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874 items matching your search terms

  1. [2023] NZIACDT 18 - XX v Xu (1 June 2023) [PDF, 132 KB]

    Sanctions / adviser overlooked aspect of INZ letter and provided erroneous advice, failed to read decline letter and did not provide adequate advice / failed to promptly forward decline letter after discovering it / failed to explain Code of Conduct or complaints procedure when entering service agreement / did not amend or provide new agreement for s 61 request / failed to confirm material discussions in writing / Immigration Advisers Licensing Act 2007, s3, s50, s51 / Code of Conduct 2014, cl1, cl17a, cl17b, cl17c, cl18a, cl26c / HELD / first appearance before Tribunal / adviser’s misconduct caused significant stress and loss / modest damages for stress awarded in appropriate cases / high legal fees not recoverable as reasonable compensation / adviser cautioned / ordered to pay $1,000 financial penalty having regard to clean record, acknowledgement, apology and compensation / compensation of $4,893 awarded for stress, adviser’s compensation offer, s 61 fee and reasonable legal fees
  2. [2023] NZIACDT 17 - NG v Murthy (24 May 2023) [PDF, 227 KB]

    Sanctions / adviser failed to request client file from INZ / failed to provide client with opportunity to review s61 requests prior to lodgment / failed to provide written agreement for second s61 request / Immigration Advisers Licensing Act 2007, s3, s50, s50A, s51 / Code of Conduct 2014, cl1, cl18a / HELD / third appearance before Tribunal / fourth complaint recently upheld / adviser’s failings not an isolated incident but misconduct occurred before Tribunal’s prior decisions / adviser’s disciplinary history shows a pattern of misconduct that continued over a prolonged period / protecting and properly informing a client involves ensuring there is a written contract and the client is aware of what is happening / medical evidence gives context but not a justification for wrongdoing during relevant period / adviser’s misconduct is not of itself serious / acknowledges professional failings / adviser censured / ordered to pay $2,000 financial penalty / ordered to refund fees of $2,200.
  3. [2023] NZIACDT 16 - WS v Lawlor (9 May 2023) [PDF, 234 KB]

    Sanctions / misleading behaviour / gave false reasons for delay, misleading complainant that NZQA assessment had been filed / filed an incomplete application and filed other applications not in a timely manner / failed to provide timely updates, invoices, a new or amended written agreement, and satisfy refund obligations / Immigration Advisers Licensing Act 2007, s3, s17, s19, s50, s51 / Code of Conduct 2014, cl1, cl18a, cl22, cl24b, cl24c, cl25a, cl25e, cl25f, cl26b / HELD / second appearance before Tribunal / serious misconduct given deceit / health deterioration provides context but not a justification / adviser acknowledged wrongdoing and has not renewed licence / adviser censured / no training ordered as unlikely to return to profession / suspension unnecessary / $3,000 financial penalty, given totality of sanctions and some priority to compensation / no evidence further refund required / compensation of $2,000 awarded for distress
  4. [2023] NZIACDT 15 - TC v MacLeod (1 May 2023) [PDF, 136 KB]

    Sanctions / adviser failed to ensure he had sufficient knowledge of complainant’s business plan sales forecast, failed to provide estimate of time in written agreement, failed to ensure fees charged were fair and reasonable, failed to work in a manner that did not unnecessarily increase fees, blamed complainant and INZ for own wrong advice, falsely claimed INZ gave wrong advice / Immigration Advisers Licensing Act 2007, s3, s50, s50A, s51 / Code of Conduct 2014, cl1, cl19f, cl20a, cl20b / HELD / first appearance before Tribunal / adviser committed significant blunder as regards the business plan sales forecast / adviser’s mistake had significant personal effect on complainant and family, but important to consider that second residence application was successful / adviser accepts wrongdoing, but no apology / adviser censured / ordered to pay $2,000 financial penalty having regard to multiple breaches, acknowledgement, no apology and significant effect on complainant and family
  5. [2023] NZIACDT 14 - II v Sun (26 April 2023) [PDF, 118 KB]

    Professional responsibilities and professional practice / Code of Conduct 2014, cl2e, cl3c, cl19a, cl26aiii, cl26c / HELD / breach of cl2e & cl3c / adviser failed to personally advise the complainant and obtain instructions, permitted unlicensed staff to give immigration advice to complainant who performed work beyond merely clerical work / adviser has obligation to provide explanation to Tribunal and, if not, adverse inference can be drawn / breach of cl19a / adviser failed to specify name and licence number in written service agreement / complaint upheld
  6. [2023] NZIACDT 13 - OT v Ramos (24 April 2023) [PDF, 174 KB]

