Correspondence with the Committee with Oversight over ASIC

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

The request was successful.

From: Phillip Sweeney

Delivered

Dear Australian Securities and Investments Commission,

The Joint Parliamentary Committee on Corporations and Financial Services (the "Committee") has an oversight role over ASIC pursuant the provisions of the ASIC Act 2001.

An Approach (complaint) was lodged with the Commonwealth Ombudsman in 2011 in relation to the "administration" of Section 1017C of the Corporations Act 2001 {Trustee disclosure obligations} by ASIC.

ASIC responded to the Commonwealth Ombudsman (Ref 2011-1062240) in a letter dated 5 July 2011 {ASIC Ref: CCU -11\0297).

The document or documents I seek are any correspondence between ASIC and the Committee (or Committee Secretariat) in relation to this Approach to the Commonwealth Ombudsman.

The search period is from 1 March 2017 to the present.

Yours faithfully,

Phillip Sweeney

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From: Lauren Roy
Australian Securities and Investments Commission


Attachment FOI Acknowledgement Phillip Sweeney.pdf
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Dear Mr Sweeney

Please see the attached correspondence from ASIC.

Regards
Lauren

Lauren Roy | Escalated Matters & Government - Misconduct & Breach
Reporting | Assessment & Intelligence | ASIC | ' +61 3 9280 4638 | Fax:
+61 3 9280 3392 | * [email address]

I am not in the office on Fridays

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: Lauren Roy
Australian Securities and Investments Commission


Attachment 20171124 FOI Decision Phillip Sweeney.pdf
208K Download View as HTML


Dear Mr Sweeney

Please find attached ASIC's decision in relation to your FOI request.

Regards
Lauren

Lauren Roy | Escalated Matters & Government - Misconduct & Breach
Reporting | Assessment & Intelligence | ASIC | ' +61 3 9280 4638 | Fax:
+61 3 9280 3392 | * [email address]

I am not in the office on Fridays

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.

Link to this

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