Ministry of Justice

Sanctions / adviser dishonestly concealed failure to reply to INZ’s requests for information in response to work visa variation application / forged complainant’s signature in subsequent application / Immigration Advisers Licensing Act 2007, s3, s50, s51 / Code of Conduct 2014, cl1, cl2e, cl8a, cl8c, cl13a, cl13c, cl14, cl15a, cl17a, cl17b, cl17c, cl18b, cl19c, cl19m, cl19n, cl24a, cl24c, cl26b, cl26e / dishonesty and breach of 19 professional standards / gravity of misconduct at upper end of serious, notable forging of complainant’s signature / seven separate complaints upheld against adviser, six involving dishonesty / adviser's belated contention that she did not intend to mislead complainant or conceal information dismissed / insincere acceptance of seriousness of disciplinary findings / further order preventing reapplication of licence proportional to adviser’s wrongdoing / adviser censured and fined $4,000 (reduced from $8,000 to reflect totality of parallel proceedings)

Sanctions / adviser dishonestly advised clients that application for visas had been filed and that grant of visas was imminent / adviser filed application five days later / adviser dishonestly withheld draft application and INZ’s letters to conceal misleading conduct / Immigration Advisers Licensing Act 2007, s3, s50, s51 / Code of Conduct 2014, cl1, cl2a, cl2e, cl8a, cl8c, cl13a, cl14, cl15a, cl17a, cl17b, cl17c, cl18b, cl19c, cl19m, cl19n, cl22, cl26e / adviser was dishonest in two respects and breached 17 professional standards / gravity of  wrongdoing assessed as medium to high / dishonesty inherently serious, though comparatively less so than in adviser’s parallel proceedings / adviser’s belated explanation of personal events and health issues accepted to materially impact work but do not justify blatant lie to complainant and actions to conceal that misrepresentation / complaint does not require further order preventing reapplication for licence / adviser censured and fined $4,000 (reduced from $6,000 to reflect totality of parallel proceedings) 

Professional responsibilities and professional practice / Immigration Advisers Licensing Act 2007, s442 / Code of Conduct 2014, cl1, cl2a, cl8a, c9, c18a, cl20b, cl22, cl26ai, c26e / adviser made series of futile and unsuccessful immigration applications / complainant had arrived to NZ long ago using relative’s passport / since married NZ resident, fathered children, and operated successful business / service agreement only pertained to initial s 61 request / adviser failed to provide written agreements for second s 61 request and Ministerial intervention request / second s 61 request filed without any new information, refugee claim withdrawn within days / failed to advise complainant of futility of applications / failed to work within scope of knowledge and experience / advised complainant his situation was outside her ability / charged $800 for two subsequent hopeless applications / failed to provide invoices / failed to provide Authority with client file / sanctions to follow

Professional responsibilities and professional practice / Immigration Advisers Licensing Act 2007, s 442 / Code of Conduct 2014, cl1, cl5, cl6, cl14, cl17b, cl18b, cl19i / HELD / adviser failed to send draft application to client before filing / breach of cl1 / failed to provide evidence of being licensed / providing licence number not sufficient / breach of cl14 / failed to explain summary of professional obligations or significant matters in agreement / breach of cl17b & cl18b / paying commission to agent without disclosing conflict in writing, recording in agreement, and obtaining written consent, breach of cl5 & cl6 & cl19i / failed to charge reasonable fee / uplift for ‘no fee, no win’ model could not justify extravagant fee of $16,000 for two work visa and one student visa applications / breach of cl20a / sanctions to follow 

Sanctions / adviser found liable for four breaches of professional standards, including rubber stamping and charging excessive fees / supervisor found liable for one breach for failure to exercise due care and diligence in allowing extravagant fee / Immigration Advisers Licensing Act 2007, s3, s50, s51 / Code of Conduct 2014, cl1, cl2e, cl12c, cl17b, cl17c, cl18b, cl20a / direct engagement a fundamental obligation of advisers / excessive fee was approximately twice the upper end of market rate / adviser’s gravity of wrongdoing moderate / supervisor’s gravity of wrongdoing regarding excessive fee at upper end of low / neither adviser nor supervisor acknowledged wrongdoing, nor offered apology or indicated remorse / no evidence of improved practices / adviser gave untruthful evidence at hearing / first disciplinary findings / adviser was inexperienced and provisionally licensed / adviser censured, required to undergo training, and fined $4,000 / supervisor cautioned and fined $1,500

Professional responsibilities and professional practice / Immigration Advisers Licensing Act 2007, s442 / Code of Conduct 2014, cl1, cl4(a), cl5, cl6, cl17b, cl18b, cl19l and cl20a / adviser failed to send draft application to client before filing with INZ / relied on recruitment company to review application with client / failed to obtain written authority from client to disclose personal information to recruiting  company / assurance from third party that it has authority from client insufficient / failed to explain professional obligations and significant matters in agreement / failed to disclose conflict of interest / tripartite agreement with recruitment company created potential conflict which required disclosure and client’s written consent / adviser’s fees excessive / applications were uncomplicated and did not warrant fee significantly beyond market range / ‘no win, no fee’ model lawful but did not justify steep elevation in fee / complaint upheld / sanctions to follow

