Ministry of Justice

Professional practice / Immigration Advisers Licensing Act 2007, s45, s49, s50 and s51 / Code of Conduct 2014, cl1, cl2e, cl14, cl17 and cl18b / HELD / adviser had little or no direct communication with client / agent could not sign service contract on client’s behalf in absence of disability or other compelling reason / client’s mother’s consent irrelevant / adviser must ensure client personally signs and understands contract / breach of cl18c and cl1 / permitted unlicensed agent to perform work required to be undertaken by the licensed adviser / ‘rubber stamping’ / failed to directly and personally inform the client and obtain informed instructions / breach of cl2e and cl1 / failed to provide evidence of licence to client / recording status as adviser in e-mail signature insufficient / breach of cl14 and cl1 / failed to provide client with summary and explanation of professional responsibilities, complaints procedure and Code / breach of cl17 / complaint upheld / sanctions to follow

Professional practice / Immigration Advisers Licensing Act 2007, s442 / Code of Conduct 2014, cl1, cl2e, cl14, cl18b, cl26aiii, cl26b, cl26c and cl31a / HELD / dishonesty heads of complaint dismissed due to lack of complainant response / insufficient evidence to find written agreement not genuine, but among worst example of record keeping before Tribunal / breach of cl1 partially upheld / unauthorised delegation to adviser; one interview with complainant wholly inadequate / rubber stamping / breach of cl2e / failed to provide evidence of license / breach of cl14 / failed to explain all significant matters / breach of cl18b / no recorded written communications during engagement / breach of cl26aiii and c / failed to confirm application lodged and provide timely updates / breach of cl26b / incorrectly, negligently failed to declare assistance to INZ / breach of cl 1 and 31a / failure to notify INZ of adviser not false or deceptive misrepresentation of client / no breach of cl 29d / sanct…

Professional practice / Immigration Advisers Licensing Act 2007, s442 / Code of Conduct 2014, cl1, cl2e, cl17a, cl17a, cl18b, cl22, cl23, cl26b and cl26c / HELD / adviser permitted an unlicensed agent to perform work required to be undertaken by the licensed adviser (‘rubber stamping’) / Tribunal rejected license’s suggestion that complainant had sought exclusive communication through agent / in any event, complainant’s authorisation would not usurp adviser’s statutory duties / adviser contributed to creating an environment for fraud to be perpetrated / however, no evidence of illegitimate commission received by adviser / failed to directly provide invoice and receipt to complainant / did not confirm in writing to the client when visa application was lodged and approved / complaint partially upheld / sanctions to follow

Sanctions / adviser gave incorrect advice regarding impact of travel on residence visa application / filed application while complainant was overseas / failed to provide draft application to complainant and to fully respond to INZ’s concern / failed to comply with invoice and client fund rules / failure to tell complainant of outcome and provide timely updates / Immigration Advisers Licensing Act 2007, s3, s50, s51 / Code of Conduct 2014, cl1, cl22, cl25a, cl25b, cl25e, cl25f, cl26b / HELD / fifth appearance before Tribunal / lack of, inattention to, or disregard for basic immigration knowledge / advice sought critical to complainant’s circumstances / aggravated by previous disciplinary history / failure to learn from previous disciplinary action / protection of public required / adviser censured / prevented from reapplying for licence for further two years / ordered to pay $5,000 financial penalty / ordered to pay $6,600 in compensation and refund

Sanctions / adviser failed to recognise complainant’s ineligibility for visa / failed to obtain complete file before application / failed to recognise that visa application was futile and to obtain complainant’s written consent / failed to conduct oneself with professionalism, diligence and due care / negligence / Immigration Advisers Licensing Act 2007, s3, s50, s51 / Code of Conduct 2014, cl1, cl9 / HELD / sixth appearance before Tribunal / moderate to serious gravity of offending in totality / wrongdoing occurred prior to training directed by Tribunal arising from separate proceedings / adviser commended for new extensive systems introduced to reduce risk of ‘paperwork’ offending / demonstrated insight into failings by taking practical steps to improve processes / further training not necessary / notwithstanding lack of apology, threshold for suspension not met / adviser censured / ordered to pay $6,000 financial penalty / ordered to pay $4,660 in compensation and refund

Diligence and due care / professional responsibilities and professional practice / Code of Conduct 2014, cl1, cl9b, cl20a, cl24a, cl24b, cl24c, cl25a, cl25f, cl26b / HELD / no breach cl1 / insufficient evidence adviser did not realise complainant’s work experience was ineligible for points under skilled migrant category / breach of cl9b / adviser did not inform complainant of futility of application / no written acknowledgement from complainant of such advice / complainant’s general text message or signature on service agreement insufficient / no breach of cl20a / breach of cl24a / adviser failed to offer refund when services terminated or when complainant requested refund / no breach of cl24b, cl25a and cl25f / adviser entitled to fee in accordance with service agreement / breach of cl26b / adviser tardy in communications with complainant / delays not justified by holiday period and other personal and professional commitments / complaint partially upheld

Dishonest or misleading behaviour / diligence and due care / professional responsibilities and professional practice / immigration and support services / Code of Conduct 2014, cl1, cl2e, cl17c, cl18a, cl18b, cl19f, cl20a, cl22 / HELD / no dishonest or misleading behaviour / breach of cl17c / adviser did not provide internal complaint procedure but complainant was made aware of it / disciplinary action unwarranted / no breach of cl18a, cl22 / written agreement and invoice provided / adviser not required to directly provide agreement or invoice / no breach of cl18b / adviser explained agreement over telephone / no breach of cl19f / adviser specified fixed fee for services / breach of cl20a / fee was reasonable as it covered extensive services / breach of cl2e / work by unlicensed employee mostly clerical and only minimal in immigration advice work / disciplinary response unwarranted / no breach of cl1 / adviser not required to provide translation services / complaint dismissed

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

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

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

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

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

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