COVID-19 FOI Request - ASIC's "No Action Letters" Hayne Royal Commission
Phillip Sweeney made this Freedom of Information request to Australian Securities and Investments Commission
This request has been closed to new correspondence from the public body. Contact us if you think it ought be re-opened.
Dear Australian Securities and Investments Commission,
Two 'star' witnesses at the Hayne Royal Commission where NAB Executive Andrew Hagger and former NAB Superannuation Trustee chairman Nicole Smith.
Richard Gluyas reports in The Australian {11 August 2020} that ASIC sent Andrew Hagger a "No Action" letter in December 2019.
Andrew Hagger departed NAB in September 2018 shortly after his testimony at the Hayne Royal Commission.
The first document I seek is a copy of this "No Action" letter sent to Andrew Hagger by ASIC.
The second document I seek is a copy of a similar "No Action" letter that ASIC would have sent to Nicole Smith after her testimony that she did not consider than any criminal sanctions might apply to the taking of money out of superannuation accounts {even from the accounts of some 4000 dead fund members) for which there was no legal entitlement.
Yours faithfully,
Phillip Sweeney
Dear Mr Sweeney
Thank you for your email.
Please find attached correspondence in relation to your request under the
Freedom of Information Act 1982.
Kind regards
Mabel Say
Freedom of Information Officer, Chief Legal Office
Australian Securities and Investments Commission
Level 5, 100 Market Street, Sydney, 2000
Tel: +61 2 9911 5269
[1][email address]
[2]ASIC logo
-----Original Message-----
From: Phillip Sweeney <[3][FOI #6592 email]>
Sent: Tuesday, 11 August 2020 9:47 AM
To: FOIrequest <[4][ASIC request email]>
Subject: Freedom of Information request - COVID-19 FOI Request - ASIC's
"No Action Letters" Hayne Royal Commission
EXTERNAL EMAIL: Do not click any links or open any attachments unless you
trust the sender and know the content is safe.
Dear Australian Securities and Investments Commission,
Two 'star' witnesses at the Hayne Royal Commission where NAB Executive
Andrew Hagger and former NAB Superannuation Trustee chairman Nicole Smith.
Richard Gluyas reports in The Australian {11 August 2020} that ASIC sent
Andrew Hagger a "No Action" letter in December 2019.
Andrew Hagger departed NAB in September 2018 shortly after his testimony
at the Hayne Royal Commission.
The first document I seek is a copy of this "No Action" letter sent to
Andrew Hagger by ASIC.
The second document I seek is a copy of a similar "No Action" letter that
ASIC would have sent to Nicole Smith after her testimony that she did not
consider than any criminal sanctions might apply to the taking of money
out of superannuation accounts {even from the accounts of some 4000 dead
fund members) for which there was no legal entitlement.
Yours faithfully,
Phillip Sweeney
-------------------------------------------------------------------
Please use this email address for all replies to this request:
[5][FOI #6592 email]
Is [6][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:
[7]https://www.righttoknow.org.au/change_re...
This request has been made by an individual using Right to Know. This
message and any reply that you make will be published on the internet.
More information on how Right to Know works can be found at:
[8]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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Information collected by ASIC may contain personal information. Please
refer to our [9]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
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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. mailto:[FOI #6592 email]
4. mailto:[ASIC request email]
5. mailto:[FOI #6592 email]
6. mailto:[ASIC request email]
7. https://www.righttoknow.org.au/change_re...
8. https://www.righttoknow.org.au/help/offi...
9. https://www.asic.gov.au/privacy
Dear Mr Sweeney
Please find attached further correspondence in relation to your request.
Kind regards
Mabel Say
Freedom of Information Officer, Chief Legal Office
Australian Securities and Investments Commission
Level 5, 100 Market Street, Sydney, 2000
Tel: +61 2 9911 5269
[1][email address]
[2]ASIC logo
From: Mabel Say
Sent: Tuesday, 18 August 2020 10:45 AM
To: [FOI #6592 email]
Subject: FW: Freedom of Information request - COVID-19 FOI Request -
ASIC's "No Action Letters" Hayne Royal Commission [SEC=OFFICIAL]
Dear Mr Sweeney
Thank you for your email.
Please find attached correspondence in relation to your request under the
Freedom of Information Act 1982.
Kind regards
Mabel Say
Freedom of Information Officer, Chief Legal Office
Australian Securities and Investments Commission
Level 5, 100 Market Street, Sydney, 2000
Tel: +61 2 9911 5269
[3][email address]
[4]ASIC logo
-----Original Message-----
From: Phillip Sweeney <[5][FOI #6592 email]>
Sent: Tuesday, 11 August 2020 9:47 AM
To: FOIrequest <[6][ASIC request email]>
Subject: Freedom of Information request - COVID-19 FOI Request - ASIC's
"No Action Letters" Hayne Royal Commission
EXTERNAL EMAIL: Do not click any links or open any attachments unless you
trust the sender and know the content is safe.
