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872 items matching your search terms

  1. [2024] NZIACDT 12 – RN v Li (14 March 2024) [PDF, 185 KB]

    Sanctions / adviser failed to confirm in writing details of material verbal discussions with complainant / Code of Conduct 2014, cl26c / HELD / first appearance before Tribunal / failure to confirm in writing numerous claimed verbal discussions with complainant not a trivial breach / written confirmation is important not just for record keeping but to assist clients in fuller understanding of verbal advice / wrongdoing at higher end of low in terms of gravity / credit for clean disciplinary history / adviser cooperated in Tribunal’s earlier process and admitted wrongdoing, but has not engaged in respect of sanctions / no remorse or apology / no compensation as adviser’s wrongdoing did not cause any expenses or loss to complainant / adviser censured / ordered to pay $1,000 financial penalty
  2. [2024] NZIACDT 10 – MM v Ma (12 March 2024) [PDF, 114 KB]

    Sanctions / adviser provided misleading advice / refused to respond to client’s concerns / failed to disclose conflict of interest and obtain written consent to continue representing client / charged excessive fee / failed to provide full description of services and fee / failed to send invoice describing service / failed to provide complaints procedure / Code of Conduct 2014, cl1, cl5, cl6, cl17c, cl19e, cl19f, cl20a, cl22 / HELD / first appearance before Tribunal / higher end of moderate level misconduct / failure to disclose conflict most serious / acknowledgement of wrongdoing undermined by criticising client for not raising concern / does not appreciate why conflicts must be disclosed / excessive fees noteworthy / can only charge lower reasonable fee disclosed in service contract / credit for accepting decision and apology / no remorse to client / adviser censured / directed to undertake training / ordered to pay $5,000 financial penalty / ordered to refund fees of $19,061 within one month of decision
  3. [2024] NZIACDT 11 - UT v Lawlor (11 March 2024) [PDF, 103 KB]

    Sanctions / adviser failed to respond to client’s request to check application status herself / failed to provide invoice describing services / failed to maintain client file and filing system / failed to make records available on request by Authority / failed to make updates about visa application and inform client about INZ request for evidence / failed to inform INZ his licence expired and that he could no longer represent client and her partner / failed to inform client and partner his licence expired and advise where to get assistance / Code of Conduct 2014, cl1, cl22, cl26a, cl26b, cl26d, cl26e, cl28b, cl28c / HELD / fourth appearance before Tribunal / adviser’s communications with INZ, client and her partner were unprofessional / conduct exacerbated by disciplinary history and failure to engage with Authority or Tribunal / no apology / no insight into wrongdoing / adviser censured / prevented from reapplying for licence for two years / ordered to pay $7,000 financial penalty
  4. [2024] NZIACDT 09 – ZR v Kim (4 March 2024) [PDF, 98 KB]

    Sanctions / adviser failed to personally obtain instructions from client / failed to provide verbal explanation of professional responsibilities and significant matters in client agreement / Code of Conduct 2014, cl2e, cl17b, cl18b / HELD / second appearance before Tribunal / personal engagement with client is critical to ensure client is properly advised, understands the advice, and that instructions from client are informed / gravity of offending at lower level of medium / adviser accepts Tribunal’s decision and has learned a lesson for future work / multiple breaches of the Code in two complaints show lack of understanding of client engagement, particularly early in the relationship / adviser would benefit from further training / adviser censured / directed to undertake training / ordered to pay $1,500 financial penalty
  5. [2024] NZIACDT 08 - MT v Murthy (21 February 2024) [PDF, 127 KB]

