Ministry of Justice

Unprofessional / failure to confirm in writing details of material discussions / Immigration Advisers Licensing Act 2007, s442, s451 / Code of Conduct 2014, cl1, cl9, cl26aiii & cl26c / adviser did not confirm oral advice regarding risks in writing / cl26c is not a trivial bureaucratic obligation, oral advice is not always fully appreciated and written advice allows reflection / other grounds of complaint not established / alleged failure to recognise and advise complainant of risks contradicted by evidence / no missing written communication or file notes identified by the Registrar / complaint upheld

Sanctions / adviser failed to provide an invoice, refund & confirm that the service contract was terminated / Immigration Advisers Licensing Act 2007, s3, s50, s51 / Code of Conduct 2014, cl22, cl24c, cl28a / HELD / first appearance before Tribunal / lower end of misconduct / adviser cautioned / ordered to pay $500 financial penalty / partial refund of $1,500 ordered to reflect work undertaken / compensation of $500 ordered

Sanctions / diligence and due care / adviser failed to reply to PPI letter, provide timely updates, or inform complainant their application was declined / Immigration Advisers Licensing Act 2007, s3, s50, s51 / Code of Conduct 2014, cl1, cl26b / HELD / isolated occasion of wrongdoing that had serious consequences, as complainant’s residence application was declined / adviser acknowledged mistake and apologised, improved business practices and hired additional help & fully refunded fees that were paid to prior business owner ($10,000) / adviser cautioned / ordered to pay $1,000 financial penalty / compensation of $2,000 awarded for distress, considering the full refund and the financial penalty ordered

Adviser failed to provide an invoice, refund & confirm that the service contract was terminated / Immigration Advisers Licensing Act 2007, s7, s442, s50, s51 / Code of Conduct 2014, cl1, cl22, cl24c, cl28a / HELD / adviser surrendered licence to become a lawyer / breach of cl22 / did not provide invoice for client’s payment / breach of cl24c / after surrender of licence, service contract was effectively terminated / obliged to refund deposit, less value of work done and invoiced / eventual offer to refund was 19 months after initial request / initial refusal on the basis contract prohibited refunds for change of mind contrary to cl24 / client entitled to “fair and reasonable” refund per cl24a & cl24c / breach of cl28a / did not confirm contract termination in writing / name suppression refused / presumption in favour of publication not displaced / complaint upheld

Sanctions / dishonest behaviour / numerous breaches of obligations over multiple applications / false representations about application status and completed work while doing nothing / Immigration Advisers Licensing Act 2007, s3, s50, s51 / Code of Conduct 2014, cl1, cl9, cl18a, cl26a, cl29a / HELD / high end of misconduct / in addition to deceit, 16 breaches of obligations / fourth upheld complaint against adviser with a pattern of deceitful conduct / did not engage with disciplinary process in a meaningful way / grave consequences for complainant / adviser censured / prevented from reapplying for maximum period of 2 years / ordered to pay $8,000 financial penalty / compensation of $27,145 ordered ($20,955 for wasted polytechnic fees, $1,150 for first s61 request after wrongdoing uncovered, and $5,000 emotional distress)  / costs for legal fees on complaint not awardable / fees for further immigration applications did not arise from adviser’s wrongdoing, disallowed

Diligence and due care / adviser failed to check whether staff had correctly filed NZQA application & did not personally check after being asked by client / Immigration Advisers Licensing Act 2007, s7, s442, s50, s51 / Code of Conduct 2014, cl1, cl18a, cl26c, cl28a, cl29f / HELD / breach of cl1 / failing to check on NZQA application for two months is an unacceptable delay / dishonesty allegations not established / adviser’s responses to client regarding NZQA application inquiries in good faith, not dishonest / belatedly paid NZQA fee after complainant terminated work visa services / should have checked client wished to proceed, but payment not dishonest because of belief NZQA application services had not been terminated / advice that EOI selections would recommence unduly optimistic, not deceitful / breach of cl18a / no service contract for work visa / breach of cl28a & cl26c / no written confirmation of termination of services or oral advice given / complaint upheld

Sanctions / negligence / numerous breaches of Code / failed to file requests / failed to identify clients’ ineligibility / failed to get approval to change visa category / failed to have written agreement / failed to respond to INZ letter / failed to inform clients they were unlawful & provide updates / failed to advise outcome / did not ensure payment for reconsideration application / failed to confirm details of material discussions in writing / Immigration Advisers Licensing Act 2007, s3, s50, s51 / Code of Conduct 2014, cl1, cl2e, cl18a, cl26aiii, cl26b, cl26c / HELD / adviser accepted wrongdoing / first appearance before Tribunal / serious professional failures with significant consequences / adverse publicity a usual consequence, of limited relevance for sanctions / health issues at the relevant time / adviser censured / no training directed as misconduct explained by health / $2,000 financial penalty ordered / no submissions for refund or compensation, none ordered

