Ministry of Justice

Sanctions / adviser failed to directly communicate or engage with client (‘rubber stamping’), resulting in eight breaches of seven obligations in the Code / four clients involved, three primarily affected / Immigration Advisers Licensing Act 2007, s3, s50, s51 / Code of Conduct 2014, cl1, cl2e, cl17b, cl18b, cl26aiv, cl26b, cl26d / direct engagement a fundamental obligation of advisers / gravity of wrongdoing at upper end of moderate / adviser acknowledged wrongdoing but no apology offered / high workload no justification for failure to discharge professional obligations / adviser ordered to undergo training / adviser censured / ordered to pay $4,000 financial penalty

Sanctions / widespread failings in communications with client and INZ / Immigration Advisers Licensing Act 2007, s442 / Code of Conduct 2014, cl1, cl2e, cl17a, cl17b, cl17c, cl19e, cl19h, cl19i, cl19k, cl19l, cl19m, cl19n, cl22, cl26aiii, cl26aiv, cl26b, cl26c, cl26d / extensive wrongdoing, resulting in 12 breaches of 16 standards in the Code / moderate gravity of offending / most serious breaches involved grossly inadequate services agreement and failure to comply with client’s instruction to remove partner from residence application / adviser bears responsibility for decline of application notwithstanding INZ’s misapplication of policy / adviser acknowledged wrongdoing and made  considerable efforts to improve practice / adviser censured / no retraining necessary in light of steps taken / adviser fined $2,500 financial penalty / adviser ordered to pay $8,240.44 in compensation, reflecting costs of IPT appeal and relocation.

Professional responsibilities and professional practice / Immigration Advisers Licensing Act 2007, s442 / Code of Conduct 2014, cl1, cl5, cl6, cl19l, cl26f / 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 / no evidence that client was unwilling to fund more expensive residence application / breach of cl1 / adviser failed to disclose entitlement to commission from private business school and obtain informed consent from complainant in writing / no eventual receipt of commission no defence / breaches of cl5 and cl6 / adviser failed to comply with complainant’s request for full client file / inappropriately required client to complete authority to send request for information to INZ / breaches of cl1 and cl26f / alternative negligence heads dismissed / sanctions to follow

Professional responsibilities and professional practice / Immigration Advisers Licensing Act 2007, s442 / Code of Conduct 2014, cl1, cl24a, cl24c / 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 / breach of obligation to be professional and to exercise due care / adviser failed to promptly make fair and reasonable refund / adviser’s offer to apply for subsequent visa free of any service fee not an adequate solution, in breach of internal complaints procedure / breach compounded by failure to respond to complainant’s refund request within specified time frame / complaint partially upheld / sanctions to follow.

Professional responsibilities and professional practice / Immigration Advisers Licensing Act 2007, s442 / Code of Conduct 2014, cl1, cl2e, cl17b, cl18b, cl26aiv, cl26b, cl26d / adviser failed to directly communicate or engage with three clients (‘rubber stamping’) / high workload no justification for failure to discharge professional obligations /  adviser responsible for managing workload to ensure compliance / evident that unlicensed staff had provided substantive immigration advice to clients / adviser failed to explain professional responsibilities / failed to explain all significant provisions in terms of engagement / failed to provide draft visa applications prior to lodgement for review / failed to confirm in writing when applications were lodged and provide timely updates / failed to retain copy of invoices which had been provided to clients / failed to maintain well-managed filing system / complaint partially upheld / sanctions to follow.

Professional responsibilities and professional practice / 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 / 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 / did not advise client she could no longer act following expiry of provisional licence / proceeded to file application despite expiry of licence / did not provide fair refund upon termination of services / failed to maintain separate client account / appropriated client’s monies, failing to use them only for fulfilment of services while licensed / failed to maintain records / filing system not well-managed / did not confirm all material discussions in writing / corresponding negligence heads dismissed / complaint partially upheld / sanctions to follow

Professional responsibilities and professional practice / misleading behaviour / follow instructions / Immigration Advisers Licensing Act 2007, s 442 / Code of Conduct 2014, cl 1, cl2e, cl17a, cl17b, cl17c, cl19e, cl19h, cl19i, cl19k, cl19l, cl19m, cl19n, cl22, cl26aiii, cl26aiv, cl26b, cl26c, cl26d / misled client about seeking reconsideration of declined application / failed to pass on to client, or respond to, requests for information from INZ / failed to provide draft residence application for review / also did not provide decline letter in timely manner or retain all INZ communications on file / failed to follow instruction to remove partner from application / failed to provide or explain professional standards and complaints documents / written services agreement lacked many Code requirements / did not confirm material discussions in writing / did not provide invoice for fees, disbursements / did not maintain well-managed file / complaint partially upheld / sanctions to follow

Professional responsibilities and professional practice / Immigration Advisers Licensing Act 2007, s442 / Code of Conduct 2014, cl1, cl18b / adviser did not explain all significant matters in written agreement to client / advising of ability ask questions does not discharge mandatory obligation to explain terms of agreement / explanation should be verbal, whether in-person or by videoconference or telephone / breach of cl18b / adviser accepted inadvertent failure to send draft visa application to complainant for review / confirmation of correctness by employer sponsor immaterial / obligation owed to client / adviser’s failure not primary cause of visa being declined / breach of cl1 / not proven that adviser dishonestly or falsely stated to client that draft application had been provided to client / honest but incorrect declaration not warrant further disciplinary response / no breach of cl1 / alternative negligence heads dismissed / complaint partially upheld / sanctions to follow

Sanctions / adviser failed to directly communicate or engage with client (‘rubber stamping’), breaching eight professional obligations / client 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 / third complaint in eight years of practice / adviser acknowledges wrongdoing and expresses remorse / further training unnecessary given appreciation of wrongdoing / formal prevention of adviser reapplying for licence unnecessary / adviser censured / financial implications of all sanctions decisions considered / ordered to pay $4,000 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 / 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 $3,500 financial penalty

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