Ministry of Justice

Professional practice / Immigration Advisers Licensing Act 2007, s442 / Code of Conduct 2014, cl1, cl2e, cl14, cl18a, cl18b, cl22 and cl26b / HELD / adviser permitted anonymous unlicensed agent to perform work required to be undertaken by licensed adviser (‘rubber stamping’) / breach of cl2e / provided written agreement to Authority / unaware that complainant had not personally signed supporting document / however, failed to provide opportunity to review application / partial breach of cl1 / late provision of evidence of licence insufficient / breach of cl14 / failed to provide written agreement / breach of cl18a / failed to all explain significant matters / breach of cl18b / no relevant written communications / no breach of cl26iii / failure to provide on-going timely updates / breach of cl26b / obligation to confirm in writing material discussions did not arise / no breach of cl26c / alternative charges of negligence dismissed / complaint partially upheld / sanctions to follow

Sanctions / adviser permitted unlicensed agent to perform work required to be undertaken by the licensed adviser / four heads of complaint involving seven breaches of Code / Immigration Advisers Licensing Act 2007, s3, s50, s51 / Code of Conduct 2014, cl1, cl2e, cl14, cl17a, cl17b, cl17c, cl18c / HELD / breaches of fundamental obligations to personally contract with and engage with visa applicant / adviser contributed to creating an environment for fraud to be perpetrated / moderate gravity of misconduct / first appearance before Tribunal / adviser expressed remorse albeit did not accept more serious breaches in explanation to Authority and made no submission to Tribunal prior to decision / offered no apology for more serious conduct, only certain failings / contrition not fulsome / breaches of core obligations warrant censure / adviser surrendered license / further training not required / refund or compensation not sought / adviser censured / ordered to pay $4,000 financial penalty

Professional practice / Immigration Advisers Licensing Act 2007, s442 / Code of Conduct 2014, cl1, cl2e, cl14, cl18a, cl22, cl26aiii and cl26b / HELD / adviser permitted unlicensed agent to perform work required to be undertaken by licensed adviser (‘rubber stamping’) / fundamental obligation to engage directly and personally / breach of cl2e / no services agreement / breach of cl18a / failed to provide evidence of licence / breach of cl14 / failed to provide client opportunity to review INZ application / breach of cl1 / declaration to INZ concerning advice “for” client not false or misleading / no breach of cl1 or cl31a / failed to personally confirm application lodged and provide timely updates / breach of cl26b / failed to provide complete record of communications / breach of cl26aiii / failed to issue invoice / breach of cl22 / retention of invoice not in issue / no breach of cl26aiv / alternative charge of negligence dismissed / complaint partially upheld / sanctions to follow

Professional practice / Immigration Advisers Licensing Act 2007, s442 / Code of Conduct 2014, cl1, cl2e, cl14, cl18a, cl22 and cl26b / HELD / adviser permitted unlicensed agent to perform work required to be undertaken by the licensed adviser (‘rubber stamping’) / fundamental obligation to engage directly and personally / breach of cl2e / no services agreement between adviser and complainant / breach of cl18a / failed to provide evidence of being licensed / breach of cl14 / failed to provide client opportunity to review INZ application / breach of cl1 / declaration to INZ concerning advice “for” client not false or misleading / no breach of cl1 or cl31a / failed to personally confirm application lodged and provide timely updates / breach of cl26b / failed to issue invoice / breach of cl22 / retention of invoice not in issue / no breach of cl26aiv / alternative charge of negligence dismissed / complaint partially upheld / sanctions to follow

Professional practice / Immigration Advisers Licensing Act 2007, s442 / Code of Conduct 2014, cl1, cl2e, cl14, cl18a, cl22 and cl26b / HELD / adviser permitted unlicensed agent to perform work required to be undertaken by the licensed adviser (‘rubber stamping’) / fundamental obligation to engage directly and personally / breach of cl2e / no services agreement between adviser and complainant / breach of cl18a / failed to provide evidence of being licensed / breach of cl14 / failed to provide client opportunity to review INZ application / breach of cl1 / declaration to INZ concerning advice “for” client not false or misleading / no breach of cl1 or cl31a / failed to personally confirm application lodged and provide timely updates / breach of cl26b / failed to issue invoice / breach of cl22 / retention of invoice not in issue / no breach of cl26aiv / alternative charge of negligence dismissed / complaint partially upheld / sanctions to follow

Professional practice / Immigration Advisers Licensing Act 2007, s442 / Code of Conduct 2014, cl1, cl2e, cl4a, cl14, cl18a, cl22 and cl26b / HELD / adviser permitted unlicensed agent to perform work required to be undertaken by the licensed adviser (‘rubber stamping’) / fundamental obligation to engage directly and personally / breach of cl2e / no services agreement between adviser and complainant / breach of cl18a / failed to provide evidence of being licensed / breach of cl14 / failed to provide client opportunity to review INZ application / breach of cl1 / declaration to INZ concerning advice “for” client not false or misleading / no breach of cl1 or cl31a / failed to personally confirm application lodged and provide timely updates / breach of cl26b / failed to issue invoice / breach of cl22 / retention of invoice not in issue / no breach of cl26aiv / alternative charge of negligence dismissed / complaint partially upheld / sanctions to follow

