Ministry of Justice

Professional responsibilities and professional practice / Immigration Advisers Licensing Act 2007, s442 / Code of Conduct 2014, cl1, cl15b, cl18, cl26b / Immigration Instructions, I1.5 / adviser dilatory in sending authority form and terms of engagement in urgent immigration circumstances / failed to explain terms of engagement / erroneously advised complainant to await whether interim visa issued, contrary to immigration instructions / could not delegate responsibility to provide accurate advice to INZ contact centre / no evidence of circumstances justifying intervention of Minister in favour of complainant / not required to explain proposed solution following complainant’s termination / fee charged for work undertaken prior to termination was reasonable / discourteous written communications, hanging up on phone call and failure to reply unprofessional / internal complaint process not followed / alternative negligence heads dismissed / complaint partially upheld / sanctions to follow

Professional responsibilities and professional practice / Immigration Advisers Licensing Act 2007, s442 / Code of Conduct 2014, cl14, cl18a, cl18b, cl26c / no evidence of failing to obtain and carry out complainant’s instructions or ‘rubber stamping’ / delegation of work permissible where other licensed adviser identified in written services agreement / unlicensed employee able to perform clerical work / however, adviser, as director of company, entered into services agreement with consultancy firm, rather than client / tripartite contractual relationship resulted in lack of services agreement between adviser and client / failed to provide evidence of being licensed / failed to explain all significant matters in agreement / failed to confirm in writing all material discussions / global fixed fee not unfair or unreasonable / alternative negligence heads dismissed / complaint partially upheld / sanctions to follow

Professional responsibilities and professional practice / rubber stamping / Immigration Advisers Licensing Act 2007, section 44(2) / 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, cl5, cl7, cl14, cl18a, cl26aiii, cl26b, cl26d / adviser failed to maintain direct communications with client, could not communicate through unlicensed agent / did not advise complainant that sponsor employer was husband’s company, continued to lodge visa application notwithstanding conflict / deliberately and dishonestly failed to declare to INZ of her assistance on visa application form / dishonestly presented Authority with services agreement known to be false, containing fake signature from complainant / adviser’s explanation she was unaware of conflict with sponsor employer rejected / employment agreement not genuine as work not bona fide, provision to INZ dishonest / alternative negligence heads dismissed / complaint partially upheld / sanctions to follow

Professional responsibilities and professional practice / adviser deliberately and dishonestly failed to disclose role in two visa applications, but sought to ensure communications were directed to her / Immigration Advisers Licensing Act 2007, s442 / Code of Conduct 2014, cl1 cl5, cl7, cl14, cl18a, cl20a, cl22, cl26c, cl26d / adviser sought to hide involvement in visa applications from INZ due to conflict of interest / deliberately and dishonestly provided false email address for applicants / untruthfully represented existence of two jobs with husband’s company which ultimately formed basis for grant of visa / absence of written services agreements / no provision of evidence of being licensed / failed to provide opportunity to review applications / failed to disclose conflict in writing / no record of written advice / no well-managed filing system / no provision of invoices / withheld services for failure to pay / excessive fees / complaint partially upheld / sanctions to follow

Sanctions / adviser failed to directly engage with client (‘rubber stamping’) or disclose conflict of interest in writing / Immigration Advisers Licensing Act 2007, s442 / Code of Conduct 2014, cl1, cl2e, cl5, cl7, cl14, cl18a, cl26aiii, cl26b, cl26d, cl31a / eight breaches of 10 obligations under Code / direct engagement a fundamental obligation of advisers, failure enabled immigration fraud to occur / failure to use services agreement major departure from expect standards / inadequate written disclosure of conflict of interest serious breach / gravity of wrongdoing at high end of moderate / third appearance before Tribunal / adviser expressed sorry for misconduct but no apology offered / pattern of breaching fundamental professional obligations / adviser censured / need to undertake training reiterated and ordered further / cancellation not warranted in circumstances / suspension ordered pending retraining / ordered to pay $7,000 financial penalty / compensation not sought

