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786 items matching your search terms

  1. [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
  2. [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
  3. [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
  4. [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
  5. [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
  6. [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
  7. [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
  8. [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
  9. [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
  10. [2023] NZIACDT 23 – ED v Dai (11 August 2023) [PDF, 245 KB]

    Professional responsibilities and professional practice / conflict of interest / Immigration Advisers Licensing Act 2007, s7, s442, s45, s49, s50, s51 / Code of Conduct 2014, cl2e, cl3c, cl5, cl6, cl26aiii, cl26c / HELD / breach of cl2e & cl3c / adviser failed to personally advise and obtain instructions from complainant, permitted unlicensed staff to exclusively engage with complainant and give immigration advice / adviser obliged to ensure unlicensed staff do not perform immigration advice work, warning not to undertake such work insufficient / adviser likely received via staff complainant’s oral consent to obtain INZ file / breach of cl26c / did not confirm in writing complainant’s discussion of material immigration matters with staff, adviser should have sent letter or text even if complainant had no email address / no breach of cl5 & cl6 / no evidence adviser received commission for referring complainant to English school / complaint partially upheld
  11. [2023] NZIACDT 22 - OT v Ramos (27 June 2023) [PDF, 150 KB]

    Sanctions / adviser missed deadline to lodge residence application in accordance with special one-off residence policy / Immigration Advisers Licensing Act 2007, s3, s50, s51 / Code of Conduct 2014, cl1, cl18a, cl26c / HELD / fourth appearance before Tribunal / failure was an oversight, but not excusable human error as adviser should always be aware of deadline for applications and have systems in place to draw deadlines to her attention / a timely application would have succeeded as client and wife were eligible under policy / emotional damages award appropriate as couple suffered real frustration, sadness and high degree of anxiety / future legal costs and INZ fees not claimable as couple chose to stay and incur future costs / adviser censured / ordered to pay $2,500 financial penalty in light of disciplinary history, acknowledgement and priority to compensation / compensation of $8,000 awarded for costs of s61 requests made to rectify adviser’s negligence and emotional distress
  12. [2023] NZIACDT 21 – WN v Lawlor (26 June 2023) [PDF, 140 KB]

    Diligence and due care / professional practice requirements / Immigration Advisers Licensing Act 2007, s442, s45, s49, s50, s51 / Code of Conduct 2014, cl1, cl24b, cl24c, cl27b / HELD / breach of cl 1 / adviser failed to fulfil client’s requests for return of documents and fee after terminating instructions / adviser either ignored requests or made false promises to communicate or fulfil requests for seven months / adviser continued to falsely advise Authority that he would refund fee / adviser’s conduct in deliberately misleading client over extended period is disgraceful / full fee should have been refunded as adviser did not file application or undertake any substantive work / breach of cl 24b & cl24c / adviser failed to make refund / breach of cl 27b / adviser failed to return client’s documents despite multiple requests to do so / complaint upheld
  13. [2023] NZIACDT 20 - II v Sun - Sanctions (21 June 2023) [PDF, 132 KB]

    Sanctions / adviser failed to personally advise client and obtain instructions, permitted unlicensed staff to give immigration advice, and failed to specify name and licence number in written service agreement / Immigration Advisers Licensing Act 2007, s3, s6, s7, s50, s51 / Code of Conduct 2014, cl2e, cl3c, cl19a / HELD / first appearance before Tribunal / obligations in Code are personal to adviser and cannot be delegated / unlicensed staff confined to clerical work only / convenience of client to deal with staff in client’s country not a justification / adviser’s work of no value to client / Tribunal’s power to award compensation arises from adviser’s breaches irrespective of who fee was paid to / adviser censured / directed to undertake training / ordered to pay $2,500 financial penalty having regard to serious wrongdoing, no acknowledgement, remorse or apology, but also clean record and rubber stamping involving one client / compensation of $35,000 awarded for fee paid to company
  14. [2023] NZIACDT 19 - BC v Murthy (7 June 2023) [PDF, 120 KB]

    Sanctions / adviser failed to make prompt refund / failed to recognize funds were client’s property and cannot be withdrawn until invoiced / did not provide Authority with complete client file / failed to manage filing system / failed to confirm material discussions and when expression was filed, and did not provide timely updates / failed to inform INZ she was no longer representing client / Immigration Advisers Licensing Act 2007 / s3, s50, s50A, s51 / Code of Conduct 2014, cl24c, cl25a, cl25e, cl26b, cl26c, cl26d, cl26e, cl28b / HELD / fourth appearance before Tribunal / medical evidence gives context but not justification / cumulative breaches over four cases do not warrant suspension, given acceptance of wrongdoing, enrolment in training, financial state and risk to public, but further complaints will require consideration of suspension / adviser censured / ordered to pay $3,500 financial penalty, given moderate gravity of breaches, disciplinary history and financial circumstances
  15. [2023] NZIACDT 18 - XX v Xu (1 June 2023) [PDF, 132 KB]

