleted.
The irrelevant material consists of personal information of ASIC staff and ASIC
group emails addresses which you have agreed to exclude.
Review rights
In the event that you are dissatisfied with the decision:
1. You may, within 30 days after the day on which you have been notified of
this decision, apply in writing to ASIC for an internal review of my decision
under section 54B of the FOI Act. This review is an independent process
conducted by a Senior Freedom of Information Officer at ASIC. This request
should be addressed to me or to the Senior Manager, Freedom of
Information, GPO Box 9827, Melbourne VIC 3001 or by email to
xxxxxxxxxx@xxxx.xxx.xx.
2. You may within 60 days after the day on which you have been notified of this
decision, apply in writing to the Office of the Australian Information
Commissioner (
OAIC) for a review of my decision under section 54N of the FOI
Act. You may contact the OAIC by post at GPO Box 5218 Sydney NSW 2001,
by email at
xxxxxxxxx@xxxx.xxx.xx or by telephone on 1300 363 992.
Right to complain
You may lodge a complaint with the OAIC in relation to the conduct of ASIC
in the handling of this request. You may contact the OAIC as set out above.
If you have any questions or wish to discuss, please contact me at
xxxxxx.xxxxxxxxxxx@xxxx.xxx.xx.
Yours sincerely,
Hayley Tunnicliffe
(Authorised decision maker pursuant to subsection 23(1) of the FOI Act)
For the Australian Securities and Investments Commission
5
Schedule of Documents
No
Date
Description
Decision on access Exemptions
1
December
Visual Identity
Exempt
s47E(d)
2018
Guidelines
2
August 2023
ASIC style guide:
Exempt in part and
s47E(d), s22
communicating
irrelevant in part
clearly, consistently
and effectively
3
Creating accessible Irrelevant in part
s22
online content
4
New website
Access granted
content- Tip Sheet