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

The request was successful.

From: Phillip Sweeney

Delivered

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

Link to this

From: Mabel Say
Australian Securities and Investments Commission


Attachment image001.jpg
3K Download

Attachment 157 2020 Acknowledgement Letter 18.08.2020.pdf
85K Download View as HTML


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

 

show quoted sections

Link to this

From: Mabel Say
Australian Securities and Investments Commission


Attachment image004.jpg
3K Download

Attachment image001.jpg
3K Download

Attachment 157 2020 Notice 3rd Party consultation 04.09.2020.pdf
92K Download View as HTML


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

 

show quoted sections

Link to this

From: Mabel Say
Australian Securities and Investments Commission


Attachment image004.jpg
3K Download

Attachment image003.jpg
3K Download

Attachment 157 2020 Decision Letter 12.10.2020.pdf
101K Download View as HTML

Attachment 157 2020 Decision Letter Attachment.pdf
67K Download View as HTML


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

 

show quoted sections

Link to this

Things to do with this request

Anyone:
Australian Securities and Investments Commission only: