and Investments Commission
Level 7, 120 Col ins Street,
Melbourne VIC 3000
GPO Box 9827,
Melbourne VIC 3001
Tel: +61 1300 935 075
Fax: +61 1300 729 000
1 October 2018
Mr Phil ip Sweeney
By email – [FOI #4783 email]
Dear Mr Sweeney Freedom of Information Request – Notice to identify documents under section 24AB of
the FOI Act
We refer to your request dated 8 September 2018 for access to documents under the Freedom of Information Act 1982
). Your request
You request a copy of a letter signed by Peter O’Connor addressed to Nicole Smith of
NULIS Nominees (Australia) Limited that “confirms that Nicole Smith… has engaged in
criminal conduct – namely the contravention of subsection1017C(5) of the
Corporations Act 2001 as well as Section 84B of the Trustee Act 1936 (SA)”.
provide that the search period is from 1 December 2017 to the present.
Your request does not comply with paragraph 15(2)(b) of the FOI Act as it does not
provide enough information for me to identify the document to which you seek
access. Paragraph 15(2)(b) states that a request must ‘provide such information
concerning the document as is reasonably necessary to enable a responsible officer
of an agency to identify it’. As paragraph 15(2)(b) has not been met, ASIC may
refuse to process your application under paragraph 24(1)(b) of the FOI Act.
In its current form, I intend to refuse your application and not provide you with access
to any documents under this request. However, to assist you to make a valid request I
make the fol owing comments. Revising your request
We consider that your request for a document that confirms an entity has engaged in
criminal conduct, as it currently stands, does not request access to a specific
ASIC can search for copies of letters provided to ASIC, however the current terms of
your request prevents me from effectively identifying the document you seek. For this
reason, we require you revise your wording as to whether any such document
confirms criminal conduct. Time frame for processing your request
General y, an application must be processed within 30 days. However, please note
that in accordance with section 24AB(8) of the FOI Act, the time for processing your
request is suspended from the day that you receive this letter and resumes on the day
after ASIC receives from you a request in writing which contains sufficient information
to identify the documents required.
You can contact me by phone on 03 9280 4614 or email at [email address]
for assistance making your request in a revised form which removes the grounds for
refusal. If you would like to consult with me for this purpose, you are required to
contact me within 14 days after the date you receive this letter.
Please note that fol owing any consultation, should you wish to amend the terms of
your request, you must confirm the terms of your amended request in writing pursuant
to paragraph 15(2)(a) of the FOI Act.
Pursuant to subsection 24AB(6) of the FOI Act, before the end of the consultation
period, you must do one of the fol owing:
(a) withdraw the request;
(b) make a revised request; or
(c) indicate that you do not wish to revise the request.
If I do not hear from you about clarifying the terms of your request within 14 days after
the date of this letter, your request wil be taken to be withdrawn pursuant to
subsections 24AB(6) and 24AB(7) of the FOI Act.
Authorised decision-maker under subsection 23(1) FOI Act
Australian Securities and Investments Commission