Ministry of Justice

Professional responsibilities and professional practice / Immigration Advisers Licensing Act 2007, s442 / Code of Conduct 2014, cl1, cl26c / client engaged adviser to seek student visa / INZ declined application as it was not accepted he would be genuine student and his financial documentation was inadequate / evidence did not support allegation that adviser instructed client to create false narrative to explain gap in tertiary studies / dishonest or misleading behaviour not proven / evidence did not support allegation that adviser failed to properly review and update relevant financial documents before filing / adviser had alerted client of issues with documents on multiple occasions / however, adviser failed to confirm in writing discussions with client relating to incomplete financial evidence / breach of cl26c / adviser unprofessionally communicated with tertiary institute following decline of visa / breach of cl1 / complaint partially upheld / sanctions to follow

Sanctions / adviser provided incorrect information in visa application, resulting from inadequate communication with complainant / Immigration Advisers Licensing Act 2007, s442 / Code of Conduct 2014, cl1, cl18b / incorrect information contributed to decline of application though not primary cause of decline / gravity of wrongdoing towards lower end of spectrum / adviser and agency engaging her accepted the Tribunal’s decision and implemented improvements to comply with Tribunal’s ruling prior to issuing its decision / first appearance in six years of practice / isolated instance of wrongdoing / adviser cautioned / censure and training orders not warranted / ordered to pay $500 financial penalty

Professional responsibilities and professional practice / Immigration Advisers Licensing Act 2007, s442 / Code of Conduct 2014, cl5, cl6, cl18a, cl20c / adviser failed to disclose in writing to the client a potential conflict of interest given familial connection to director of sponsor employer / familial connection risked compromising adviser’s ability to provide objective immigration advice / no evidence of any hidden benefit from arrangement / adviser failed to provide written services agreement / additional services provided by adviser in respect of employment, accommodation and settlement inextricably linked to immigration services / other services provided subject to professional obligations under Act and Code / no evidence fee charged not fair and reasonable / no agreement in writing to apparent change in terms of payment from those agreed at commencement / complaint partially upheld / sanctions to follow

Professional responsibilities and professional practice / Immigration Advisers Licensing Act 2007, s442 / Code of Conduct 2014, cl1, cl2e, cl17a, cl17b, cl17c, cl19f, cl19g, cl19h / failure to lodge complainant’s work visa application / failure to provide complainant summary of licensed adviser’s professional responsibilities, nor explain them / failed to advise of internal complaints procedure or provide explanation / acknowledgements in services agreement not separately signed or initialled / adviser’s engagement with spouse can be sufficient compliance / failure to specify fees and disbursements in agreement / lack of professional manner in communications with the complainant and spouse / adviser admits he was negligent or lacked due care, citing travel and health issues / no evidence of dishonesty / communications nonetheless unprofessional / breaches of alternative negligence heads dismissed / complaint partially upheld / sanctions to follow

Sanctions / adviser dilatory in sending authority form and terms of engagement in urgent immigration circumstances, erroneously advised complainant to await whether interim visa issued, and communicated unprofessionally with complainant / Immigration Advisers Licensing Act 2007, s3, s50, s51 / Code of Conduct 2014, cl1, cl15b, cl18, cl26b / five heads of complainant upheld, involving breach of three professional obligations / gravity of wrongdoing at lower end of moderate level misconduct / adviser apologised to complainant for unprofessional communications albeit did not acknowledge nor apologise for incorrect advice / incorrect advice did not prejudice complainant’s immigration status / no prior disciplinary history / adviser cautioned / censure and training orders not warranted / ordered to pay $2,000 financial penalty

Sanctions / four professional obligations breached / adviser failed to enter services agreement directly with complainant / failed to explain all significant matters in agreement / failed to provide evidence of being licensed / failed to confirm in writing details of all material discussions / Immigration Advisers Licensing Act 2007, s3, s50, s51 / Code of Conduct 2014, cl14, cl18a, cl18b, cl26c / failure to have agreement personally with complainant a major departure from expected standards / moderate overall gravity of offending, reflecting one serious breach and three others / adviser accepts wrongdoing and has taken comprehensive steps to prevent repetition / first complaint upheld in 16 years of practice / adviser censured / ordered to pay $2,500 financial penalty

Sanctions / adviser failed to directly communicate or engage with client (‘rubber stamping’), breaching eight professional obligations / client wound up as a victim of immigration fraud / Immigration Advisers Licensing Act 2007, s3, s50, s51 / Code of Conduct 2014, cl1, cl2e, cl14, cl18a, cl26ai, cl26aiii, cl26b, cl26d / direct engagement a fundamental obligation of advisers, failure enabled immigration fraud to occur / gravity of wrongdoing at upper end of moderate / second complaint in eight years of practice / adviser fully acknowledges wrongdoing and expresses genuine remorse / further training unnecessary as adviser demonstrated appreciation of wrongdoing / formal prevention of adviser reapplying for licence unnecessary / adviser censured / ordered to pay $4,000 financial penalty

