Victorian Legal Services (Gro Box e2Neboue Ve a00T OX 18 bone COMMISSIONER Eeanmgiteve gorau ruin tegoras 20 April 2016 Private and Confidential Waldron-Sgaretta Family By email to: shareholders foundation@expressmail.dk To the Waldron-Sgaretta Family, Your complaints about Mr David Cohen of EComm Legal (Commonwealth Bank) and Mr Michael McGarvie of the Victorian Legal Services Board + Commissioner Ourret: — COM-2016-0377/COM-2016-0378 - Jessica Philips Notice of Decision My office is an independent statutory authority established by the Legal Profession Uniform Law (Victoria) ("the Uniform Law’) to handle complaints about lawyers and law practices. I have received your complaints about Mr David Cohen and Mr Michael McGarvie, When I receive a complaint | must make a preliminary assessment of it, that is, | must examine it to determine whether or not | have power to help and if so, what sort of assistance | may be able to provide. However, there are limits to what | can do. My actions are limited to the powers given to me by the Uniform Law. Generally speaking, there are two types of complaints | receive, bein: + disputes about legal costs and other issues between lawyers and their clients; and + complaints about the behaviour and conduct of lawyers. Your complaint appears to concem the following allegations about Mr Cohen and Mr McGarvie: * That Mr Cohen misled the Parliamentary Joint Committee on Corporations and Financial Services (‘the PJC’) at a hearing on 4 April 2016, in Sydney, regarding impairment of ‘customer loans by a number of banks in relation to comments he made about issue of the Commonwealth Bank IT bribery matter; and * The Mr McGarvie misled Mr Robert Clark, in Mr Clark's role as the Victorian Shadow Minister for Police in relation to the SEC (presumably being the United States Securities and Exchange Commission). | have now completed my preliminary assessment of your complaint. | have decided that | must close your complaint. The reason for this decision is because there does not appear to be any factual basis on which this office can rely to support a decision to commence an investigation Into your concerns. In relation to Mr Cohen, whilst | note that you have provide a copy of the PJC hearing transcript, it is unclear from your complaint how you believe that Mr Cohen's comments to the PIC surrounding the IT contract were misleading as you have provided no additional corroborating ‘Gomnisstoner ABN 68 489 344 310,Level §, 555 Bourke Street Melboume Vie 3000 Victorian Legal Services ee eranetaer ii COMMISSIONER aera ako or ao evidence to demonstrate that the comments were misleading. In any event, Mr Cohen is not practicing as a lawyer in Victoria, which means that this office has no power to deal with any of the matters that you have raised about him. Your complaint about Mr McGarvie is also vague and does not include statements about how you say Mr McGarvie in fact misled Mr Clark. Again | note that you have made reference to a document related to the PIC inquiry, but this office has been unable to locate the document which you have referenced in support of your claims and there does not appear to be any other evidence available to corroborate your allegations. Regardless of this, this office is not the appropriate body to deal with your concerns in relation to this matter. If you wish to pursue this Issue further, you should raise your claims with the Independent Broad-based Anti-corruption Commission. ‘You do not need to respond to this letter however if you have any questions or concerns please telephone Ms Jessica Philips on 9679 8001 Yours sincerely, VAY MWA Jennie Pakula Manager, Assessment & Resolutions (COM-2016-0377/COM-2016-0378 | Page 2 Commissioner ABN 68 459 344 810