    Diligence and due care / adviser failed to lodge visa application before category closed / Immigration Advisers Licensing Act 2007, s442, s50, s51 / Code of Conduct 2014, cl1, cl2e, cl18a, cl26b, cl26c / HELD / breach of cl1 / adviser accepts she missed deadline for lodging application by overlooking client’s instructions / breach of cl18a / did not amend or provide new service agreement covering Ministerial request / breach of cl26c / did not confirm advice in writing regarding steps to take once deadline was missed / adviser given benefit of the doubt she obtained instructions to make Ministerial request / incapacity / short periods in hospital & recuperating at home does not amount to incapacity / medical evidence shows health did not cause failure to meet deadline / complaint partially upheld 
  7. [2023] NZIACDT 12 - XX v Xu (13 April 2023) [PDF, 252 KB]

    Diligence and due care / Immigration Advisers Licensing Act 2007, s442 / Code of Conduct 2014, cl1, cl17a, cl17b, cl17c, cl18a, cl26c / HELD / breaches of cl1 lacking diligence and due care / adviser overlooked aspect of PPI letter and provided erroneous advice / also failed to check a communication from INZ, which was a decline letter / was not able to provide adequate advice on options as decline letter was missed / failed to promptly forward on decline letter after discovering it had been received / breach of cl17a, cl17b, cl17c / failed to provide or explain Code of Conduct when entering service agreement or provide internal complaints procedure / breach of cl18a / did not amend or provide new service agreement covering additional s61 request / breach of cl26c / did not confirm material discussions in writing / would have been particularly helpful to set out consequences of declined visa / complaint upheld
  8. [2023] NZIACDT 11 - SM v Kim (6 April 2023) [PDF, 192 KB]

    Sanctions / adviser bundled recruitment and immigration services together, and failed to appreciate professional obligations would apply to recruitment services / written agreement did not set out full description of recruitment services or fees / Immigration Advisers Licensing Act 2007, s3, s50, s51 / Code of Conduct 2014, cl19e, cl19f / HELD / first appearance before Tribunal / breaches were an honest mistake, and adviser acknowledges wrongdoing and has learned a lesson / it is important that written agreement covers entire services and specifies the fee / size of the fee ($18,805) is a material factor, but the client was advised of the fee before signing agreement / adviser censured / ordered to pay $500 financial penalty in light of acknowledgement and clean disciplinary record
  9. [2023] NZIACDT 9 - WS v Lawlor (23 March 2023) [PDF, 318 KB]

    Misleading behaviour / diligence and due care / professional practice requirements / Immigration Advisers Licensing Act 2007, s442 / Code of Conduct 2014, cl1, cl18a, cl22, cl24b, cl24c, cl25a, cl25e, cl25f, cl26b / HELD / adviser misled complainant into believing an NZQA assessment had been filed, giving false reasons for delays / behaviour not explained by confusion or deterioration in health / also, admits failing to forward INZ emails, breach of cl26b / filed incomplete application & failed to advise that lodgement had failed, and failed to file EOI in a timely manner & provide timely updates, breaches of cl1 and cl26b / failed to provide written agreement covering new work, breach of cl18a / admits he did not issue invoices for fees & delayed refund due to financial difficulties before funds were payable, breach of cl22, cl24b, cl25a, cl25e, cl25f, cl24c / complaint upheld
  10. [2023] NZIACDT 8 - BC v Murthy (22 March 2023) [PDF, 236 KB]

    Adviser failed to uphold numerous professional practice requirements / Immigration Advisers Licensing Act 2007, s442 / Code of Conduct 2014, cl24c, cl25a, cl25e, cl26b, cl26c, cl26d, cl26e, cl28b / HELD / adviser’s health is not material for liability decision / failed to promptly provide a refund after client terminated services, breach of cl24c / admits refusing refund before funds were payable and failed to recognise they remain the client’s property, breach of cl25a & cl25e / admits failing to provide complete file to IAA within deadline, which was missing emails, breach of cl26e /did not have a well-managed filing system, breach of cl26d / failed to confirm in writing material discussions about visa eligibility, breach of cl26c / failed to inform in writing when EOI was lodged and provide written updates, breach of cl26b / failed to inform INZ she was no longer representing the complainant, breach of cl28b / complaint substantially upheld
  11. [2023] NZIACDT 7 - EQ v McCarthy (20 March 2023) [PDF, 205 KB]