    Sanctions / adviser’s service contract omitted details of second adviser and payment terms / refund clause did not comply with Code / mismanaged client funds / failed to provide file notes in client file / failed to confirm material discussions / failed to manage filing system / failed to ensure visa application documents were correct and complete / Code of Conduct 2014, cl1, cl19a, cl19i, cl24a, cl25a, cl25b, cl25e, cl25f, cl26aiii, cl26c, cl26d / HELD / fifth appearance before Tribunal / gravity of wrongdoing at higher end of moderate given high number of breaches / mismanagement of client funds most serious breaches, but no deceit / no training as adviser recently completed training and wrongdoing occurred before training undertaken / Tribunal cannot ignore systemic wrongdoing / partial refund due to breadth of failures / no compensation as adviser’s conduct did not cause declined visa / adviser censured / ordered to pay $6,000 financial penalty / ordered to refund fees of $1,438
  6. [2024] NZIACDT 07 – MM v Ma (30 January 2024) [PDF, 203 KB]

    Diligence and due care / conflict of interest / professional responsibilities and professional practice / Immigration Advisers Licensing Act 2007, s442d / Code of Conduct 2014, cl1, cl2c, cl5, cl6, cl15, cl17c, cl18b, cl19e, cl19f, cl20a, cl22, cl29e, cl29f / HELD / no breach of s442d, cl29e, cl29f / no intent to deceive / breach of cl1 / failed to inform client switching jobs required INZ assessment / refused to respond to complaint about fee / no breach of cl2c / no evidence client required translation / breach of cl5, cl6 / failed to disclose relationship with employer that adviser promoted to client / breach of cl17c / no complaints procedure / no breach of cl18b / explanation to client given / breach of cl20a / fee included services beyond immigration services / additional services should be under separate company, agreement and fee / fee grossly excessive / breach of cl19e, cl19f, cl22 / failed to provide full description of services, fee and invoices / complaint partially upheld
  7. [2024] NZIACDT 06 ZR v Kim (23 January 2024) [PDF, 240 KB]

    Diligence and due care / professional responsibilities and professional practice / Code of Conduct 2014, cl1, cl2e, cl17a, cl17b, cl17c, cl18a, cl18b, cl20a / HELD / no breach of cl1 / best practice is to send draft visa application to client before filing with INZ, but adviser made no errors / breach of cl2e / failed to personally obtain instructions from complainant / cannot delegate obligation to complainant’s unlicensed agent / adviser must personally undertake and control client engagement from commencement until end / no breach of cl17a, cl17c / complainant confirmed receipt of required documents / no breach of cl18a / client received service agreement from adviser, albeit indirectly / breach of cl17b, cl18b / written explanation of summary of professional responsibilities and significant matters in agreement not sufficient / adviser must provide explanation personally and verbally / no breach of cl20a / $4,000 fee high, but not unfair or unreasonable / complaint partially upheld
  8. [2024] NZIACDT 05 - UT v Lawlor (18 January 2024) [PDF, 148 KB]

    Diligence and due care / professional practice / Code of Conduct 2014, cl1, cl22, cl26a, cl26b, cl26d, cl26e, cl28b, cl28c / HELD / breach of cl1 / adviser withheld from complainant information about how to check status of visa application herself despite two requests / breach of cl22 / failed to issue invoice to complainant upon payment of adviser’s fees / breach of cl26a, cl26d, cl26e / failed to send complainant’s file to Authority despite multiple requests, and has not shown he had a file or a well-managed filing system / breach of cl26b / failed to make timely updates as to status of visa application and failed to inform complainant of request from INZ for more evidence / breach of cl28b / failed to inform INZ that adviser’s licence expired and could no longer represent complainant and her partner / breach of cl28c / failed to advise complainant and her partner about expired licence and where they could get assistance / complaint upheld
  9. [2024] NZIACDT 03 – MT v Murthy (11 January 2024) [PDF, 160 KB]

    Diligence and due care / confidentiality / professional practice / Code of Conduct 2014, cl1, cl4a, cl19a, cl19i, cl24a, cl25b, cl25e, cl25f, cl26aiii, cl26b, cl26c, cl26d / HELD / breach of cl1 / admits submitting incomplete and incorrect documents to INZ / no breach of cl4a / sending other clients’ files to Authority during investigation not a breach of confidentiality / breach of cl19a / admits failing to write in service contract name and licence number of second adviser who gave advice / breach of cl19i / admits failing to set out payment terms in contract / breach of cl 24a / admits refund clause not compliant with Code / breach of cl25b, cl25e, cl25f / admits failing to keep advance payment in separate client account and using it for private purposes / breach of cl26aiii, cl26c, cl26d / admits failing to keep file notes, confirm material discussions and maintain well-managed file system / no breach of cl26b / evidence shows regular communication with client / complaint upheld
  10. [2024] NZIACDT 02 - NS v Registrar (8 January 2024) [PDF, 157 KB]

