Australia's Worst White-Collar Crime

Phillip Sweeney made this Freedom of Information request to Australian Securities and Investments Commission

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From: Phillip Sweeney

Delivered

Dear Australian Securities and Investments Commission,

I am writing to lodge a request for documents pursuant the Freedom of Information Act 1982.

Background

Trio Capital Limited (ACN 001 277 256) was the administrator of four regulated superannuation funds:
- The Astarra Superannuation Plan
- The Astarra Personal Pension Plan
- My Retirement Plan
- Employers Federation of NSW Superannuation Plan

ASIC commenced and investigation on 2 October 2009 following advice received from a Whistleblower concerning the conduct of Trio Capital Limited. The Whistleblower, John Hempton was a former Treasury Official who used to work for the former Secretary of The Treasury, Dr Ken Henry.

The Whistleblower was not an employee of Trio Capital Limited, but was the CEO of Bronte Capital Management at the time he contacted ASIC.

The Documents the Applicant Seeks

The Applicant seeks a copy of the following documents:
(i) Copies of the first 10 letters or other correspondence between ASIC and Trio Capital Limited (or any subsidiary companies) commencing on 2 October 2009.

Can you please confirm receipt of this FOI Request in accordance with the provisions of the FOI Act

Yours faithfully,

Phillip Sweeney

Link to this

From: Aldo Paciocco
Australian Securities and Investments Commission


Attachment 2160 001.pdf
53K Download View as HTML


Dear Mr Sweeney

Please refer to letter attached to this email.

Should there be any questions regarding the attached letter I can be
contacted on 03 9280 4213 or via reply email.

Regards

Aldo Paciocco | Lawyer – Administrative Law Team | Chief Legal Office |
Australian Securities and Investments Commission | Melbourne | ' +61 3
9280 4213 | Fax +61 3 9280 3444 *[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
to and correct personal information, and how to complain about breaches of
your privacy by ASIC.

 

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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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From: Aldo Paciocco
Australian Securities and Investments Commission


Attachment 2160 001.pdf
53K Download View as HTML


Dear Mr Sweeney

Please refer to letter attached to this email.

Should there be any questions regarding the attached letter I can be
contacted on 03 9280 4213 or via reply email.

Regards

Aldo Paciocco | Lawyer – Administrative Law Team | Chief Legal Office |
Australian Securities and Investments Commission | Melbourne | ' +61 3
9280 4213 | Fax +61 3 9280 3444 *[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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From: Phillip Sweeney

Delivered

Dear Aldo Paciocco,

I have not received a response to this FOI Request on the "righttoknow" website.

Can you please provide an update on the progress of this FOI request

Yours sincerely,

Phillip Sweeney

Link to this

From: Aldo Paciocco
Australian Securities and Investments Commission


Attachment 1564 001.pdf
141K Download View as HTML


Dear Mr Sweeney,

We have made enquiries to determine the status of this request and can
advise as follows:

The email address and reference number relating  to this request is
[FOI #847 email]

On 28 January 2015, the ASIC decision maker sent you a letter advising of
the preliminary estimate of fees that applied to the processing of your
request.  It was sent to you via the Right to Know website at email
address [email address].  This email address
appears  to reflect the reference number of another request submitted by
you through Right to Know on the same day which has been responded to.

A copy of the email and attached letter relating to this request appears
below.

Notwithstanding that the incorrect reference number was used in relation
to this request,  a response was clearly provided to you by ASIC and the
time within which you had to respond has elapsed.  Accordingly the
application was deemed withdrawn as at 27  February 2015.   However,
considering the oversight that has occurred you may wish to apply to ASIC
for further time to respond to our letter dated 28 January 2015.  

Please advise how you wish to proceed

Kind regards

Aldo Paciocco | Lawyer – Administrative Law Team | Chief Legal Office |
Australian Securities and Investments Commission | Melbourne | ' +61 3
9280 4213 | Fax +61 3 9280 3444 *[email address]

************************************************************************************************************************
From:        David Freyne/Sydney/NSW/ASIC
To:        foi[email address],
Date:        28/01/2015 04:40 PM
Subject:        Re: Freedom of Information request - Australia's Worst
White-Collar Crime (Treat as In Confidence) [DLM=Sensitive]

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Dear Mr Sweeney

I refer to your request under the Freedom of Information Act 1982 received
by this office on 2 January 2015.

