Ministry of Justice

Negligence / appeal against Registrar rejecting complaint / solicitor failed to forward INZ email to adviser for response / adviser worked as a contractor to law firm / Registrar rejected complaint on basis it did not meet statutory criteria / Immigration Advisers Licensing Act 2007, s 442, s451, s54 / INZ was given contact details of solicitor and adviser & was entitled to send email to solicitor only / solicitor required to forward email to adviser / Tribunal only has jurisdiction over adviser / adviser not at fault / failure to provide apology and explain delay to INZ not unprofessional / appeal rejected.

Negligence / appeal against Registrar rejecting complaint / complaint adviser should have known visa application had no prospect of success / visa criteria relating to income could not be met by relying on retainer or commission as income / Registrar considered adviser’s work competent & did not address income complaint / Registrar rejected complaint on basis it disclosed trivial or inconsequential matter / Immigration Advisers Licensing Act 2007, s 442, s451, s54 / Code of Conduct 2014, cl1, cl9, cl26aiii & cl26c / evidential foundation for allegations established / allegation adviser aware of income issue at outset & complainant not advised of risks / appeal allowed

Sanctions / misleading behaviour / adviser failed to take due care, misled complainant about when and whether application filed, did not pass on INZ letter, failed to reply to inquiries or make client file available to Registrar / Immigration Advisers Licensing Act 2007, s3, s50, s51 / starting point is the seriousness of misleading conduct, having lied to client / aggravated by refusal to engage with disciplinary process / no confidence adviser would change practices, comply with Code, or conduct himself honestly in future / failure to explain circumstances, express remorse, demonstrate learning, or show fitness to practice / renewal of licence prevented for two years  / adviser censured & directed to undertake further training before applying to be relicensed / claim for compensation for lost wages does not show claimed losses arose from adviser’s wrongdoing / adviser directed to refund $850 fee / adviser ordered to pay $2,000 financial penalty

Sanctions decision / diligence / failure to respond to INZ / failure to obtain and carry out client instructions & provide advice / failure to ensure client agreement contained name and licence number of other adviser providing advice & required provisional licence details / failure to update client / failure to provide full file on request from new adviser / Immigration Advisers Licensing Act 2007, s3, s50, s51 / first appearance before Tribunal / accepted wrongdoing, improved business process / as provisional licence holder not identified in agreement, adviser’s responsibility to undertake work & maintain direct relationship with client / not rubber stamping & client intended to engage provisional licence holder / training not ordered due to isolated mistakes and demonstrated learning / reasonable compensation not an indemnity, but contribution / adviser ordered to refund fee and compensate $2,360 / adviser ordered to pay $1,000 financial penalty

Misleading behaviour / advised failed to submit application on time & concealed application had not been submitted / did not pass on INZ letter to complainant / Immigration Advisers Licensing Act 2007, s50, s51 / Licensed Immigration Advisers Code of Conduct 2014, cl 1, cl2a, cl26b, cl26e / lack of due care / application urgent and straightforward / should have been made earlier, including copy of passport & online to speed up processing / failed to advise of and respond to INZ letter / adviser misled complainant as to when application would be filed and lied, blaming delay on INZ / clause in agreement not to contact INZ not found to be scheme to mislead / failure to communicate, provide advice and reply to INZ letter a breach of trust and confidence / failed to update complainant / adviser failed to provide copy of client file to Registrar / complaint upheld

Provisional adviser / not named in client agreement / no details of provisional adviser in agreement / / failure to confirm application filed and provide timely updates / provisional adviser supervised by adviser / provisional adviser went on leave / no response to PPI letter, so complainant’s visa declined / Code of Conduct 2014, cl1, cl18a, cl19c, cl26b / Immigration Advisers Licensing Act 2007, s422 / no breach of cl1 / failure to inform INZ provisional adviser on leave did not meet disciplinary threshold / supervisor responsible for non-response to PPI letter / no breach of cl18a / written agreement provided, but did not contain provisional adviser’s name or details / should have advised complainant about PPI letter and extension request / complaint upheld

Sanctions decision / negligence / dishonest or misleading behaviour / adviser concealed decline of visa application from complainant and the reason for the decline / also advised complainant could work on interim visitor visa / dishonesty continued over eight months / Immigration Advisers Licensing Act 2007, s50, s51 / first appearance before Tribunal / accepted wrongdoing, offered refund following complaint / adviser suffering from serious medical condition, does not excuse conduct but considered in mitigation / adviser censured & directed to undertake further training / adviser directed to refund fee and pay compensation of $1,000 / adviser ordered to pay $2,000 financial penalty

