Index of Witness Events MICHAEL WRIGHT, ON FORMER AFFIRMATION P-1439 CROSS-EXAMINATION BY MS ORR P-1439 RE-EXAMINATION BY MR SHEAHAN P-1478 THE WITNESS WITHDREW P-1483 DARREN JOHN WHEREAT, AFFIRMED P-1484 EXAMINATION-IN-CHIEF BY MS WILLIAMS P-1484 CROSS-EXAMINATION BY MS ORR P-1486 RE-EXAMINATION BY MS WILLIAMS P-1549 THE WITNESS WITHDREW P-1550 Index of Exhibits and MFIs EXHIBIT #2.117 ABA BANKING INDUSTRY CONDUCT BACKGROUND CHECK PROTOCOL (RCD.0021.0003.0009) P-1459 EXHIBIT #2.118 LETTER DOVER TO WESTPAC DATED 06/05/2015 (DOV.0001.0001.0098) P-1460 EXHIBIT #2.119 EMAIL THOMPSON TO KOVANIS DATED 14/05/2015 (DOV.0001.0001.0670) P-1462 EXHIBIT #2.120 EMAIL THOMPSON TO KOVANIS AND OTHERS DATED 30/06/2015 (DOV.0001.0001.0288) P-1463 EXHIBIT #2.121 DRAFT REPORT OF DELOITTE DATED APRIL 2018 (WBC.104.002.1774) P-1469 EXHIBIT #2.122 REPORT TO BTFG ADVICE RISK FORUM DATED 14/07/2015 (WBC.500.002.1440) P-1473 EXHIBIT #2.123 REPORT TO BT ADVICE RISK FORUM DATED 31/01/2018 (WBC.507.002.1785) P-1473 EXHIBIT #2.124 MEMO TO BTFG RISK REVIEW COMMITTEE DATED 06/03/2018 (WBC.507.001.1143) P-1475 EXHIBIT #2.125 PROVISION OF APPROPRIATE PERSONAL ADVICE CONTROL DEEP DIVE MEMORANDUM 26/01/2018 (WBC.508.001.0001) P-1476 EXHIBIT #2.126 DOCUMENT ENTITLED “ANOTHER EXCITING MOVE, BTFA REMUNERATION FRAMEWORK” (WBC.104.004.0471) P-1482
EXHIBIT #2.127 DATED VERSION OF EMAIL AT MW2 AND WEB ARCHIVE PRINT DATED 28/03/2015 (WBC.104.003.7507) (WBC.104.003.8323) P-1483 EXHIBIT #2.128 SUMMONS TO MR WHEREAT P-1485 EXHIBIT #2.129 WITNESS STATEMENT OF MR WHEREAT AND EXHIBITS P-1486 EXHIBIT #2.130 RI ADVICE GROUP PRINCIPAL AUTHORISED REPRESENTATIVE AGREEMENT WITH CARRINGTON CORPORATION PROPRIETARY LIMITED DATED 08/05/2018 (ANZ.800.477.0172) P-1489 EXHIBIT #2.131 ASIC RELEASE CONCERNING AUSTRALIAN FINANCIAL SERVICES LIMITED, 11-243 MR (RCD.0021.0001.0398) P-1490 EXHIBIT #2.132 MEMORANDUM AFS RETENTION STRATEGY DATED 22/03/2013 (ANZ.800.512.0002) P-1493 EXHIBIT #2.133 ADVICE AND DISTRIBUTION RISK AND COMPLIANCE BOARD COMMITTEE PAPERS DATED 29/05/2013 (ANZ.800.038.2780) P-1495 EXHIBIT #2.134 EMAIL YOUNGER TO WILLIAMS DATED 15/04/2013 AND ATTACHMENT (ANZ 800.508.0103) (ANZ 800.508.0104) P-1496 EXHIBIT #2.135 AUTHORISED REPRESENTATIVE APPLICATION FORM BY DOYLE DATED 13/04/2013 (ANZ.800.511.1804) P-1496 EXHIBIT #2.136 COMMITMENT DEED DATED 06/05/2013 (ANZ.800.447.0150) P-1497 EXHIBIT #2.137 EXAM RESULTS FOR FINANCIAL PLANNING KNOWLEDGE DATED 15/07/2013 (ANZ.800.511.1849) P-1499 EXHIBIT #2.138 COMPLAINT LETTER CONCERNING DATED 07/08/2013 (ANZ.800.283.0043) P-1500 EXHIBIT #2.139 ADVICE VETTING STANDARD DATED MAY 2013 (ANZ.800.165.3273) P-1504 EXHIBIT #2.140 INDIVIDUAL REPRESENTATIVE’S DEED WITH DOYLE (ANZ.800.447.0157) P-1509
EXHIBIT #2.141 EMAIL FROM PETER ORNSBY TO MR DOYLE DATED 19/05/2016 (ANZ.800.450.0039) P-1528 EXHIBIT #2.142 AUTHORISED REPRESENTATIVE DEED, MILLENNIUM3 AND HARRIS (ANZ.800.451.1826) P-1528 EXHIBIT #2.143 LETTER MILLENNIUM3 TO HARRIS DATED 04/06/2008 (ANZ.800.451.1845) P-1529 EXHIBIT #2.144 EMAIL NOLAN TO KLIPIN AND OTHERS DATED 09/08/2015 (ANZ.800.450.0003) P-1538 EXHIBIT #2.145 ASIC REPORT 251, RCD.0003.0057.0001 P-1540 EXHIBIT #2.146 ASIC REPORT 362, RCD.0003.0045.0001 P-1542 EXHIBIT #2.147 CPS 510 REMUNERATION COMPLIANCE, ANZ.800.165.1311 DATED 12/12/2017 P-1542 EXHIBIT #2.148 LETTER FROM DOVER FINANCIAL ADVISERS TO MILLENNIUM3 FINANCIAL SERVICES DATED 24/05/2017 (DOV.0001.0001.1606) P-1547 EXHIBIT #2.149 LETTER FROM MILLENNIUM3 TO DOVER IN REPLY (DOV.0001.0001.1608) P-1548