Gupta v Dhar [2017] NZIACDT 11 (4 August 2017) [pdf, 231 KB]
...adviser’s current licence. The 9 Tribunal will reserve leave to alter the date of cancellation to avoid unnecessary disruption to the adviser’s practice. However, the adviser must pay the financial penalty, compensation and refund fees before making any application for a provisional licence. Compensation and the refund of fees [39] In relation to compensation, it is necessary to establish both a causal nexus between a professional breach and a loss. [40] The Tr...