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,
Brisbane QLD 4001
Tel: +61 1300 935 075
Fax: +61 1300 729 000
www.asic.gov.au
By email only:
foi+request-5309-
xxxxxxxx@xxxxxxxxxxx.xxx.xx
18 March 2019
Dear Mr Sweeney,
Freedom of Information Request No. FOI 054-2019
Acknowledgement of Request
I refer to your request dated 15 March 2019 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 following:
‘The following was reported in the media following the release of the
final report of the Hayne Royal Commission:
"Hayne recommended 24 cases of misconduct be referred to the
financial regulators for consideration of civil or criminal action. The
referrals involve almost all of the major banks except Westpac. ASIC
says it has “prioritised” the cases, but would not comment in further
detail."
Therefore there must be some formal correspondence from Royal
Commissioner Hayne, the "office" of the Royal Commissioner, or by
someone acting on behalf of the Royal Commissioner to ASIC.
The correspondence may have been addressed to the ASIC Chairman,
James Shipton, the "office" of the Chairman, or to some other staff
person at ASIC.
The document I seek is a copy of the correspondence in which Royal
Commissioner Hayne has made such a recommendation.’
(my emphasis added)
2
As your request was received on 15 March 2019 and the 30-day statutory
period for processing the request commenced on the day after the date of
receipt, you should therefore expect a decision to be made by
15 April 2019.
The 30-day processing period may be extended should ASIC find it is necessary
to consult third parties, where a charge is to be imposed on the processing of
the request or for other reasons. You wil be advised if there are changes to the
30-day processing period.
Please note that any documents released to you under the FOI Act may later
be published online on the ASIC disclosure log in accordance with our
obligation to do so under the Act. This requirement to publish released
documents is subject to certain exceptions for example, personal or business
information wil not be published where it would be unreasonable.
If you have any questions or wish to discuss, please contact me on
xxxxxxx.xxxxx@xxxx.xxx.xx or (03) 9280 4156.
Yours sincerely,
Jessica Zhang
(Authorised decision maker under section 23(1) of the FOI Act)