Kartikeya v Fernyhough [2014] NZIACDT 44 (03 April 2014) [pdf, 239 KB]
...complainant and her husband and he failed to make any inquiries to ensure she was not dealing with immigration matters. [23.1.4] The adviser’s failure to take charge of the client relationship resulted in: [23.1.4] The client engagement process in clauses 1.1 and 1.5 of the Code of Conduct not being completed; and [23.1.4] Breach of clause 8 of the Code of Conduct in relation to fees. [23.2] The second potential ground identified by the Registrar was that the adviser’s conduct a...