I attach a letter below in relation to this matter.
Kind regards
David Freyne
Lawyer
Investment Managers and Superannuation
Australian Securities & Investments Commission
( 61 2 9911 2619
* [1][email address]
8  [2]www.asic.gov.au

********************************************************************************************************************************************
From:        Phillip Sweeney <[FOI #847 email]>
To:        FOI requests at ASIC <[ASIC request email]>,
Date:        02/01/2015 12:06 PM
Subject:        Freedom of Information request - Australia's Worst
White-Collar Crime

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***
This email message has been processed by MIMEsweeper
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Dear Australian Securities and Investments Commission,

I am writing to lodge a request for documents pursuant the Freedom of
Information Act 1982.

Background

Trio Capital Limited (ACN 001 277 256) was the administrator of four
regulated superannuation funds:
-                 The Astarra Superannuation Plan
-                 The Astarra Personal Pension Plan
-                 My Retirement Plan
-                 Employers Federation of NSW Superannuation Plan

ASIC commenced and investigation on 2 October 2009 following advice
received from a Whistleblower concerning the conduct of Trio Capital
Limited. The Whistleblower, John Hempton was a former Treasury Official
who used to work for the former Secretary of The Treasury, Dr Ken Henry.

The Whistleblower was not an employee of Trio Capital Limited, but was the
CEO of Bronte Capital Management at the time he contacted ASIC.

The Documents the Applicant Seeks

The Applicant seeks a copy of the following documents:
(i)                 Copies of the first 10 letters or other correspondence
between ASIC and Trio Capital Limited (or any subsidiary companies)
commencing on 2 October 2009.

Can you please confirm receipt of this FOI Request in accordance with the
provisions of the FOI Act

Yours faithfully,

Phillip Sweeney

-------------------------------------------------------------------

Please use this email address for all replies to this request:
[FOI #847 email]

Is [ASIC request email] the wrong address for Freedom of Information
requests to Australian Securities and Investments Commission? If so,
please contact us using this form:
[3]https://www.righttoknow.org.au/change_re...

Write your response as plain text. Only send PDF documents as a last
resort. Government guidelines make it clear that PDF is not an acceptable
format for you to use in the delivery of government information.
[4]https://www.righttoknow.org.au/help/offi...

This request is being made by an individual using the Right to Know
website. The unique email address provided by the service for this request
satisfies s.15(2)(c) of the Freedom of Information Act.

Disclaimer: This message and any reply that you make will be published on
the internet. Our privacy and copyright policies:
[5]https://www.righttoknow.org.au/help/offi...

If you find this service useful as an FOI officer, please ask your web
manager to link to us from your organisation's FOI page.

 

From:        Phillip Sweeney <[FOI #847 email]>
To:        Aldo Paciocco <[email address]>,
Date:        05/03/2015 12:24 PM
Subject:        Re: Request for Access under Freedom of Information Act -
Acknowledgement of Request (Treat as In Confidence) [DLM=Sensitive]

show quoted sections

Please use this email address for all replies to this request:
[FOI #847 email]

Write your response as plain text. Only send PDF documents as a last
resort. Government guidelines make it clear that PDF is not an acceptable
format for you to use in the delivery of government information.
[7]https://www.righttoknow.org.au/help/offi...

The Freedom of Information Commissioner has recommended that agencies
accept requests from Right to Know as valid for the purpose of s.15(2)(c)
of the Freedom of Information Act. See
[8]https://www.righttoknow.org.au/assets/OA... for details of
the OAIC decision.

Disclaimer: This message and any reply that you make will be automatically
published on the internet. Our privacy and copyright policies:
[9]https://www.righttoknow.org.au/help/offi...

If you find this service useful as an FOI officer, please ask your web
manager to link to us from your organisation's FOI page.

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References

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