Sanctions decision / negligence / dishonest or misleading conduct / adviser failed to file renewal application on time due to mistake in file records / complainant not informed of mistake or unlawful status / concealment of error deliberate & misleading / adviser failed to exercise due care & should have checked expiry date / Immigration Advisers Licensing Act 2007, s50, s51 / fundamental mark of a professional to be honest in communicating with client / failure to inform complainant of unlawful status a serious omission / second complaint against adviser / adviser cooperated with disciplinary process & acknowledged wrong doing / adviser’s health a mitigating factor / adviser’s income materially affected by  health & border closure / adviser censured & directed to undertake further training / adviser ordered to pay $1,500 financial penalty

Negligence / appeal against Registrar rejecting complaint / appellant aggrieved about adviser making various mistakes / adviser advised appellant he was eligible for residence based on recognition of industry experience & overseas qualification but recognition limited / Registrar deemed complaint trivial or inconsequential / adviser acknowledged mistakes, apologised & offered partial refund / Immigration Advisers Licensing Act 2007, s442, s451 / Code of Conduct 2014, cl1, cl4, cl24a / no evidence of wrong advice as to immigration criteria or processes / mistake a misunderstanding about requirements of vocational registration not immigration instructions / advice about vocational registration a shared responsibility / biographical & typographical mistakes not widespread & did not cause harm / refusal of refund a breach of Code but adviser eventually offered refund & apologised / appeal rejected.

Sanctions / rubber stamping / adviser assigned task of creating business plan to unlicensed accountant employee /  adviser exercised overall control of immigration process but excused himself wholly from client relationship / Immigration Advisers Licensing Act 2007, s50, s51 / serious breach & adviser previously appeared before Tribunal for similar breaches / conduct not characterised by wilful defiance of Code or disciplinary process / conduct occurred at about same time as previous complaints / adviser acknowledged misconduct and has set out to change firm’s practices / publication of disciplinary decisions not a punishment / no refund / no evidence of distress to complainant / adviser censured & ordered to pay $4,500 penalty.

Sanctions / rubber stamping / adviser failed to engage with complainant or his partner & left it to his staff to communicate with them / adviser involved behind the scene but absented himself completely from client relationship concerning substantive immigration work / Immigration Advisers Licensing Act 2007, s50, s51 / complaint related to only one client / adviser made an effort to learn from experience & improve business practices / adviser’s first appearance before Tribunal / adviser censured & ordered to pay $1000 penalty.

Sanctions / rubber stamping / adviser relied on unlicensed persons to communicate with complainant / adviser’s relationship to employer gave rise to actual conflict / Immigration Advisers Licensing Act 2007, s50, s51 / complaint serious but adviser did not completely abandon complainant to his staff / adviser should have declined to act as unable to provide objective advice /  conduct aggravated by earlier complaint upheld against him / adviser accepts complaint, fully cooperated with disciplinary process & made changes to his practice / adviser censured & ordered to pay $4,500 penalty & refund complainant’s $2,500 deposit.

Sanctions / negligence / adviser negligently advised complainant she could undertake work for two companies on visa limited to one company / Immigration Advisers Licensing Act 2007, s50, s51 / adviser’s negligence has serious consequences for complainant / high degree of carelessness / isolated incident / no evidence of any wider lack of skill or knowledge / training & measures undertaken to reduce risk of repeat error / appeal to IPT arose directly from adviser’s wrongdoing so can claim compensation for legal fees / other legal fees not claimable as unrelated to complaint upheld / no compensation for air tickets when family deported because too remote to be attributable to adviser’s wrongdoing / adviser bears some responsibility for family’s distress / adviser censured & ordered to pay $2,000 penalty & $7,433.50 compensation to complainant. Sanctions / negligence / adviser negligently advised complainant she could undertake work for two companies on visa limited to one company / Immigration Advisers Licensing Act 2007, s50, s51 / adviser’s negligence has serious consequences for complainant / high degree of carelessness / isolated incident / no evidence of any wider lack of skill or knowledge / training & measures undertaken to reduce risk of repeat error / appeal to IPT arose directly from adviser’s wrongdoing so can claim compensation for legal fees / other legal fees not claimable as unrelated to complaint upheld / no compensation for air tickets when family deported because too remote to be attributable to adviser’s wrongdoing / adviser bears some responsibility for family’s distress / adviser censured & ordered to pay $2,000 penalty & $7,433.50 compensation to complainant.