    Appeal against Registrar rejecting complaint / adviser lacked diligence in assessing client’s fabricated qualifications when introducing client to complainant for employment / acted despite conflict of interest / Registrar rejected complaint on basis it did not disclose any statutory grounds of complaint / Immigration Advisers Licensing Act 2007, s7 / HELD / complainant employer not a client of adviser for purposes of Act / client’s evidence does not support complainant / evidence concerning client and adviser suspicious, but does not link wrongdoing of client to adviser / INZ verified qualifications as genuine / client and her agent represented qualifications as genuine / full investigation unlikely to uncover evidence of wrongdoing by adviser due to passage of time and client and agent residing overseas and being unlikely to co-operate / conflict of interest complaints fail as no evidence that client did not know of additional payments to adviser or agent / appeal rejected
  11. [2024] NZIACDT 01 RN v Li (8 Janurary 2024) [PDF, 268 KB]

    Professional practice / Immigration Advisers Licensing Act 2007, s442 / Code of Conduct 2014, cl1, cl2e, cl3c, cl26c / HELD / breach of cl26c / adviser accepts he failed to confirm details of material discussions in writing with complainant / no breach of cl1, cl2e, cl3c / credibility / whether adviser had asserted discussions with complainant and used an unlicensed agent (rubber stamping) / neither complainant nor adviser found to be entirely truthful / Tribunal not in a position to find asserted discussions did not occur given unreliable nature of important aspects of complainant’s narrative / complaint partially upheld
  12. [2023] NZIACDT 29 - DT v Li (11 December 2023) [PDF, 111 KB]

    Sanctions / adviser failed to provide client an opportunity to review s61 requests before lodgement, failed to indicate whether second s61 request was likely to be futile and advise of risks, and failed to have second written agreement for second s61 request / Immigration Advisers Licensing Act 2007, s3, s50, s51 / Code of Conduct 2014, cl1, cl9a, cl9b, cl18a / HELD / first appearance before Tribunal / gravity of offending at lower end of moderate / adviser accepted all wrongdoing early / has made changes to her practice, so a repeat of conduct is unlikely / adviser has been mature and professional in disciplinary process / fee paid for second s61 request wasted / professional obligations breached are important safeguards to clients / breach had no implications for client as adviser’s mistakes did not cause client’s unlawful status or financial loss / compensation therefore not appropriate / adviser censured / ordered to pay $1,500 financial penalty / ordered to refund fees of $920
  13. [2023] NZIACDT 28 – YI v MM (8 November 2023) [PDF, 161 KB]

    Diligence and due care / professional responsibilities and professional practice / Code of Conduct 2014, cl1, cl2e, cl17b, cl26c / HELD / no breach of cl1 / INZ wrongly declined complainant’s partnership resident visa application as it failed to assess evidence of relationship being maintained during brief period of separation / adviser failed to advise complainant the risk of separation to satisfying ‘living together’ criterion / however, adviser did identify risk of decline from separation / no breach of cl2e / adviser adequately informed complainant of key risk of separation / any breach not sufficient to justify disciplinary response / no breach of cl17b / best way to facilitate client access to Code is to provide hard or electronic copy / however, cl17b only requires advice on how to access Code / adviser’s offer to provide copy of Code upon request sufficient / no breach of cl26c / Registrar did not identify any material discussions not confirmed in writing / complaint dismissed
  14. [2023] NZIACDT 27 BT v Li (2 November 2023) [PDF, 209 KB]

