Aggregate statistics on reports of misconduct and outcome

Justin Warren made this Freedom of Information request to Australian Securities and Investments Commission

The request was successful.

From: Justin Warren

Delivered

Dear Australian Securities and Investments Commission,

I am writing to request, under the Freedom of Information Act 1982 (FOI Act), access to documents containing aggregate statistics on the number of reports of misconduct received by the Commission, the section of the Corporations Act that applies to the alleged misconduct, and the status of these requests.

By outcome, I mean that either an investigation was not performed, or a categorization of the outcome similar to that in paragraph 4 of the latest report on enforcement outcomes (Report 444, August 2015):

http://download.asic.gov.au/media/331541...

E.g. a) commenced investigation, b) completed investigation, c) criminal charges laid, d) banned individual(s), e) enforceable undertaking accepted, f) directors disqualified, and/or whatever status categories the Commission has used in the documents requested.

An example of the categorisation of reports by section of the Corporations Act is found in Table 2 of the aforementioned Report 444 on page 12.

I further request documents containing these aggregate statistics grouped by month, quarter, or calendar year, whichever is the most detailed information available in documents held by the Commission.

I further request documents containing these aggregate statistics for the time period 01 Jan 2006 to 31 Dec 2015, or the largest consecutive time-span within this range for which the Commission holds documents matching this request.

I further request that any fees be waived due to the public interest in this information.

Yours faithfully,

Justin Warren

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From: Fiona Crowe
Australian Securities and Investments Commission


Attachment 20160122 FOI Section 24AB Notice to Justin Warren.pdf
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Dear Mr Warren,

Please find attached ASIC's letter concerning your FOI request.

Regards,
Fiona Crowe | Misconduct & Breach Reporting | Assessment & Intelligence |
ASIC | Telephone: +61 3 9280 3382 | Fax: +61 3 9280 3392 | Email:
[email address]
 

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Information collected by ASIC may contain personal information. Please
refer to our Privacy policy http://www.asic.gov.au/privacy for information
about how we handle your personal information, your rights to seek access
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From: Fiona Crowe
Australian Securities and Investments Commission


Attachment 20160208 FOI Request Withdrawn to Justin Warren.pdf
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Dear Mr Warren

Please find attached ASIC's response to your FOI request.

Regards,
Fiona Crowe | Misconduct & Breach Reporting | Assessment & Intelligence |
ASIC | Telephone: +61 3 9280 3382 | Fax: +61 3 9280 3392 | Email:
[email address]

 

Please consider the environment before printing this document

  

Information collected by ASIC may contain personal information. Please
refer to our Privacy policy http://www.asic.gov.au/privacy for information
about how we handle your personal information, your rights to seek access
to and correct personal information, and how to complain about breaches of
your privacy by ASIC.

  

NOTICE

 

This e-mail and any attachments are intended for the addressee(s) only and
may be confidential. They may contain legally privileged or copyright
material. You should not read, copy, use or disclose them without
authorisation. If you are not the intended recipient please contact the
sender as soon as possible by return e-mail and then please delete both
messages. This notice should not be removed.

 

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