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AUSTRALIAN SECURITIES AND INVESTMENTS COMMISSION ACT 2001 - SECT 122D Information and documents covered by request

AUSTRALIAN SECURITIES AND INVESTMENTS COMMISSION ACT 2001 - SECT 122D

Information and documents covered by request

  (1)   This section covers information or documents if:

  (a)   in the case of information--the information was given or produced (whether or not voluntarily) to ASIC in writing by another person (including a person advising ASIC); and

  (b)   in the case of documents--the documents were given or produced (whether or not voluntarily) to ASIC by another person (including a person advising ASIC); and

  (c)   APRA considers the information or documents to be relevant to the exercise or performance of its functions or powers.

  (2)   Without limiting the scope of subsection   (1), this section also covers information in writing or documents that:

  (a)   are required or permitted to be created by law as a record (however described); and

  (b)   are created in accordance with that law.

Example:   Notes of an examination recorded in writing in accordance with subsection   58(1) of the Insurance Act 1973 .

  (3)   Without limiting the scope of subsection   (1), and despite subsection   (4), this section also covers information in writing or documents of a kind specified in the regulations.

  (4)   Despite subsections   (1) and (2), this section does not cover any of the following kinds of information or documents:

  (a)   information or documents concerning the internal administrative functioning of ASIC;

  (b)   information or documents that discloses matter in respect of which ASIC or any other person has claimed legal professional privilege;

  (c)   information or documents of a kind specified in the regulations.

  (5)   Despite subsection   (1), (2), and (3), this section does not cover information or documents communicated to a member or a staff member in accordance with paragraph   68(p) of the Telecommunications (Interception and Access) Act 1979 .