    Sanctions / adviser submitted EOIs without instructions and failed to communicate with INZ or the client for long periods / lacked diligence and due care / nine unprofessional acts breaching 10 Code provisions / Immigration Advisers Licensing Act 2007, s3, s50, s51 / Code of Conduct 2014, cl1, cl2a, cl2e, cl15b, cl24c, cl26b, cl26e, cl26f, cl27b, cl28c / HELD / second appearance before Tribunal, with prior decision involving dishonest or misleading behaviour / ill-health an important mitigating factor / has not renewed licence / no submissions on sanctions from complainant or adviser despite extensions / adviser censured / ordered to pay $4,000 financial penalty, having regard to breaches, disciplinary record and health / no submissions as to a fair and reasonable refund for service fee and the Tribunal declines to speculate / $5,070 refund ordered for application fees not incurred / no compensation sought by complainant
  12. [2023] NZIACDT 10 - NG v Murthy (15 March 2023) [PDF, 217 KB]

    Diligence and due care / Immigration Advisers Licensing Act 2007, s442, s50, s51 / Code of Conduct 2014, cl1, cl18a, cl26f / HELD / breaches of cl1 / adviser failed to request INZ file and missed adverse information / explanation about time-sensitive nature of application must be seen in context of delay in filing / also, failed to provide client with opportunity to review submissions / in urgent cases, may not be practical for client to review a draft, but given delays, submissions could have been reviewed / breach of cl18a / adviser accepts she did not provide a written agreement for a second s61 request / no answer that no fee was charged / no breach of cl26f / provided new adviser with file and provided further information on request / not required to also send file to subsequent advisers or provide file notes under cl26f / any failure to send full file not sufficiently serious to justify disciplinary response as new adviser did not seek further disclosure
  14. [2023] NZIACDT 5 - SM v KIM (15 February 2023) [PDF, 253 KB]

    Adviser failed to set out a full description of the services to be provided & the fees for those services in a written agreement / Immigration Advisers Licensing Act 2007, s7, s442, s50, s51 / Code of Conduct 2014, cl19e, cl19f, cl20a, cl22 / Immigration New Zealand (Calder) v Cleland [2019] NZIACDT 25 / HELD / adviser provided immigration advice and employment recruitment services to complainant in parallel without separation / in the absence of separation, the adviser’s professional obligations extend to the recruitment services / breach of cl19e and cl19f for failing to include description of recruitment services and associated fee information in written agreement / invoice provided did not contain a full description of recruitment services, but would not warrant disciplinary action / complainant’s narrative that recruitment services were not provided is rejected as false / complaint fee not fair and reasonable dismissed as no evidence provided of a reasonable fee
  15. [2023] NZIACDT 4 – TC v MacLeod (7 February 2023) [PDF, 210 KB]

    Diligence and due care / Immigration Advisers Licensing Act 2007, s442, s50, s51 / Code of Conduct 2014, cl1, cl19f, cl20a, cl20b / HELD / adviser failed to exercise diligence and due care by not sufficiently knowing forecasted revenue figure in business plan & incorrectly asserting he had a written confirmation of the wrong figure from INZ or that INZ had not referred to the correct figure previously / not professional or respectful in blaming complainant and INZ for his wrong advice / Tribunal does not accept adviser was dishonest, rather he lacked due care / adviser admitted failure to provide an estimate of time in written agreement when required by cl19f / fees charged not reasonable and time spent getting up to speed resolving the revenue discrepancy cannot be justified / complaint partially upheld    
  16. [2023] NZIACDT 3 - MT v LL (2 February 2023) [PDF, 203 KB]

    Registrar filed complaint / dishonest and misleading behaviour / adviser suggested complainant look for another job while waiting for his work visa to be approved / adviser proposed complainant obtain a variation or a new visa to support the new job / adviser failed to inform INZ that complainant no longer possessed a legitimate offer of employment from the employer / Immigration Advisers Licensing Act 2007, s442, s452, s453, / Code of Conduct 2014, cl1, cl31a / complainant expressly asked adviser not to withdraw visa application / complainant was hoping to solve the problem with training / resolution of employment dispute, through retraining, was a reasonable option for the adviser to have in mind / advice about seeking new job was intended as plan b if no resolution was reached / adviser unaware of complainant’s resort to an exploitation visa / no dishonesty or misleading behaviour / no lack of due diligence or care / complaint dismissed
  17. [2023] NZIACDT 1 - NI v Chak (5 January 2023) [PDF, 279 KB]

    Failed to provide invoices prior to receiving payment / Immigration Advisers Licensing Act 2007, s442, s50, s51 / Code of Conduct 2014, cl16a, cl22, cl26aii, cl26aiii / HELD / adviser did not provide invoices before or at the time of payment / insufficient to rely on contract and other communications allowing invoice to be constructed, without providing invoice itself / being away on travel does not excuse compliance with cl22 / further grounds of complaint dismissed / no evidence adviser deliberately or misleadingly withheld decline letter / no breach of cl16a as in-person meeting was not the initial consultation / videoconference or texts could amount to initial consultation / no breach of cl26aii or cl26aiii as these clauses do not require the creation of material that does not exist / complaint partially upheld
  18. [2023] NZIACDT 2 - DD v Pabellon (5 January 2023) [PDF, 204 KB]