Professional practice / Immigration Advisers Licensing Act 2007, s442 / Code of Conduct 2014, cl1, cl2a, cl2e, cl4a, cl8a, cl14, cl18b, cl26b and cl31a / HELD / adviser permitted unlicensed agent to perform work required to be undertaken by the licensed adviser (‘rubber stamping’) / fundamental obligation to engage directly and personally / breach of cl2e / provided false or misleading documentation to INZ concerning provision of advice to client, no evidence of wilful deception / breach of cl31a / forwarded client’s confidential information to unlicensed adviser / breach of cl4a / failed to provide evidence of being licensed and explain all significant matters / breaches of cl14 and cl18b / failed to provide client opportunity to review INZ application / breach of cl1 / failed to confirm application lodged and provide timely updates / breach of cl26b / failed to maintain relationship of confidence and trust / breach of cl2a / failure to facilitate interpreter-translator inapplicable as no engagement with client / no breach of cl2c / rejected explanation that adviser was unable to directly engage with client due to language barrier / breach of cl8a / sanctions to follow

Professional practice / Immigration Advisers Licensing Act 2007, s45, s49, s50 and s51 / Code of Conduct 2014, cl1, cl2e, cl14, cl17 and cl18b / HELD / adviser had little or no direct communication with client / agent could not sign service contract on client’s behalf in absence of disability or other compelling reason / client’s mother’s consent irrelevant / adviser must ensure client personally signs and understands contract / breach of cl18c and cl1 / permitted unlicensed agent to perform work required to be undertaken by the licensed adviser / ‘rubber stamping’ / failed to directly and personally inform the client and obtain informed instructions / breach of cl2e and cl1 / failed to provide evidence of licence to client / recording status as adviser in e-mail signature insufficient / breach of cl14 and cl1 / failed to provide client with summary and explanation of professional responsibilities, complaints procedure and Code / breach of cl17 / complaint upheld / sanctions to follow

Professional practice / Immigration Advisers Licensing Act 2007, s442 / Code of Conduct 2014, cl1, cl2e, cl14, cl18b, cl26aiii, cl26b, cl26c and cl31a / HELD / dishonesty heads of complaint dismissed due to lack of complainant response / insufficient evidence to find written agreement not genuine, but among worst example of record keeping before Tribunal / breach of cl1 partially upheld / unauthorised delegation to adviser; one interview with complainant wholly inadequate / rubber stamping / breach of cl2e / failed to provide evidence of license / breach of cl14 / failed to explain all significant matters / breach of cl18b / no recorded written communications during engagement / breach of cl26aiii and c / failed to confirm application lodged and provide timely updates / breach of cl26b / incorrectly, negligently failed to declare assistance to INZ / breach of cl 1 and 31a / failure to notify INZ of adviser not false or deceptive misrepresentation of client / no breach of cl 29d / sanctions to follow

Professional practice / Immigration Advisers Licensing Act 2007, s442 / Code of Conduct 2014, cl1, cl2e, cl17a, cl17a, cl18b, cl22, cl23, cl26b and cl26c / HELD / adviser permitted an unlicensed agent to perform work required to be undertaken by the licensed adviser (‘rubber stamping’) / Tribunal rejected license’s suggestion that complainant had sought exclusive communication through agent / in any event, complainant’s authorisation would not usurp adviser’s statutory duties / adviser contributed to creating an environment for fraud to be perpetrated / however, no evidence of illegitimate commission received by adviser / failed to directly provide invoice and receipt to complainant / did not confirm in writing to the client when visa application was lodged and approved / complaint partially upheld / sanctions to follow

Sanctions / adviser gave incorrect advice regarding impact of travel on residence visa application / filed application while complainant was overseas / failed to provide draft application to complainant and to fully respond to INZ’s concern / failed to comply with invoice and client fund rules / failure to tell complainant of outcome and provide timely updates / Immigration Advisers Licensing Act 2007, s3, s50, s51 / Code of Conduct 2014, cl1, cl22, cl25a, cl25b, cl25e, cl25f, cl26b / HELD / fifth appearance before Tribunal / lack of, inattention to, or disregard for basic immigration knowledge / advice sought critical to complainant’s circumstances / aggravated by previous disciplinary history / failure to learn from previous disciplinary action / protection of public required / adviser censured / prevented from reapplying for licence for further two years / ordered to pay $5,000 financial penalty / ordered to pay $6,600 in compensation and refund

Sanctions / adviser failed to recognise complainant’s ineligibility for visa / failed to obtain complete file before application / failed to recognise that visa application was futile and to obtain complainant’s written consent / failed to conduct oneself with professionalism, diligence and due care / negligence / Immigration Advisers Licensing Act 2007, s3, s50, s51 / Code of Conduct 2014, cl1, cl9 / HELD / sixth appearance before Tribunal / moderate to serious gravity of offending in totality / wrongdoing occurred prior to training directed by Tribunal arising from separate proceedings / adviser commended for new extensive systems introduced to reduce risk of ‘paperwork’ offending / demonstrated insight into failings by taking practical steps to improve processes / further training not necessary / notwithstanding lack of apology, threshold for suspension not met / adviser censured / ordered to pay $6,000 financial penalty / ordered to pay $4,660 in compensation and refund

Diligence and due care / professional responsibilities and professional practice / Code of Conduct 2014, cl1, cl9b, cl20a, cl24a, cl24b, cl24c, cl25a, cl25f, cl26b / HELD / no breach cl1 / insufficient evidence adviser did not realise complainant’s work experience was ineligible for points under skilled migrant category / breach of cl9b / adviser did not inform complainant of futility of application / no written acknowledgement from complainant of such advice / complainant’s general text message or signature on service agreement insufficient / no breach of cl20a / breach of cl24a / adviser failed to offer refund when services terminated or when complainant requested refund / no breach of cl24b, cl25a and cl25f / adviser entitled to fee in accordance with service agreement / breach of cl26b / adviser tardy in communications with complainant / delays not justified by holiday period and other personal and professional commitments / complaint partially upheld