Ministry of Justice

Sanctions / dviser failed to confirm in writing discussions with client relating to incomplete financial evidence / adviser unprofessionally communicated with tertiary institute following decline of student visa, taking potentially damaging gratuitous ‘swipe’ at client once engagement was terminated / Immigration Advisers Licensing Act 2007, s442 / Code of Conduct 2014, cl1, cl26c / two breaches of Code / adviser’s first appearance before Tribunal / low overall gravity of wrongdoing / adviser accepted disciplinary findings and has since introduced improvements in practice to record and confirm material discussions in writing / adviser cautioned and fined $1,000

Sanctions / adviser failed to disclose in writing to 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 / failed to provide written services agreement / Immigration Advisers Licensing Act 2007, s442 / Code of Conduct 2014, cl5, cl6, cl18a, cl20c / four breaches of professional obligations / adviser’s failure to have written agreement and to properly disclose conflict and obtain client’s consent to continued representation are not minor matters / gravity of the wrongdoing at lower end of moderate spectrum / adviser’s failure to have agreement inadvertent / first appearance in nine years of practice / adviser has made improvements to practice / adviser censured / no training order required given rehabilitative efforts / adviser fined $2,000 

Sanctions / complainant engaged adviser to seek visa for adult daughter / adviser incorrectly advised complainant that the client was beyond the dependence age and could only apply for a visitor, student or work visa / Immigration Advisers Licensing Act 2007, s442 / Code of Conduct 2014, cl1, cl5, cl6, cl19l, cl26f / five failures of five professional obligations / wrongdoing involved undisclosed eligibility for commission for acting as school’s agent / incorrect advice for resident visa eligibility had severe consequences for client / lack of diligence and due care / immaterial that complainant did not follow internal complaints procedure / first appearance / adviser has no insight into wrongdoing, no remorse, and offers no apology / adviser censured / no training order required as adviser relinquished licence / $1,500 financial penalty / adviser ordered to pay $9,145.25 in compensation, reflecting visa and tuition fees, and emotional harm to complainant and client 

Sanctions / adviser failed to lodge complainant’s work visa application and carelessly represented that it had been filed / Immigration Advisers Licensing Act 2007, s442 / Code of Conduct 2014, cl1, cl2e, cl17a, cl17b, cl17c, cl19f, cl19g, cl19h / four heads of complaint involving breach of eight obligations in Code / adviser has acknowledged wrongdoing and made considerable efforts to improve practice / adviser’s medical circumstances provide some explanation but do not justify wrongdoing / third complaint upheld against adviser / adviser censured / no retraining, suspension or cancellation necessary in light of steps taken / adviser fined $2,500 financial penalty / adviser ordered to pay $2,281 in compensation, reflecting costs of visitor visa and emotional distress exacerbated by adviser’s misleading behaviour

Sanctions / adviser failed to respond to client’s text messages and was dilatory in filing visa application / visa application filed more than five months after ascertaining required information / Immigration Advisers Licensing Act 2007, s442 / Code of Conduct 2014, cl1, cl22, cl24a, cl24b, cl24c, cl25a, cl25b, cl25e, cl25f, cl26a, cl26c, cl26d, cl26e, cl28a, cl28c / first appearance before Tribunal / adviser held provisional licence at time of wrongdoing / gravity of wrongdoing at high end of moderate level / unprofessional conduct aggravated by her failure to participate in the disciplinary process / breadth of wrongdoing and lack of participation in disciplinary process necessitate further professional training before return to profession / adviser censured / prevented from reapplying for licence prior to completion of professional development course / ordered to pay $5,000 financial penalty

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