And did you receive a written response from Mr Henderson in response to your complaint?I did. I believe that was received on 7 February. And Mr Henderson apologised for the advice that he had provided in that letter to you?Among other matters. And he described the advice that you had received as clearly templated, rushed, inaccurate, and imperfect?He did. And he referred to the fact that he had now provided you with a refund for the advice fee?Yes. Did his response to your complaint also include a reference to your entitlement to take the matter to the Financial Ombudsman Service or an industry body like the Financial Planning Association?It did. And did you subsequently make a complaint to the Financial Planning Association?I did. And you’ve annexed the written complaint that you made to your statement. And in the course of making that complaint did you provide the FPA with a draft briefing note explaining what had occurred?The briefing note occurred much later. And did you make a formal witness statement to the FPA these events?I did on 29 September, I believe. And were you told that Mr Henderson had made a written response to the FPA?I was at some And did you ask to see a copy of that response?I did. Were you permitted to see a copy of that response?No, I was not. Have you today seen a copy of that response?No, I haven’t Were you told in the course of the FPAs investigation that the matter had been referred to their Conduct Review Commission?I was. And were you subsequently told that the matter had been set down for a hearing?I was. Were you an opportunity to participate in the process of the Conduct Review Commission?None at all. And in February 2018, having made your complaint to the FPA in March 2017, were you given some information about the status of your complaint?Could you refresh
Index of Witness Events ANDREW PAUL HAGGER, ON FORMER OATH P-1668 CROSS-EXAMINATION BY MS ORR P-1668 THE WITNESS WITHDREW P-1708 KIERAN AFFIRMED P-1709 EXAMINATION-IN-CHIEF BY MS WILLIAMS P-1709 CROSS-EXAMINATION BY MS ORR P-1711 THE WITNESS WITHDREW P-1725 DONNA McKENNA, AFFIRMED P-1725 BY MS ORR P-1725 THE WITNESS WITHDREW P-1743 SAM HENDERSON, SWORN P-1743 EXAMINATION-IN-CHIEF BY MR WOODS P-1743 BY MS ORR P-1746 RE-EXAMINATION BY MR P-1779 THE WITNESS WITHDREW P-1782 Index of Exhibits and MFIs EXHIBIT #2.184 MANAGING VALUES REPORT DATED 27/11/2015 (NAB.005.217.0360) P-1680 EXHIBIT #2.185 MINUTES OF THE BREACH REVIEW COMMITTEE DATED 31/05/2017 (NAB.061.005.4860) P-1687 EXHIBIT #2.186 WEALTH ADVICE LEADERSHIP CONSEQUENCE MANAGEMENT 2/11/2017 (NAB.005.346.0001) P-1692 EXHIBIT #2.187 SPECIFIC CONCERNS FOR TIM STEELE GIVEN TO MR HAGGER ON 3 NOVEMBER 2017 (NAB.005.346.0003) P-1693 EXHIBIT #2.188 FILE NOTE DATED 30/10/2017 (NAB.005.346.0004) P-1693 EXHIBIT #2.189 EMAILS BETWEEN HAGGER AND THORBURN OF 3 AND 6 NOVEMBER 2017 (NAB.005.309.0009) P-1701 EXHIBIT #2.190 MINUTES OF THE BOARD OF NAB LIMITED DATED 4/10/2017 (NAB.092.001.1000) P-1702
EXHIBIT #2.208 TWO EMAILS, HENDERSON TO MURPHY DATED 12/05/2017 (FPA.0017.0001.0995, FPA.0006.0001.0047) P-1770 EXHIBIT #2.209 EMAILS BETWEEN MURPHY AND HENDERSON, MAY 2017 (FPA.0017.0001.0922) P-1771 EXHIBIT #2.210 FPA CODE OF PROFESSIONAL PRACTICE (FPA.0001.0001.0098) P-1772 EXHIBIT #2.211 EMAILS BETWEEN HENDERSON AND DE GORI OF FPA, JUNE 2017 (FPA.0017.0001.0013) P-1774 EXHIBIT #2.212 REPORT, CONDUCT REVIEW COMMISSION (FPA.0019.0001.0537) P-1775 EXHIBIT #2.213 HENDERSON RESPONSE TO INVESTIGATOR’S REPORT (FPA.0006.0001.0681) P-1776 EXHIBIT #2.214 EMAIL AND ATTACHMENT CONCERNING AGREED DISPOSAL OF CRC DISCIPLINARY PROCEEDINGS (FPA.0005.0001.0001) P-1777 EXHIBIT #2.215 EMAIL OF 13 APRIL 2018 AND REVISED SUMMARY DISPOSAL AGREEMENT (FPA.0019.0001.0013) P-1779 EXHIBIT #2.216 DOCUMENT DESCRIBED AS LETTER OF AUTHORITY, MCKENNA TO HENDERSON MAXWELL 7/11/2016 P-1779 EXHIBIT #2.217 FILE NOTE CONCERNING MS MCKENNA DATED 7/11/2016 P-1780