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810 items matching your search terms

  1. [2024] NZIACDT 27 - INZ v Tran (20 November 2024) [PDF, 230 KB]

    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
  2. [2024] NZIACDT 26 – QN v Nandan (12 November 2024) [PDF, 227 KB]

    Sanctions / adviser failed to disclose in writing a conflict of interest to employee complainant and consequently did not obtain written informed consent to continued representation / Immigration Advisers Licensing Act 2007, s3, s50, s51 / Code of Conduct 2014, cl5, cl6 / HELD / complainant aware of existence of conflict but may not have appreciated implications of conflict / adviser unable to provide independent advice to employee / gravity of wrongdoing properly assessed as lower end of moderate / adviser cooperated with Authority and Tribunal / adviser disputed breach at hearing but since expressed appreciation of wrongdoing / second appearance before Tribunal / previous complaint of limited relevance / adviser no longer practicing as immigration adviser, but consumer protection interests support need for general deterrence / claim for compensation failed to establish damages or losses arose due to complainant’s misconduct / adviser censured / ordered to pay $2,500 financial penalty
  3. [2024] NZIACDT 25 - EM v Ma (25 October 2024) [PDF, 244 KB]

    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…
  4. [2024] NZIACDT 24 – FM v Yang (23 October 2024) [PDF, 108 KB]

    Sanctions / adviser permitted unlicensed agent to perform work required to be undertaken by the licensed adviser / eight to nine breaches of Code / Immigration Advisers Licensing Act 2007, s3, s50, s51 / Code of Conduct 2014, cl1, cl2e, cl17a, cl17a, cl18b, cl22, cl23, cl26b and cl26c / HELD / breach of fundamental obligation of advisers to personally engage with visa applicant / enabling agent to deal exclusively with complainant contributed to creating an environment for fraud to be perpetrated despite attendance to substantive immigration issues / moderate gravity of misconduct / first appearance before Tribunal / co-operated throughout complaint process but consistently denied wrongdoing / since expressed remorse and implemented new procedures to prevent wrongdoing / further training not required / breach of core obligation warrants censure / lower end of moderate penalty appropriate / refund or compensation not sought / adviser censured / ordered to pay $3,000 financial penalty
  5. [2024] NZIACDT 23 - FM v Yang (03 September 2024) [PDF, 263 KB]

    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
  6. [2024] NZIACDT 22 – QN v Nandan (29 August 2024) [PDF, 229 KB]

    Conflict of interest and professional practice / Code of Conduct 2014, cl18a, cl26aiii, cl26b, cl26d, cl26e, cl26f, cl29a, cl31a / HELD / Tribunal declined Registrar to cross-examine adviser in complainant’s absence / dishonesty and withholding information complaints cannot be sustained without complainant’s evidence, dismissed / disciplinary threshold / breach of cl26b but does not warrant disciplinary action / client knew of visa decision regardless / breach of cl18, cl26aiii, cl26d & cl26e but does not warrant disciplinary action / inadequate response to Registrar explained (not excused) by inadequate file and being overseas; inadequate file itself and lack of written agreement explained (not excused) by relationship with client (employee and friend) / breach of cl5 & cl6 by acting for employee without disclosure in writing and written consent / complaint partially upheld
  7. [2024] NZIACDT 21 KL v Lawlor (sanctions) (19 July 2024) [PDF, 215 KB]

    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
  8. [2024] NZIACDT 20 – LB v Luv (8 July 2024) [PDF, 213 KB]

    Sanctions / adviser did not inform complainant of futility of residence visa application / no written acknowledgement from complainant of such advice / charged excessive fee / failed to maintain consistent communication with complainant / Immigration Advisers Licensing Act 2007, s3, s50, s51 / Code of Conduct 2014, cl9, c24, c26 / HELD / first appearance before Tribunal / misconduct towards lower end of moderate level / no apology to complainant / adviser failed to accept that she had failed to inform complainant of lack of eligibility / nonetheless demonstrated level of acceptance of Tribunal’s findings / acknowledged valuable lesson to be learned / no training required / no need to denounce misconduct / adviser cautioned / ordered to pay $3,500 financial penalty / ordered to pay $6,810 refund / compensation of $29,000 refused as no evidence that claimed expenses causally related to adviser’s wrongdoing
  9. [2024] NZIACDT 19 – SC v Murthy (21 June 2024) [PDF, 244 KB]

    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
  10. [2024] NZIACDT 18 – KL v Lawlor (24 May 2024) [PDF, 145 KB]

    Diligence and due care / professional practice / Code of Conduct 2014, cl1, cl22, cl25a, cl25b, cl25e, cl25f, cl26b / HELD / breach of cl1 / gave incorrect advice to complainant regarding impact of travel on 2021 Resident Visa application / filed application while complainant was overseas / failed to provide draft application to complainant for review before filing / failed to deal with INZ’s concern about complainant’s travel at time of application / breach of cl22, cl25a, cl25b, cl25e, cl25f / failed to provide invoice / adviser does not deny breaching obligations regarding client funds / no evidence he still holds complainant’s funds in client account / breach of cl26b / failed to reply to complainant’s requests for updates / failed to inform complainant of outcome of application / complaint upheld
  11. [2024] NZIACDT 17 – LB v Luv (23 May 2024) [PDF, 298 KB]

    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
  12. [2024] NZIACDT 16 – LT v Registrar (23 May 2024) [PDF, 139 KB]

    Appeal against Registrar rejecting complaint / complaint adviser intentionally inserted incorrect occupation code in work visa application leading to decline / Registrar rejected complaint on basis it disclosed only a trivial or inconsequential matter / Code of Conduct 2014, cl1 / HELD / no evidence adviser intentionally or dishonestly inserted incorrect code / adviser believed in good faith incorrect code was a better match for complainant’s occupation / incorrect code did not lead to decline of visa / visa declined as INZ required report from employer, but employer refused / employer’s refusal not caused by adviser inserting incorrect code / employer was always unsupportive / adviser breached cl1 by failing to send draft application to complainant prior to filing, which would have allowed complainant to insert correct code / correction would have made no difference to outcome as employer not prepared to cooperate / breach does not warrant disciplinary action / appeal rejected
  13. [2024] NZIACDT 15 – YT v CX (14 May 2024) [PDF, 290 KB]

    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
  14. [2024] NZIACDT 14 – SC v Murthy (23 April 2024) [PDF, 166 KB]

    Negligence / diligence and due care / professional responsibilities and professional practice / Immigration Act 2009, s150 / Immigration Advisers Licensing Act 2007, s442 / Code of Conduct 2014, cl1, cl9, cl17a, cl17b, cl26aiii / HELD / negligence and breach of cl1 and cl9 / adviser failed to recognise complainant ineligible for visa and application was futile / failed to advise complainant in writing of futility and obtain written consent to proceed / failed to request client file / no breach of cl17a and cl17b / service agreement refers to expired version of Code / adviser provided copy of current Code on same day after signing agreement / failure to provide copy of Code prior to signing only minor breach of cl17b / no evidence adviser did not explain professional responsibilities to complainant / no breach of cl26aiii / call with INZ helpdesk not a material communication / no evidence of meeting or phone discussion with complainant / complaint partially upheld
  15. [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
  16. [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 …
  17. [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
  18. [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
  19. [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
  20. [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
  21. [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
  22. [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
  23. [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
  24. [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
  25. [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