    Diligence and due care / professional responsibilities and professional practice / Code of Conduct 2014, cl1, cl9a, cl9b, cl17b, cl18a / HELD / breach of cl1 / admits failing to provide client with opportunity to review s61 requests before lodgement / client entitled to check accuracy and sufficiency of completed applications prior to lodgement / breach of cl9 / admits failing to indicate whether second s61 request was likely to be futile and notify client of such risks / second application traversing the same grounds as those recently dismissed is futile / no breach of cl17b / best way to facilitate client access to Code is to provide hard or electronic copy / however, cl17b only requires advice on to access Code / adviser’s offer to provide copy of Code upon request satisfies cl17b / breach of cl18a / admits failing to have second written agreement in place for lodging second s61 request / second request was additional service requiring another agreement / complaint upheld
  15. [2023] NZIACDT 26 - BL v Registrar (10 October 2023) [PDF, 241 KB]

    Appeal against Registrar rejecting complaint / complaint adviser made misleading claim about contacting INZ, had no authority to work on complainant’s behalf, gave incorrect advice, and communicated poorly with complainant / Registrar rejected complaint on basis it did not disclose any statutory grounds of complaint / Immigration Advisers Licensing Act 2007, s442, s451, s54 / Code of Conduct 2014, cl1, cl16, cl18, cl19b / HELD / file evidences breach of cl1 / adviser gave incorrect advice on material matter that complainant could be issued second interim visa / adviser’s obligations continued when complainant asked for authority form and contract / adviser’s emails show evidence of unprofessional communications / other heads of complaint not established / appeal allowed
  16. [2023] NZIACDT 25 – ED v Dai - Sanctions (25 September 2023) [PDF, 136 KB]

    Sanctions / adviser failed to personally advise and obtain instructions from complainant, permitted unlicensed staff to exclusively engage with complainant and give immigration advice / Immigration Advisers Licensing Act, s3, s50, s51 / Code of Conduct, cl2e, cl3c, cl26c / HELD / first appearance before Tribunal / gravity of offending is moderate / duty to fully engage with clients is fundamental, but conduct not amongst worst type of rubber stamping as adviser did much of the substantive work / admission of wrong not fulsome as adviser perpetuated untruthful narrative of engaging with complainant / immigration pathway complainant was advised to follow was futile / no compensation for stress as complainant’s uncertain immigration status not caused by adviser’s failures / tour and tuition fees too remote to be awarded / adviser censured / directed to undertake training / ordered to pay $2,500 financial penalty / compensation of $7,716 awarded for wasted direct application expenses
  17. [2023] NZIACDT 24 WN v Lawlor (25 August 2023) [PDF, 207 KB]

    Sanctions / adviser failed to fulfil client’s requests for return of documents and fee after terminating instructions / Immigration Advisers Licensing Act 2007, s3, s50, s51 / Code of Conduct, cl1, cl24b, cl24c, cl27b / HELD / third appearance before Tribunal / adviser neither honest nor professional / not first time adviser found to have lacked integrity / poor disciplinary record a significant aggravating factor / medical evidence provided in earlier complaint provides some context but not a justification for misleading client or breaching professional obligations / conduct comprises misconduct at higher end of spectrum as it involved intentional deceit of client over extended period / Tribunal has no power to order return of documents / financial penalty would be higher if refund was not directed / adviser censured / prevented from reapplying for licence for maximum period of two years / ordered to pay $7,000 financial penalty / ordered to refund fees of $3,495
  18. [2023] NZIACDT 23 – ED v Dai (11 August 2023) [PDF, 245 KB]

    Professional responsibilities and professional practice / conflict of interest / Immigration Advisers Licensing Act 2007, s7, s442, s45, s49, s50, s51 / Code of Conduct 2014, cl2e, cl3c, cl5, cl6, cl26aiii, cl26c / HELD / breach of cl2e & cl3c / adviser failed to personally advise and obtain instructions from complainant, permitted unlicensed staff to exclusively engage with complainant and give immigration advice / adviser obliged to ensure unlicensed staff do not perform immigration advice work, warning not to undertake such work insufficient / adviser likely received via staff complainant’s oral consent to obtain INZ file / breach of cl26c / did not confirm in writing complainant’s discussion of material immigration matters with staff, adviser should have sent letter or text even if complainant had no email address / no breach of cl5 & cl6 / no evidence adviser received commission for referring complainant to English school / complaint partially upheld
  19. [2023] NZIACDT 22 - OT v Ramos (27 June 2023) [PDF, 150 KB]

