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Comprehensive Inquiries related to NAB Trustees

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,

ASIC's Warren Day recently made representations to a Member of Parliament and a Committee Chair to the effect that ASIC had received a complaint about the misconduct of the superannuation trustee of the National Australia Bank (NAB) in 2009 to 2010 which alleged that death benefits in the form of survivorship pensions were not being paid to the widows of male members who joined this Defined Benefit superannuation fund before it was closed to new members on 30 November 1997.

There have been two NAB trustees involved with the administration of the fund in question:
(i) PFS Nominees Pty Ltd; and
(ii) NULIS Nominees (Australia) Ltd

The documents I seek are:
(i) correspondence and/or file notes that would confirm that "comprehensive inquiries" were made with either or both of these corporate trustees during 2009 -2010; and
(ii) correspondence and/or file notes that would confirm that "comprehensive inquiries" were made with APRA in relation to the entitlements of widows of these fund members during 2009-2010.

This fund was registered by APRA in 2006 and APRA should have been in possession of copies of all of the Deeds of this fund in 2009-2010.

APRA should have therefore been in the position of advising ASIC of the benefit entitlements of widows of male members of this fund.

The Fund in question was established by a Trust Deed made on 23 December 1913 and has been known by several names. In 2009 - 2010 this fund was known as the Foster's Group Superannuation Fund.

Yours faithfully,

Phillip Sweeney

Link to this

From: David Asadi
Australian Securities and Investments Commission


Attachment image003.jpg
5K Download

Attachment 20181113 FOI notice to identify documents.pdf
101K Download View as HTML


Dear Mr Sweeney

 

Freedom of information request – Notice to identify documents

 

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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1. mailto:[email address]
3. https://www.asic.gov.au/privacy

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From: Phillip Sweeney

Delivered

Dear David Asadi,

I revise my request to:
(i) a copy of any document (including emails) sent by ASIC to APRA (or from APRA to ASIC) where reference is made to PFS Nominees Pty Ltd or NULIS Nominees (Australia) Ltd during the period 1 March 2009 to 31 December 2010: and
(ii) a copy of any document (including emails) sent by ASIC to to PFS Nominees Pty Ltd or NULIS Nominees (Australia) Ltd during the period 1 March 2009 to 31 December 2010

Yours sincerely,

Phillip Sweeney

Link to this

From: David Asadi
Australian Securities and Investments Commission


Attachment image002.jpg
5K Download

Attachment 20181207 FOI notice of practical refusal.pdf
121K Download View as HTML


Dear Mr Sweeney

 

Freedom of information request – notice of practical refusal

 

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

Visible links
1. mailto:[email address]
3. https://www.asic.gov.au/privacy

Link to this

From: Phillip Sweeney

Dear David Asadi,

A revise my FOI request to limit the search period to from 31 March 2009 to 30 May 2009 inclusive

Yours sincerely,

Phillip Sweeney

Link to this

From: David Asadi
Australian Securities and Investments Commission

Thank you for your email.

 

I am out of the office and I will attend to your email when I return on 7
January 2019.

 

Please note, ASIC offices are closed for the Christmas and New Year period
from 25 December 2018 to 1 January 2019 inclusive. ASIC offices will
re-open on 2 January 2019.

 

Yours sincerely

 

Please consider the environment before printing this document.

 

Information collected by ASIC may contain personal information. Please
refer to our [1]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

Visible links
1. https://www.asic.gov.au/privacy

Link to this

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