Sanctions / dishonest behaviour / failed to lodge a s 61 request after accepting instructions and payment to do so / deliberately deceived client into believing request had been made for about 18 months / Immigration Advisers Licensing Act 2007, s3, s50, s51 / HELD / first appearance before Tribunal / adviser provided no explanation & did not engage with Tribunal / conduct exacerbated by contempt for disciplinary process / serious misconduct with serious consequences for client / adviser censured / no longer licensed / prohibited from applying for a licence for the maximum period (two years) in light of attitude to disciplinary process & no confidence adviser has learned anything / ordered to pay $4,000 financial penalty / claim for refund of fee ($4,025) not opposed, upheld / award of $2,000 compensation for emotional distress

Adviser failed to lodge s 61 request / failed to keep client informed of developments in a timely manner / misled clients by pretending an application had been made / Immigration Advisers Licensing Act 2007, s442 / Code of Conduct 2014, cl1 / HELD / breaches of cl 1 / request should have been ready to lodge in the months between receiving instructions and payment, but adviser concedes he failed to act / adviser unprofessional and lacked diligence / further, few communications to clients did not keep them informed of progress / last communication was misleading in that it pretended an application had been made, and clients continued to believe this until they contacted INZ directly / did not provide an explanation to Tribunal / advisers are obliged to explain conduct in the face of dishonesty allegation / adverse inference of misleading behaviour drawn / complaint upheld

Appeal against Registrar rejecting complaint / complaint adviser had a conflict of interest and underpaid wages / Registrar rejected complaint on basis it did not disclose any of the statutory grounds of complaint / Immigration Advisers Licensing Act 2007, s442, s451, s54 / Code of Conduct 2014, cl2, cl5, cl6, cl7 / employment related claims are not within jurisdiction / adviser offered to employ appellant and submit work visa application / conflict of interest recognised by adviser in a letter which also recommended independent immigration advice / appellant signed acknowledgement he received letter and understood it / adviser satisfied professional obligations for potential conflict but best practice would be clear and express consent to representation despite the conflict, and to record nature of conflict / standard agreement should have been tailored to circumstances / appellant knew of adviser’s role and signed acknowledgement and client agreement / appeal rejected

Dishonest behaviour / numerous breaches of obligations over multiple applications / false representations about application status and completed work / failed to inform client of application outcomes / failed to provide sufficient explanations and a mandatory document to INZ / did not advise of risks or properly document advice regarding futile immigration matters / failed to have a written agreement with client / failed to maintain a client file / failed to inform client of licence suspension / Immigration Advisers Licensing Act 2007, s442, s50, s511 / Code of Conduct 2014, cl1, cl9, cl18a, cl26a, cl29a / adviser provided no explanation in response to complaint / professionals have a duty to respond to complaint and disciplinary processes / adverse inference drawn / failure to advise application outcomes was deliberate / hiding suspended licence status was a gross breach of trust / dishonestly pretended to assist client / complaint upheld

Failure to confirm matters in writing / Code of Conduct 2014, cl1, cl26b, cl26f, cl28a / Immigration Advisers Licensing Act 2007, s5, s7, s442, s49 / HELD / jurisdiction / work on NZQA qualification assessment was immigration advice as a necessary document for a residence visa / oral hearing / complainant did not attend hearing / allegations of dishonest or misleading behaviour not upheld / adviser’s evidence she was authorised to create email address for complainant plausible, accepted / adviser’s evidence she stopped work after seeing message terminating services, accepted / no breach of cl 1 for failing to lodge assessment in a timely manner, work was not urgent / no breach of cl26f for failing to provide documents when requested, statement of complaint does not identify what documents were subsequently provided or not / breaches of cl26b & cl28a for failing to confirm in writing when NZQA assessment application was lodged, and when services were terminated / complaint upheld

Appeal against Registrar rejecting complaint / complaint adviser failed to inform INZ that client had lost his job, breached confidentiality by sharing information with employer, and mistakenly informed client INZ would issue the family visitor visas / Registrar rejected complaint on basis it disclosed only a trivial or inconsequential matter / Immigration Advisers Licensing Act 2007, s442, s451, s54 / Code of Conduct 2014, cl18a, cl26aii / not accepted INZ not informed that client lost employment / client informed INZ without reference to adviser / when client communicates directly with INZ, less clear who is responsible for any failure to inform / no evidence of breach of confidentiality or that adviser lied to client concerning visitor visa / public hospital charges arising out of failing to have a visa not the responsibility of adviser / absence of written agreement is a breach of cl18a, Registrar appropriately issued a reminder / appeal rejected  DP