    Sanctions / adviser lacked due care and diligence in submitting a hopelessly flawed EOI and residence application / Immigration Advisers Licensing Act 2007, s3, s50, s51 / Code of Conduct 2014, cl1 / HELD / first appearance before Tribunal / adviser cautioned / moderate misconduct / ordered to pay $1,000 financial penalty given early acknowledgment of error and offer of full refund / adviser acknowledges full refund (including INZ application fees) of $6,450 appropriate / compensation claim for time spent organising application not upheld as not particularised or evidenced / compensation not awarded as a matter of course, and no evidence submitted establishing abnormal stress
  19. [2022] NZIACDT 29 - EQ v McCarthy (19 December 2022) [PDF, 322 KB]

    Diligence and due care / adviser failed to maintain client’s confidence and trust / ceased engaging, did not carry out instructions & did not appropriately withdraw from providing services / filed incomplete EOIs without instructions or written agreement & did not provide updates / did not provide client file to new adviser or IAA / failed to follow internal complaints procedure & provide fair and reasonable refund / Immigration Advisers Licensing Act 2007, s442, s50, s51 / Code of Conduct 2014, cl1, cl2a, cl2e, cl15b, cl24c, cl26b, cl26e, cl26f, cl27b, cl28c / HELD / psychologist’s report on adviser does not evidence complete inability to act, could have advised client to seek alternative assistance / ill-health not a defence in this case but will mitigate sanctions / required to obtain instructions and express written approval for each immigration application / should have refunded fair and reasonable amount when ceasing services / complaint upheld
  20. [2022] NZIACDT 30 - ZK v Li (19 December 2022) [PDF, 200 KB]

    Sanctions / adviser failed to confirm oral advice in writing regarding risks of application / Immigration Advisers Licensing Act 2007, s3, s50, s51 / Code of Conduct 2014, cl26c / HELD / first appearance before Tribunal / adviser accepted breach of cl26c / evidence shows adviser raised risks orally / adviser cautioned, censure not warranted / compensation & refund for declined application not caused by absence of written confirmation of risk, declined
  21. [2022] NZIACDT 28 - DD v Pabellon (15 November 2022) [PDF, 205 KB]

    Diligence and due care / adviser lacked due care and diligence in submitting a hopelessly flawed EOI and residence application / Immigration Advisers Licensing Act 2007, s442, s50, s51 / Code of Conduct 2014, cl1 / HELD / adviser concedes she breached cl1 / complainant could not satisfy English language criterion using uncompleted qualification & employment did not meet requirements as it was for less than 12 months / counsel’s characterisation as a one-off event at lower end of spectrum not accepted / two glaring errors, made twice / adviser is responsible for any mistakes by her staff and should have assessed the application itself / complaint upheld
  22. [2022] NZIACDT 27 - ZK v Li (8 November 2022) [PDF, 212 KB]

    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
  23. [2022] NZIACDT 26 — DA v Ji (8 November 2022) [PDF, 121 KB]

    Sanctions / failed to disclose a conflict of interest in writing and obtain written consent, failed to maintain a client file with copies of all written and oral communications, and failed to make file available to IAA / Immigration Advisers Licensing Act 2007, s3, s50, s51 / Code of Conduct 2014, cl5, cl6, cl26aiii, cl26e / most serious breach was failure to disclose conflict in writing and obtain client’s written consent; mitigated by verbal disclosure of conflict / five previous complaints upheld / poor disciplinary history is a significant aggravating feature / adviser censured / public require protection / adviser prevented from reapplying for licence for maximum two years / ordered to pay $2,000 financial penalty / costs claimed for compensation not caused by upheld breaches, declined
  24. [2022] NZIACDT 25 - CT v Nandan - Sanctions (3 October 2022) [PDF, 193 KB]

    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
  25. [2022] NZIACDT 24 - DA v Ji (20 September 2022) [PDF, 173 KB]

    Conflict of interest & failed to maintain a client file / Immigration Advisers Licensing Act 2007, s 442 / Code of Conduct 2014, cl3a, cl5, cl6, cl26aiii, cl26e / HELD / complaint adviser facilitated payment of employment premium not proven, conflicting evidence about purpose of payment / breach of cl5 & cl6 / adviser was also a director of the restaurant employing the complainant but did not disclose the conflict in writing or obtain written consent / breach of cl26aiii & cl26e / client file contained limited communications with complainant and none with their employer, and adviser did not provide the same to the IAA / complaint partially upheld