BL & UL v AX [2014] NZIACDT 9 (05 February 2014) [pdf, 84 KB]
...would the Tribunal need to examine the failure to deal properly with the instructions. The adviser’s Statement of Reply [10] The adviser’s Statement of Reply makes two material responses to the complaint in relation to his responsibility: [10.1] That the provisional licence holder has claimed she only had a preliminary discussion and the potential clients did not engage her at that time. She claimed persons in her Tonga office had potentially acted dishonestly. [10.2] Regardless...