    Sanctions / adviser missed deadline to lodge residence application in accordance with special one-off residence policy / Immigration Advisers Licensing Act 2007, s3, s50, s51 / Code of Conduct 2014, cl1, cl18a, cl26c / HELD / fourth appearance before Tribunal / failure was an oversight, but not excusable human error as adviser should always be aware of deadline for applications and have systems in place to draw deadlines to her attention / a timely application would have succeeded as client and wife were eligible under policy / emotional damages award appropriate as couple suffered real frustration, sadness and high degree of anxiety / future legal costs and INZ fees not claimable as couple chose to stay and incur future costs / adviser censured / ordered to pay $2,500 financial penalty in light of disciplinary history, acknowledgement and priority to compensation / compensation of $8,000 awarded for costs of s61 requests made to rectify adviser’s negligence and emotional distress
  20. [2023] NZIACDT 21 – WN v Lawlor (26 June 2023) [PDF, 140 KB]

    Diligence and due care / professional practice requirements / Immigration Advisers Licensing Act 2007, s442, s45, s49, s50, s51 / Code of Conduct 2014, cl1, cl24b, cl24c, cl27b / HELD / breach of cl 1 / adviser failed to fulfil client’s requests for return of documents and fee after terminating instructions / adviser either ignored requests or made false promises to communicate or fulfil requests for seven months / adviser continued to falsely advise Authority that he would refund fee / adviser’s conduct in deliberately misleading client over extended period is disgraceful / full fee should have been refunded as adviser did not file application or undertake any substantive work / breach of cl 24b & cl24c / adviser failed to make refund / breach of cl 27b / adviser failed to return client’s documents despite multiple requests to do so / complaint upheld
  21. [2023] NZIACDT 20 - II v Sun - Sanctions (21 June 2023) [PDF, 132 KB]

    Sanctions / adviser failed to personally advise client and obtain instructions, permitted unlicensed staff to give immigration advice, and failed to specify name and licence number in written service agreement / Immigration Advisers Licensing Act 2007, s3, s6, s7, s50, s51 / Code of Conduct 2014, cl2e, cl3c, cl19a / HELD / first appearance before Tribunal / obligations in Code are personal to adviser and cannot be delegated / unlicensed staff confined to clerical work only / convenience of client to deal with staff in client’s country not a justification / adviser’s work of no value to client / Tribunal’s power to award compensation arises from adviser’s breaches irrespective of who fee was paid to / adviser censured / directed to undertake training / ordered to pay $2,500 financial penalty having regard to serious wrongdoing, no acknowledgement, remorse or apology, but also clean record and rubber stamping involving one client / compensation of $35,000 awarded for fee paid to company
  22. [2023] NZIACDT 19 - BC v Murthy (7 June 2023) [PDF, 120 KB]

    Sanctions / adviser failed to make prompt refund / failed to recognize funds were client’s property and cannot be withdrawn until invoiced / did not provide Authority with complete client file / failed to manage filing system / failed to confirm material discussions and when expression was filed, and did not provide timely updates / failed to inform INZ she was no longer representing client / Immigration Advisers Licensing Act 2007 / s3, s50, s50A, s51 / Code of Conduct 2014, cl24c, cl25a, cl25e, cl26b, cl26c, cl26d, cl26e, cl28b / HELD / fourth appearance before Tribunal / medical evidence gives context but not justification / cumulative breaches over four cases do not warrant suspension, given acceptance of wrongdoing, enrolment in training, financial state and risk to public, but further complaints will require consideration of suspension / adviser censured / ordered to pay $3,500 financial penalty, given moderate gravity of breaches, disciplinary history and financial circumstances
  23. [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
  24. [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.
  25. [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