Sanctions / dishonesty, provision of false information and documents, failure to have services agreement and undisclosed conflict of interest / Immigration Advisers Licensing Act 2007, s19, s50, s51 / wrongdoing amongst most serious, comprising 12 heads of complaint, particularly given deceitful misleading of INZ / numerous fundamental breaches of the Code / adviser’s reference to medical condition lacks evidential basis, and has no material connection to wrongdoing and appropriate sanctions / wrongdoing aggravated by extensive disciplinary history involving 63 heads of complaint across six separate complaints / licence recently cancelled in separate proceedings, current complaint would otherwise justify cancellation / gravity of misconduct and extensive disciplinary history requires further order preventing adviser from reapplying for licence for two years / adviser censured / ordered to pay financial penalty of $5,000, reduced to reflect totality of financial sanctions 

Sanctions / dishonesty, provision of false information and documents, failure to have services agreement and undisclosed conflict of interest / Immigration Advisers Licensing Act 2007, s19, s50, s51 / wrongdoing amongst most serious, comprising 26 heads of complaint, particularly given deceitful misleading of INZ / aggravated by complete absence of acknowledgement of serious wrongdoing and extensive disciplinary history involving more than five clients / numerous fundamental breaches of the Code / adviser’s medical condition lacks material connection to wrongdoing and appropriate sanctions / cancellation sanction of last resort / Tribunal has no confidence that training, mentoring or further suspension will protect public / cancellation reasonable and proportionate / adviser censured / licence cancelled / adviser prevented from any form of licensing for two years / ordered to pay $10,000 financial penalty / ordered to pay refund and compensation totalling $58,500 

Professional responsibilities and professional practice / rubber stamping / Immigration Advisers Licensing Act 2007, s442 / Code of Conduct 2014, cl1, cl2e, cl14, cl18a, cl26ai, cl26aiii, cl26b, cl26d / adviser failed to maintain direct communications with client, could not communicate through unlicensed agent / breach of fundamental obligation to personally contract with and engage with visa applicant / adviser contributed to creating an environment for fraud to be perpetrated / failed to provide evidence of licence / failed to provide client opportunity to review INZ application / failed to personally confirm application lodged and provide timely updates / failed to retain visa application and records of communications / availability of visa application from INZ website immaterial to obligation to maintain records / however, no evidential foundation to indicate conflict of interest / alternative negligence heads dismissed / complaint partially upheld / sanctions to follow

Professional responsibilities and professional practice / rubber stamping / Immigration Advisers Licensing Act 2007, s442 / Code of Conduct 2014, cl1, cl2e, cl14, cl18a, cl26ai, cl26aiii, cl26b, cl26d / adviser failed to maintain direct communications with client, could not communicate through unlicensed agent / breach of fundamental obligation to personally contract with and engage with visa applicant / adviser contributed to creating an environment for fraud to be perpetrated / failed to provide evidence of licence / failed to provide client opportunity to review INZ application / failed to personally confirm application lodged and provide timely updates / failed to retain visa application and records of communications / availability of visa application from INZ website immaterial to obligation to maintain records / however, no evidential foundation to indicate conflict of interest / alternative negligence heads dismissed / complaint partially upheld / sanctions to follow

Professional responsibilities and professional practice / adviser alleged to have been negligent or alternatively to have breached Code / complaint in relation to reasonableness of consultation fee for student placement application / Immigration Advisers Licensing Act 2007, s7, s442, s50A / Code of Conduct 2014 / consultation for student placement application did not constitute immigration advice / while the adviser’s services agreement contemplated future student visa application, no such application was made / complainant terminated adviser’s services upon receiving offer of study / no visa advice provided / no visa application drafted or submitted / scope of work not within immigration advice disciplinary jurisdiction / complaint dismissed

Sanctions / adviser committed 12 breaches of 11 professional obligations / client the victim of immigration fraud / Immigration Advisers Licensing Act 2007, s3, s50, s51 / Code of Conduct 2014, cl1, cl2e, cl14, cl17a, cl17b, cl17c, cl18a, cl18b, cl26aiii, cl26d, cla2b / HELD / Tribunal denounces failure to directly engage with client (‘rubber stamping’), alongside failure to have written service agreement signed by client / three complaints upheld against adviser, treated as third appearance / totality of sanctions considered / Tribunal acknowledges adviser was inexperienced, only holding provisional licence at time of breaches / upper end of moderate gravity of wrongdoing / adviser offered no apology, though acknowledges significance of wrongdoing and has implemented practices to prevent repeat and regularly undertakes professional development / further training unnecessary / adviser censured / compensation not sought / adviser ordered to pay $4,000 financial penalty