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
Stuart Paul
Fax: +61 1300 729 000
By email:
foi+request-7880-
www.asic.gov.au
xxxxxxxx@xxxxxxxxxxx.xxx.xx
Our Reference: FOI 206-2021
11 October 2021
Dear Mr Paul
Freedom of Information Request No. FOI 206-2021
I refer to your request made under the
Freedom of Information Act 1982 (
FOI
Act) dated 20 September 2021 for access to information in the possession of
the Australian Securities and Investments Commission (
ASIC). Your request
seeks access to information concerning the results of your Financial Adviser
Standards and Ethics Authority (FASEA) Financial Adviser Exam.
Your request states:
I need to know the specific result I achieved & the responses to each exam
question…
I am the authorised decision-maker for the purposes of section 23 of the Act
and this letter gives notice of my decision.
I have decided to refuse your request for access on the basis that no relevant
documents exist containing the information sought in your request. The reasons
for my decision are set out below
Material taken into account
I have taken the fol owing material into account in making my decision:
• the FOI Act (specifical y section 24A)
• the guidelines issued by the Australian Information Commissioner under
section 93A of the FOI Act
• searches undertaken by ASIC staff
• your email of 20 September 2021
2
.
Reasons for decisions
Section 24A - documents cannot be found, do not exist or have not been
received
Section 24A provides:
Document lost or non-existent
(1) An agency or Minister may refuse a request for access to a document if:
(a) all reasonable steps have been taken to find the document; and
(b) the agency or Minister is satisfied that the document:
(i) is in the agency’s or Minister’s possession but cannot be found; or
(ii) does not exist.
There are two elements which must be satisfied before a request can be
refused under section 24A:
• the agency or minister must have taken all reasonable steps to find the
document, and
• the agency or minister is satisfied that the document cannot be found
or does not exist.
In order to ascertain whether any documents existed within the scope of your
request searches were conducted by staff of ASIC’s Financial Advisers team.
The Financial Advisers team have advised that ASIC does not hold the
information you are requesting as FASEA are responsible for approving and
administering the financial advisers exam.
I am satisfied that all reasonable steps were taken to find documents within
scope of the request. Further, I am satisfied that no document exists that is
within scope of your request.
It is therefore my decision, under section 24A(1)(b)(i ), to refuse your request for
access as all reasonable steps have been taken to find documents and that
no such documents exist.
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 an internal review of my decision
under section 54B of the FOI Act. This review is an independent process
conducted by a Senior Freedom of Information Officer at ASIC. 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.
3
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 set out
above.
If you have any questions or wish to discuss, please contact me on 02 9911 5742
or at xxxxx.xxxxxxx@xxxx.xxx.xx.
Yours sincerely
Megan McKenna
FOI & Privacy Lawyer
Chief Legal Office
(Authorised decision-maker pursuant to subsection 23(1) of the FOI Act)
