Evidence of Criminal Conduct by Nicole Smith Chairman of NULIS

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

The request was refused by Australian Securities and Investments Commission.

From: Phillip Sweeney

Delivered

Dear Australian Securities and Investments Commission,

The document I seek is a copy of a letter that should be in the possession of ASIC that confirms that Nicole Smith the previous Chairman of NULIS Nominees (Australia) Ltd, the puppet Trustee of the National Australia Bank has engaged in criminal conduct - namely the contravention of subsection 1017C(5) of the Corporations Act 2001 as well as Section 84B of the Trustee Act 1936 (SA).

This document was addressed to Nicole Smith and the document is signed by Peter O'Connor who is a member of a superannuation fund now administered by NULIS.

The compensation policy of the Coalition Government is based on the 'moral hazard' argument where fund members are expected to take an active role in monitoring the conduct of the trustee of their superannuation fund.

A fund member, Mr O'Connor, was seeking copies of fund deeds to be lodged in evidence to the Royal Commission into Misconduct in the Banking, Superannuation and Financial Services Industry. Nicole Smith engaged in criminal conduct by failing to provide copies of these deeds to this fund member so that they could be lodged as evidence of fraud committed by NULIS and the National Australia Bank.

The misconduct of Nicole Smith also amounts to a contempt of the Royal Commission.

ASIC has recently laid charges in the Federal Court of Australia against NULIS and NAB in relation to another matter.

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

Yours faithfully,

Phillip Sweeney

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From: David Asadi
Australian Securities and Investments Commission


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Attachment FOI notice to identify documents Nulis Nominees Australia Limited.pdf
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Dear Mr Sweeney

 

Freedom of Information Request – Notice to identify documents under
section 24AB of the FOI Act

 

We refer to your request for access to documents under the Freedom of
Information Act 1982 concerning NULIS Nominees (Australia) Limited.

 

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

 

 

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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.

  

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From: Phillip Sweeney

Delivered

Dear David Asadi,

I refer to your letter of 1 October 2018. In this letter you state:

"ASIC can search for copies of letters provided to ASIC, however the current terms of
your request prevents me from effectively identifying the document you seek. For this
reason, we require you revise your wording as to whether any such document
confirms criminal conduct."

Mr Peter O'Connor is a member of a superannuation fund administered by NULIS Nominees (Australia) Ltd {NULIS} a subsidiary company of the National Australia Bank.

Mr O'Connor in a letter dated 27 December 2017 made a written request to Nicole Smith, the then Chairman of NULIS for copies of Deeds of the fund in which Mr O'Connor has a beneficial interest. This letter was received by NULIS on 8 January 2018.

Mr O'Connor stated that he wished to lodge copies of these deeds as evidence to the Royal Commission into Misconduct in the Banking, Superannuation and Financial Services Industry.

In order to comply with the provisions of subsection 1017C(5) of the Corporations Act 2001, Nicole Smith should have provided Mr O'Connor with copies of the Deeds requested on for before 8 February 2018.

Mr O'Connor did not receive copies of any deeds from Nicole Smith or any reply to his written request.

Within 10 days of 8 February 2018, Nicole Smith should have lodged a Breach Notice with ASIC since a contravention of subsection 1017C(5) is a serious offence with a maximum penalty of a fine and two years imprisonment.

No such Breach Notice was lodged with ASIC.

Attached to a letter dated 20 September 2018 and addressed to James Shipton, Mr O'Connor provided a copy of the written request Nicole Smith dated 27 December 2018.

During the testimony of Nicole Smith at the Royal Commission, Royal Commissiioner Hayne alluded that criminal sanctions may be appropriate for the misconduct of Nicole Smith and her fellow directors of NULIS.

I trust this information has satisfied you concerns

Yours sincerely,

Phillip Sweeney

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From: David Asadi
Australian Securities and Investments Commission


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Attachment 20181008 Notice of consultation with affected third parties.pdf
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Dear Mr Sweeney

 

Freedom of information request – consultation with affected third parties

 

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

Link to this

From: David Asadi
Australian Securities and Investments Commission


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Attachment 20181107 Notice the applicant is liable to pay a charge.pdf
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Dear Mr Sweeney

 

Freedom of information request – Notice the applicant is liable to pay a
charge

 

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 note that ASIC is seeking to charge me a fee for access information under the Freedom of Information Act.

I am an old aged pensioner living in poverty because I am a victim of superannuation fraud committed by NULIS Nominees (Australia) Ltd and on this basis am seeking for ASIC to waive this access fee.

Yours sincerely,

Phillip Sweeney

Link to this

From: David Asadi
Australian Securities and Investments Commission


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Attachment 20181130 Notice of charge request for evidence.pdf
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Dear Mr Sweeney

 

Please find attached our letter in response to your email dated 26
November 2018.

 

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: David Asadi
Australian Securities and Investments Commission


Attachment image002.jpg
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Attachment 20181207 Notice of charge decision.pdf
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Dear Mr Sweeney

 

Freedom of information request – notice of charge decision

 

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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