Communication Trail - ASIC Decision CAS-20359 - K6F4BB

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

Waiting for an internal review by Australian Securities and Investments Commission of their handling of this request.

From: Phillip Sweeney

Delivered

Dear Australian Securities and Investments Commission,

In a letter dated 7 December 2018 (ASIC ref: CAS-20359-K6F4BB} David Asadi {Misconduct and Breach Reporting} confirmed that ASIC would take no regulatory action for the criminal contravention of subsection 1017C(5) of the Corporations Act 2001 by the former Chairman of NULIS Nominees (Australia} Ltd, Nicole Smith, and that ASIC would take no regulatory action for the failure to lodge a breach report with ASIC in relation to the contravention of subsection 1017C(5) of the Corporations Act 2001 {as required within 10 business days of the breach}.

The documents I seek are copies of all internal emails made by Mr Asadi or received by Mr Asadi {of copies of phone logs of internal phone discussions} related to making this decision. The documents I seek include chain emails related to this decision between other ASIC staff.

I do not seek copies of correspondence with the Complainant.

Yours faithfully,

Phillip Sweeney

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From: Faranaz Alam
Australian Securities and Investments Commission


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Attachment 3385 001.pdf
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Dear Mr Sweeney

 

Please see attached correspondence for your attention.

 

Kind regards

 

Faranaz Alam
Escalated Matters & Government, Assessment & Intelligence

Australian Securities and Investments Commission

Level 7, 120 Collins Street, Melbourne, 3000

Tel: +61 3 9280 3319 | Mob: +61 466 753 964

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From: David Asadi
Australian Securities and Investments Commission


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Attachment 20190116 FOI request notice of access decision.pdf
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Dear Mr Sweeney

 

Freedom of information request – notice of access decision

 

Please find attached our letter, sent by email only.

 

Yours sincerely

 

David Asadi
Lawyer, Escalated Matters & Government

Australian Securities and Investments Commission

Tel: +61 3 9280 4614

[1][email address]

[2]ASIC-Cobrand-ALT-Inline-Signature-02

 

 

Please consider the environment before printing this document.

 

Information collected by ASIC may contain personal information. Please
refer to our [3]Privacy Policy for information about how we handle your
personal information, your rights to seek access to and correct
your personal information, and how to complain about breaches of your
privacy by ASIC.

 

This e-mail and any attachments are intended for the addressee(s) only and
may be confidential. They may contain legally privileged, copyright
material or personal and /or confidential information. You should not
read, copy, use or disclose the content without authorisation. If you have
received this email in error, please notify the sender as soon as
possible, delete the email and destroy any copies. This notice should not
be removed.

References

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From: Phillip Sweeney

Delivered

Dear Australian Securities and Investments Commission,

Please pass this on to the person who conducts Freedom of Information reviews.

I am writing to request an internal review of Australian Securities and Investments Commission's handling of my FOI request 'Communication Trail - ASIC Decision CAS-20359 - K6F4BB'.

A decision not to enforce subsection 1017C(5) of the Corporations Act 2001 and related regulations would have not been made by one junior ASIC officer without consultation with other more senior ASIC officers, following criticism of ASIC by Royal Commissioner Hayne.

The contravention of subsection 1017C(5) is an indictable offence and following the appearance of ASIC Chairman,James Shipton, before the Royal Commission into Misconduct into the Banking, Superannuation and Financial Services Industry, James Shipton has given a public commitment that ASIC will take enforcement action when there have been criminal contraventions of the Corporations Act 2001.

A full history of my FOI request and all correspondence is available on the Internet at this address: https://www.righttoknow.org.au/request/c...

Yours faithfully,

Phillip Sweeney

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