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854 items matching your search terms

  1. [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
  2. [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
  3. [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
  4. [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
  5. [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
  6. [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
  7. [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
  8. [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
  9. [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
  10. [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 …
  11. [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
  12. [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
  13. [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
  14. [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
  15. [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
  16. [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
  17. [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
  18. [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
  19. [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
  20. [2023] NZIACDT 29 - DT v Li (11 December 2023) [PDF, 111 KB]

    Sanctions / adviser failed to provide client an opportunity to review s61 requests before lodgement, failed to indicate whether second s61 request was likely to be futile and advise of risks, and failed to have second written agreement for second s61 request / Immigration Advisers Licensing Act 2007, s3, s50, s51 / Code of Conduct 2014, cl1, cl9a, cl9b, cl18a / HELD / first appearance before Tribunal / gravity of offending at lower end of moderate / adviser accepted all wrongdoing early / has made changes to her practice, so a repeat of conduct is unlikely / adviser has been mature and professional in disciplinary process / fee paid for second s61 request wasted / professional obligations breached are important safeguards to clients / breach had no implications for client as adviser’s mistakes did not cause client’s unlawful status or financial loss / compensation therefore not appropriate / adviser censured / ordered to pay $1,500 financial penalty / ordered to refund fees of $920
  21. [2023] NZIACDT 28 – YI v MM (8 November 2023) [PDF, 161 KB]

    Diligence and due care / professional responsibilities and professional practice / Code of Conduct 2014, cl1, cl2e, cl17b, cl26c / HELD / no breach of cl1 / INZ wrongly declined complainant’s partnership resident visa application as it failed to assess evidence of relationship being maintained during brief period of separation / adviser failed to advise complainant the risk of separation to satisfying ‘living together’ criterion / however, adviser did identify risk of decline from separation / no breach of cl2e / adviser adequately informed complainant of key risk of separation / any breach not sufficient to justify disciplinary response / no breach of cl17b / best way to facilitate client access to Code is to provide hard or electronic copy / however, cl17b only requires advice on how to access Code / adviser’s offer to provide copy of Code upon request sufficient / no breach of cl26c / Registrar did not identify any material discussions not confirmed in writing / complaint dismissed
  22. [2023] NZIACDT 27 BT v Li (2 November 2023) [PDF, 209 KB]

    Diligence and due care / professional responsibilities and professional practice / Code of Conduct 2014, cl1, cl9a, cl9b, cl17b, cl18a / HELD / breach of cl1 / admits failing to provide client with opportunity to review s61 requests before lodgement / client entitled to check accuracy and sufficiency of completed applications prior to lodgement / breach of cl9 / admits failing to indicate whether second s61 request was likely to be futile and notify client of such risks / second application traversing the same grounds as those recently dismissed is futile / no breach of cl17b / best way to facilitate client access to Code is to provide hard or electronic copy / however, cl17b only requires advice on to access Code / adviser’s offer to provide copy of Code upon request satisfies cl17b / breach of cl18a / admits failing to have second written agreement in place for lodging second s61 request / second request was additional service requiring another agreement / complaint upheld
  23. [2023] NZIACDT 26 - BL v Registrar (10 October 2023) [PDF, 241 KB]

    Appeal against Registrar rejecting complaint / complaint adviser made misleading claim about contacting INZ, had no authority to work on complainant’s behalf, gave incorrect advice, and communicated poorly with complainant / Registrar rejected complaint on basis it did not disclose any statutory grounds of complaint / Immigration Advisers Licensing Act 2007, s442, s451, s54 / Code of Conduct 2014, cl1, cl16, cl18, cl19b / HELD / file evidences breach of cl1 / adviser gave incorrect advice on material matter that complainant could be issued second interim visa / adviser’s obligations continued when complainant asked for authority form and contract / adviser’s emails show evidence of unprofessional communications / other heads of complaint not established / appeal allowed
  24. [2023] NZIACDT 25 – ED v Dai - Sanctions (25 September 2023) [PDF, 136 KB]

    Sanctions / adviser failed to personally advise and obtain instructions from complainant, permitted unlicensed staff to exclusively engage with complainant and give immigration advice / Immigration Advisers Licensing Act, s3, s50, s51 / Code of Conduct, cl2e, cl3c, cl26c / HELD / first appearance before Tribunal / gravity of offending is moderate / duty to fully engage with clients is fundamental, but conduct not amongst worst type of rubber stamping as adviser did much of the substantive work / admission of wrong not fulsome as adviser perpetuated untruthful narrative of engaging with complainant / immigration pathway complainant was advised to follow was futile / no compensation for stress as complainant’s uncertain immigration status not caused by adviser’s failures / tour and tuition fees too remote to be awarded / adviser censured / directed to undertake training / ordered to pay $2,500 financial penalty / compensation of $7,716 awarded for wasted direct application expenses
  25. [2023] NZIACDT 24 WN v Lawlor (25 August 2023) [PDF, 207 KB]

    Sanctions / adviser failed to fulfil client’s requests for return of documents and fee after terminating instructions / Immigration Advisers Licensing Act 2007, s3, s50, s51 / Code of Conduct, cl1, cl24b, cl24c, cl27b / HELD / third appearance before Tribunal / adviser neither honest nor professional / not first time adviser found to have lacked integrity / poor disciplinary record a significant aggravating factor / medical evidence provided in earlier complaint provides some context but not a justification for misleading client or breaching professional obligations / conduct comprises misconduct at higher end of spectrum as it involved intentional deceit of client over extended period / Tribunal has no power to order return of documents / financial penalty would be higher if refund was not directed / adviser censured / prevented from reapplying for licence for maximum period of two years / ordered to pay $7,000 financial penalty / ordered to refund fees of $3,495