Sanctions / adviser breached six professional obligations / had no contact with complainant / permitted unlicensed agent to perform work required to be undertaken by the licensed adviser / 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, cl18b, cl26b / HELD / Tribunal denounces failure to directly engage with client, alongside failure to have written service agreement / three complaints upheld against adviser, treated as second appearance / Tribunal accepts adviser was inexperienced, only holding provisional licence at time of breaches / gravity of wrongdoing at high end of moderate / adviser offered no apology, though acknowledges significance of wrongdoing and has taken comprehensive steps to prevent repeat / adviser 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

Sanctions / adviser failed to directly communicate or engage with client (‘rubber stamping’), breaching seven 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, cl22, cl26aiii, cl26b / eight identical complaints against adviser / direct engagement a fundamental obligation of advisers, failure enabled immigration fraud to occur / serious consequences for client / gravity of wrongdoing at high end of moderate / limited remorse and contrition / no apology offered / lack of direct engagement warrants degree of responsibility for complainant's financial losses / adviser censured / further training unnecessary as adviser has implemented practices to prevent repeat / ordered to pay $3,000 financial penalty / compensation of $1,700 and $800 refund to complainant as a modest contribution towards loss and wasted expense

Sanctions / adviser failed to directly communicate or engage with client, breaching seven 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, cl22, cl26aiii, cl26b / HELD / eight identical complaints against adviser / direct engagement a fundamental obligation of advisers, failure enabled immigration fraud to occur / serious consequences for client / failure to have written services agreement with client a major departure from expected standards / gravity of wrongdoing at high end of moderate / limited remorse / adviser censured and Tribunal denounces breaches of Code / further training unnecessary as adviser has implemented practices to prevent repeat / ordered to pay $4,000 financial penalty

Sanctions / adviser failed to directly communicate or engage with client, breaching six 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, cl22, cl26b/ HELD / eight identical complaints against adviser an aggravating factor / direct engagement a fundamental obligation of advisers, failure enabled immigration fraud to occur / serious consequences for client / failure to have written services agreement with client a major departure from expected standards / gravity of wrongdoing at high end of moderate / limited remorse / adviser censured and Tribunal denounces breaches of Code / further training unnecessary as adviser has implemented practices to prevent repeat / ordered to pay $4,000 financial penalty

Professional responsibilities and professional practice / rubber stamping / adviser failed to directly engage with client or disclose conflict of interest in writing / Immigration Advisers Licensing Act 2007, s442 / Code of Conduct 2014, cl1, cl2e, cl5, cl7, cl14, cl18a, cl26aiii, cl26b, cl26d, cl31a / adviser doubted client personally signed documents, not professional or diligent to submit them to INZ without checking / failed to communicate directly with client, including providing a written services agreement, evidence of licence, visa application lodgement, or ongoing updates / rubber stamping / required to personally engage with client / inadequate written disclosure of conflict of interest about adviser’s husband offering employment / general broad disclosure insufficient, must specify nature of conflict / failed to maintain copies of communications with agent / complaint partially upheld

Sanctions / adviser failed to directly communicate or engage with client, breaching seven 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, cl22, cl26aiii, cl26b / HELD / eight identical complaints against adviser / first appearance before Tribunal / direct engagement a fundamental obligation of advisers, failure enabled immigration fraud to occur / serious consequences for client / failure to have written services agreement with client a major departure from expected standards / gravity of wrongdoing at high end of moderate / no real remorse / adviser censured and Tribunal denounces breaches of Code / further training unnecessary as adviser has implemented practices to prevent repeat / ordered to pay $4,000 financial penalty

Sanctions / adviser failed to directly communicate or engage with client, breaching nine professional obligations / client wound up as a victim of immigration fraud  / Immigration Advisers Licensing Act 2007, s3, s50, s51 / Code of Conduct 2014, cl1, cl2a, cl2e, cl4a, cl8a, cl14, cl18b, cl 26b, cl31a / HELD / two identical complaints against adviser / in essence, second appearance before Tribunal / serious consequences for client / wrongdoing at higher end of moderate in terms of gravity / adviser readily acknowledged wrongdoing and shows genuine remorse / adviser censured and Tribunal denounces lack of direct communication / further training unnecessary as adviser understands obligation to communicate directly with clients / ordered to pay $5,000 financial penalty