Australian Securities
and Investments Commission
Level 7, 120 Collins Street,
Melbourne VIC 3000
GPO Box 9827,
Melbourne VIC 3001
Tel: +61 1300 935 075
Fax: +61 1300 729 000
www.asic.gov.au
Mr Jason Simpson
Our Reference:
230/2018
Email: xxxxxxxxxxxxxxxxxxxxxxxxx@xxxxxxxxxxx.xxx.xx
12 September 2018
Dear Mr Simpson
Request for internal review of a decision under the FOI Act
I refer to your email sent to our FOI request email on 13 August 2018. I understand you
seek an internal review of the decision of Grace Gagliano made under the
Freedom
of Information Act 1982 (
FOI Act) on 2 August 2018 following your request to access
documents received on 19 July 2018.
You requested ASIC:
… provide a shareholders list of 3D Group Pty Ltd and 3D Industries Pty Ltd at
the time of the companies being placed into VA (24/12/2014) and the list of
shareholders that were transferred to the proponent of the DOCA 333D when
VA ended.
In your request for internal review, you state:
ASIC has the shareholder information contained in the Admin report as well as the
DOCA.
Ms Gagliano advised in her letter dated 2 August 2018 that documents that are publicly
available for a fee are excluded from the operation of the FOI Act and provided
information in Annexure 1 about the types of publicly available documents that hold
share information. Ms Gagliano refused your request on the basis that ASIC does not
hold any documents.
Under section 54 of the FOI Act, an applicant may apply for the review of a decision.
I am authorised to conduct the internal review of the original decision made under
the FOI Act.
My decision
I have reviewed the searches undertaken by Ms Gagliano for documents falling
within the scope of your request and undertaken my own searches for documents. I
confirm the decision of Ms Gagliano.
2
The two companies are both proprietary companies and must notify ASIC of the top
20 members of the company as detailed in the company’s register of members. Any
person may purchase an extract of the company details which provides the details of
current and historical members. In addition, a person may purchase a copy of a
document that notifies ASIC of changes to the members.
A number of documents have been lodged with ASIC about the members of each
company being Form 201 (Application for Registration as an Australian Company)
and Form 484 (Change to Company Details). A list of the documents that have been
lodged with ASIC for a company is available on our ASIC Connect website at
www.connectonline.asic.gov.au.
The documents are publicly available for a fee and ASIC is not required to provide
access to the documents under the FOI Act in accordance with section 12(1)(b).
However, you are able to obtain copies of publicly available documents via our ASIC
Connect website.
I note that you referred in your request for internal review to Deeds of Company
Arrangements and the reports of administrators. These documents are also publicly
available if the document has been lodged with ASIC.
Review rights I provide you with the following information about your 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 the Office of the Australian Information
Commissioner (OAIC) for a review of my decision under section 54M 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.
2. 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 described
above.
If you have any questions about your Freedom of Information request, you may
contact me by email at xxxxxxxx.xxxxx@xxxx.xxx.xx or telephone 03 9280 4994.
Yours sincerely,
Kristina Penny
Senior Specialist
(Authorised decision-maker pursuant to section 23(1) of the FOI Act)
