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
Mr Phillip Sweeney
Fax: +61 1300 729 000
www.asic.gov.au
By email only:
xxxxxxxxxxxxxxxxxxxxxxxxx@xxxxxxxxxxx.xxx.xx
Our Reference:
FOI 138-2020
20 August 2020
Dear Mr Sweeney,
Freedom of Information Request No. 138-2020
I refer to your request received 25 July 2020 made under the
Freedom of Information
Act 1982 (
FOI Act) for access to documents in the possession of the Australian
Securities and Investments Commission (
ASIC).
Your request seeks access to:
“… a copy of the response to a request for information by Alisha Hill made by
former ASIC officer, Monique Adofaci, before 4 August 2011 on which Ms Hill
relied for her investigation.”
I have identified
one document which falls within the terms of your request. The
document is described in the schedule to this letter.
ASIC’s Misconduct and Breach Reporting team located the document on the CMS
database. The team conducted a search of this database using your name and a date
range prior to 4 August 2011. The search returned matter CCU-11/0297 and the
document sought was contained within it.
I am the authorised decision-maker for the purposes of section 23 of the Act and this
letter gives notice of my decision.
Decision
As part of my decision, I have considered:
• the FOI Act, in particular ss 11 and 15;
• the terms of your FOI request dated 25 July 2020; and
• the Australian Information Commissioner’s FOI Guidelines issued under s
93A of the FOI Act (
FOI Guidelines).
2
I advise that I have decided to grant access in full to the document listed in the attached
schedule. The document is
enclosed with this letter.
I note that you have previously been provided with this document by the
Commonwealth Ombudsman pursuant to FOI requests made to them.
The FOI Act provides that charges may be assessed for time spent processing a
request. I have decided that there are no charges applicable to the processing of your
request in this instance.
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 a review of my decision by another ASIC officer
under section 54B of the FOI Act. This request should be addressed to me or to the
Senior Manager, Freedom of Information, GPO Box 9827, Brisbane QLD 4001 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
xxxxx@xxxx.xxx.xx or by telephone on 1300 363 992
Right to complain
3. 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.
Please contact me on
xxxxx.xxxxxxx@xxxx.xxx.xx if you have any questions.
Yours sincerely
(Authorised decision-maker pursuant to subsection 23(1) of the FOI Act)
Attachments
1. Schedule of documents
2. Document for release
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SCHEDULE OF DOCUMENTS
No.
Description of document
Date
No. of Decision on access
folios
1.
Letter from Monique Adofaci, Senior Manager,
5/07/2011
7
Release in full
Chief Legal Office, ASIC addressed to Ellisha
Hill, Senior Investigation Officer, Commonwealth
Ombudsman