HE and SD v QXF [2011] NZIACDT 32 (20 September 2011) [pdf, 126 KB]
...overcharged, and misrepresented himself as a principal rather than an employee. In addition, that he failed to establish a client relationship in accordance with the Code which governs his profession. [2] The Adviser said he acted ethically and properly to protect his clients in a situation where his employer was failing financially. He accepted he may have made errors in establishing the client relationship but they were not more than oversights. Issues [3] The Tribunal must assess...