Dear Australian Securities and Investments Commission,
Two 'star' witnesses at the Hayne Royal Commission where NAB Executive
Andrew Hagger and former NAB Superannuation Trustee chairman Nicole Smith.
Richard Gluyas reports in The Australian {11 August 2020} that ASIC sent
Andrew Hagger a "No Action" letter in December 2019.
Andrew Hagger departed NAB in September 2018 shortly after his testimony
at the Hayne Royal Commission.
The first document I seek is a copy of this "No Action" letter sent to
Andrew Hagger by ASIC.
The second document I seek is a copy of a similar "No Action" letter that
ASIC would have sent to Nicole Smith after her testimony that she did not
consider than any criminal sanctions might apply to the taking of money
out of superannuation accounts {even from the accounts of some 4000 dead
fund members) for which there was no legal entitlement.
Yours faithfully,
Phillip Sweeney
-------------------------------------------------------------------
Please use this email address for all replies to this request:
[7][FOI #6592 email]
Is [8][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:
[9]https://www.righttoknow.org.au/change_re...
This request has been made by an individual using Right to Know. This
message and any reply that you make will be published on the internet.
More information on how Right to Know works can be found at:
[10]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.
-------------------------------------------------------------------
Please consider the environment before printing this document.
Information collected by ASIC may contain personal information. Please
refer to our [11]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. mailto:[email address]
5. mailto:[FOI #6592 email]
6. mailto:[ASIC request email]
7. mailto:[FOI #6592 email]
8. mailto:[ASIC request email]
9. https://www.righttoknow.org.au/change_re...
10. https://www.righttoknow.org.au/help/offi...
11. https://www.asic.gov.au/privacy
Dear Mr Sweeney
Please find attached the decision relating to your request under the
Freedom of Information Act 1982.
Kind regards
Mabel Say
Freedom of Information Officer, Chief Legal Office
Australian Securities and Investments Commission
Level 5, 100 Market Street, Sydney, 2000
Tel: +61 2 9911 5269
[1][email address]
[2]ASIC logo
From: Mabel Say
Sent: Tuesday, 18 August 2020 10:45 AM
To: [FOI #6592 email]
Subject: FW: Freedom of Information request - COVID-19 FOI Request -
ASIC's "No Action Letters" Hayne Royal Commission [SEC=OFFICIAL]
Dear Mr Sweeney
Thank you for your email.
Please find attached correspondence in relation to your request under the
Freedom of Information Act 1982.
Kind regards
Mabel Say
Freedom of Information Officer, Chief Legal Office
Australian Securities and Investments Commission
Level 5, 100 Market Street, Sydney, 2000
Tel: +61 2 9911 5269
[3][email address]
[4]ASIC logo
-----Original Message-----
From: Phillip Sweeney <[5][FOI #6592 email]>
Sent: Tuesday, 11 August 2020 9:47 AM
To: FOIrequest <[6][ASIC request email]>
Subject: Freedom of Information request - COVID-19 FOI Request - ASIC's
"No Action Letters" Hayne Royal Commission
EXTERNAL EMAIL: Do not click any links or open any attachments unless you
trust the sender and know the content is safe.
Dear Australian Securities and Investments Commission,
Two 'star' witnesses at the Hayne Royal Commission where NAB Executive
Andrew Hagger and former NAB Superannuation Trustee chairman Nicole Smith.
Richard Gluyas reports in The Australian {11 August 2020} that ASIC sent
Andrew Hagger a "No Action" letter in December 2019.
Andrew Hagger departed NAB in September 2018 shortly after his testimony
at the Hayne Royal Commission.
The first document I seek is a copy of this "No Action" letter sent to
Andrew Hagger by ASIC.
The second document I seek is a copy of a similar "No Action" letter that
ASIC would have sent to Nicole Smith after her testimony that she did not
consider than any criminal sanctions might apply to the taking of money
out of superannuation accounts {even from the accounts of some 4000 dead
fund members) for which there was no legal entitlement.
Yours faithfully,
Phillip Sweeney
-------------------------------------------------------------------
Please use this email address for all replies to this request:
[7][FOI #6592 email]
Is [8][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:
[9]https://www.righttoknow.org.au/change_re...
This request has been made by an individual using Right to Know. This
message and any reply that you make will be published on the internet.
More information on how Right to Know works can be found at:
[10]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.
-------------------------------------------------------------------
Please consider the environment before printing this document.
Information collected by ASIC may contain personal information. Please
refer to our [11]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. mailto:[email address]
5. mailto:[FOI #6592 email]
6. mailto:[ASIC request email]
7. mailto:[FOI #6592 email]
8. mailto:[ASIC request email]
9. https://www.righttoknow.org.au/change_re...
10. https://www.righttoknow.org.au/help/offi...
11. https://www.asic.gov.au/privacy