Compliance with the APS Code of Conduct before 1 July 2019

The request was successful.

Phillip Sweeney

Dear Australian Securities and Investments Commission,

Prior to 1 July 2019 ASIC Commissioners, including the Chairman, and ASIC staff were subject to the APS Code of Conduct {Section 13 of the Public Service Act 1999}.

Subsection 15(3) of the Public Service Act 1999 provides

(3) An Agency Head must establish written procedures in accordance with this section for determining:

(a) whether an APS employee, or a former APS employee, in the Agency has breached the Code of Conduct (including by engaging in conduct referred to in subsection (2A)); and

(b) the sanction (if any) that is to be imposed under subsection (1) on an APS employee in the Agency who is found to have breached the Code of Conduct (including by engaging in conduct referred to in subsection (2A)).

The document I seek is a copy of the written procedures in force up until 1 July 2019 pursuant to Subsection 15(3) of the Public Service Act 1999.

Yours faithfully,

Phillip Sweeney

FOIrequest, Australian Securities and Investments Commission

1 Attachment

Dear Mr Sweeney

Please find attached acknowledgement of your FOI request, ASIC reference FOI 211-2020

Mirijana Soldatic
Senior Manager, FOI, Chief Legal Office
Australian Securities and Investments Commission
Level 7, 120 Collins Street, Melbourne, 3000
[email address]

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FOIrequest, Australian Securities and Investments Commission

2 Attachments

Dear Mr Sweeney,

Please find attached my decision in relation to your FOI request, reference[Phone Number Automatically Hidden], and a document released pursuant to that request.

Mirijana Soldatic
Senior Manager, FOI, Chief Legal Office
Australian Securities and Investments Commission
Level 7, 120 Collins Street, Melbourne, 3000
[email address]

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