Sanctions / adviser terminated engagement after undertaking considerable work in respect of applications for complainant and her family / Immigration Advisers Licensing Act 2007, s442 / Code of Conduct 2014, cl17b, cl18b, cl28c / three 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 / adviser cautioned and fined $500

Professional responsibilities and professional practice / dishonesty / Immigration Advisers Licensing Act 2007, s442 / Code of Conduct 2014, cl1, cl2e, cl8a, cl8c, cl13a, cl13c, cl14, cl15a, cl17a, cl17b, cl17c, cl18b, cl19c, cl19m, cl19n, cl26e / adviser dishonestly concealed failure to lodge residence visa application and fabricated existence of ‘missing’ interim visa / declined to engage with Authority and Tribunal / failed to carry out complainant’ instructions / failed to explain significant matters in services agreement / failed to provide and explain summary of professional obligations and complaints procedure / failed to act under direct supervision of supervisor under conditions of provisional licence / failed to inform client of being provisionally licensed and provide evidence of licence / failed to provide Authority with client file / complaint partially upheld / sanctions to follow

Professional responsibilities and professional practice / dishonesty / Immigration Advisers Licensing Act 2007, s442 / Code of Conduct 2014, cl1, cl2e, cl8a, cl8c, cl13a, cl13c, cl14, cl15a, cl17a, cl17b, cl17c, cl18b, cl19c, cl19m, cl19n, cl24a, cl24c, cl26b, cl26e / adviser dishonestly concealed failure to reply to INZ’s requests for information in response to work visa variation application / concealed decline of initial variation application / lodged second variation application without informing complainant, forging complainant’s signature in attempt to conceal earlier failures to respond to INZ / declined to engage with Authority and Tribunal / failed to send applications for complainant’s review prior to filing / no written service agreement / failed to act under direct supervision of supervisor under conditions of provisional licence / failed to inform client of being provisionally licensed and provide evidence of licence / complaint upheld / sanctions to follow

Professional responsibilities and professional practice / Immigration Advisers Licensing Act 2007, s442 / Code of Conduct 2014, cl1, cl2a, cl2e, cl8a, cl8c, cl13a, cl14, cl18a, cl22, cl26a, cl26b, cl26d / adviser dishonestly filed application on behalf of client for tourism or holiday visa rather than work visa sought by client / subsequently provided client a fabricated work visa decline letter from INZ / failed to provide client draft visa application for review / failed to respond to INZ’s request for further information, resulting in declined application / failed to act under direct supervision of supervisor under conditions of provisional licence / failed to inform complainant of being provisionally licensed and provide evidence of licence / failed to provide services agreement / failed to obtain and carry out client’s instructions, provide timely updates, and provide invoice / failed to maintain well-managed filing system / 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, cl12c, cl17b, cl17c, cl18b, cl20a / complaint against adviser and supervisor / complainant did not give evidence / breach of cl1 and cl2e / adviser insufficiently personally engaged with complainant nor sent draft application for review / Tribunal rejects evidence about claimed discussion as untruthful / breach of cl17b and cl18b / did not explain professional responsibilities or significant matters in agreement / breach of 20a / professional fee of ~$7,200 for accredited employer work visa application unfair and unreasonable / uplift for urgency not confirmed with client / uplift for work on holiday, high workload not justified / breach of cl1 / supervisor allowed adviser to charge extravagant fee / complaint not trivial / sanctions to follow.

Professional responsibilities and professional practice / Immigration Advisers Licensing Act 2007, s442 / Code of Conduct 2014, cl17b, cl18b, cl28c / alleged that adviser failed to properly explain financial requirements of visas / complainant provided out-of-date bank certificate for funds which no longer existed / evidence demonstrated adviser made considerable effort to explain financial criteria / no breach of cl1 / failed to verbally explain professional responsibilities / written summary insufficient / breaches of cl17b and cl18b / adviser failed to advise where to find assistance following termination / breach of cl28c / adviser engaged in additional work following provision of incorrect information by complainant / no refund warranted / no breach of cl24a and cl24c / complainant impliedly consented to third party knowing reasons for termination / no material breach in disclosure of information / no breach of cl4 / alternative negligence heads dismissed / sanctions to follow.

Sanctions / adviser failed to provide complainant’s police certificate to Immigration NZ in course of lodging visa application / lack of police certificate had significant impact on duration of complainant’s visa / adviser’s offer to apply for subsequent visa free of any service fee not an adequate solution, in breach of internal complaints procedure / Immigration Advisers Licensing Act 2007, s442 / Code of Conduct 2014, cl1, cl24a, cl24c / three breaches of Code / first complaint against adviser / adviser declined to engage with Tribunal and expressed no remorse or apology / wrongdoing does not justify censure / adviser cautioned / low-level gravity of offending / adviser fined $1,000