Australian Securities
and Investments Commission
Office address (inc courier deliveries):
Level 5, 100 Market Street,
Sydney NSW 2000
Mail address for Sydney office:
GPO Box 9827,
Brisbane QLD 4001
Tel: +61 1300 935 075
Phillip Sweeney
Fax: +61 1300 729 000
By email: xxxxxxxxxxxxxxxxxxxxxxxxx@xxxxxxxxxxx.xxx.xx
www.asic.gov.au
18 August 2020
Dear Mr Sweeney
Freedom of Information Request No. FOI 157-2020
Acknowledgement of Request
I refer to your request dated 11 August 2020 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 a copy of:
1) the "No Action" letter sent to Andrew Hagger (a former NAB Executive) by ASIC
in December 2019; and
2) “the "No Action" letter that ASIC would have sent to Nicole Smith [the former
NAB Superannuation Trustee chairman] after her [Royal Commission] testimony
that she did not consider than any criminal sanctions might apply to the taking
of money out of superannuation accounts {even from the accounts of some
4000 dead fund members) for which there was no legal entitlement.”
As your request was received on 11 August 2020 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 11 September 2020.
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 will 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 FOI Act. This requirement to publish released documents is subject to
certain exceptions for example, personal or business information will not be published
where it would be unreasonable.
If you have any questions or wish to discuss, please contact me on
xxxxx.xxx@xxxx.xxx.xx or (02) 9911 5269.
Yours sincerely,
Mabel Say
Freedom of Information Officer
(Authorised decision maker under section 23(1) of the FOI Act)