Khan v Devi [2014] NZIACDT 84 (15 September 2014) [pdf, 203 KB]
...Conduct (clause 1.5). She did not meet with the complainant or attend to the disclosure and recording requirements for properly commencing the engagement, nor did she complete the significant matters relating to it. [3.3] The adviser failed to refund fees (clause 3(d) of the Code of Conduct). [4] The full circumstances are set out in the substantive decision. The Parties’ Positions on Sanctions The Authority [5] The Authority did not make any submissions on sanctions. The compl...