    Sanctions / adviser overlooked aspect of INZ letter and provided erroneous advice, failed to read decline letter and did not provide adequate advice / failed to promptly forward decline letter after discovering it / failed to explain Code of Conduct or complaints procedure when entering service agreement / did not amend or provide new agreement for s 61 request / failed to confirm material discussions in writing / Immigration Advisers Licensing Act 2007, s3, s50, s51 / Code of Conduct 2014, cl1, cl17a, cl17b, cl17c, cl18a, cl26c / HELD / first appearance before Tribunal / adviser’s misconduct caused significant stress and loss / modest damages for stress awarded in appropriate cases / high legal fees not recoverable as reasonable compensation / adviser cautioned / ordered to pay $1,000 financial penalty having regard to clean record, acknowledgement, apology and compensation / compensation of $4,893 awarded for stress, adviser’s compensation offer, s 61 fee and reasonable legal fees
  16. [2023] NZIACDT 17 - NG v Murthy (24 May 2023) [PDF, 227 KB]

    Sanctions / adviser failed to request client file from INZ / failed to provide client with opportunity to review s61 requests prior to lodgment / failed to provide written agreement for second s61 request / Immigration Advisers Licensing Act 2007, s3, s50, s50A, s51 / Code of Conduct 2014, cl1, cl18a / HELD / third appearance before Tribunal / fourth complaint recently upheld / adviser’s failings not an isolated incident but misconduct occurred before Tribunal’s prior decisions / adviser’s disciplinary history shows a pattern of misconduct that continued over a prolonged period / protecting and properly informing a client involves ensuring there is a written contract and the client is aware of what is happening / medical evidence gives context but not a justification for wrongdoing during relevant period / adviser’s misconduct is not of itself serious / acknowledges professional failings / adviser censured / ordered to pay $2,000 financial penalty / ordered to refund fees of $2,200.
  17. [2023] NZIACDT 16 - WS v Lawlor (9 May 2023) [PDF, 234 KB]

    Sanctions / misleading behaviour / gave false reasons for delay, misleading complainant that NZQA assessment had been filed / filed an incomplete application and filed other applications not in a timely manner / failed to provide timely updates, invoices, a new or amended written agreement, and satisfy refund obligations / Immigration Advisers Licensing Act 2007, s3, s17, s19, s50, s51 / Code of Conduct 2014, cl1, cl18a, cl22, cl24b, cl24c, cl25a, cl25e, cl25f, cl26b / HELD / second appearance before Tribunal / serious misconduct given deceit / health deterioration provides context but not a justification / adviser acknowledged wrongdoing and has not renewed licence / adviser censured / no training ordered as unlikely to return to profession / suspension unnecessary / $3,000 financial penalty, given totality of sanctions and some priority to compensation / no evidence further refund required / compensation of $2,000 awarded for distress
  18. [2023] NZIACDT 15 - TC v MacLeod (1 May 2023) [PDF, 136 KB]

    Sanctions / adviser failed to ensure he had sufficient knowledge of complainant’s business plan sales forecast, failed to provide estimate of time in written agreement, failed to ensure fees charged were fair and reasonable, failed to work in a manner that did not unnecessarily increase fees, blamed complainant and INZ for own wrong advice, falsely claimed INZ gave wrong advice / Immigration Advisers Licensing Act 2007, s3, s50, s50A, s51 / Code of Conduct 2014, cl1, cl19f, cl20a, cl20b / HELD / first appearance before Tribunal / adviser committed significant blunder as regards the business plan sales forecast / adviser’s mistake had significant personal effect on complainant and family, but important to consider that second residence application was successful / adviser accepts wrongdoing, but no apology / adviser censured / ordered to pay $2,000 financial penalty having regard to multiple breaches, acknowledgement, no apology and significant effect on complainant and family
  19. [2023] NZIACDT 14 - II v Sun (26 April 2023) [PDF, 118 KB]

    Professional responsibilities and professional practice / Code of Conduct 2014, cl2e, cl3c, cl19a, cl26aiii, cl26c / HELD / breach of cl2e & cl3c / adviser failed to personally advise the complainant and obtain instructions, permitted unlicensed staff to give immigration advice to complainant who performed work beyond merely clerical work / adviser has obligation to provide explanation to Tribunal and, if not, adverse inference can be drawn / breach of cl19a / adviser failed to specify name and licence number in written service agreement / complaint upheld
  20. [2023] NZIACDT 13 - OT v Ramos (24 April 2023) [PDF, 174 KB]

    Diligence and due care / adviser failed to lodge visa application before category closed / Immigration Advisers Licensing Act 2007, s442, s50, s51 / Code of Conduct 2014, cl1, cl2e, cl18a, cl26b, cl26c / HELD / breach of cl1 / adviser accepts she missed deadline for lodging application by overlooking client’s instructions / breach of cl18a / did not amend or provide new service agreement covering Ministerial request / breach of cl26c / did not confirm advice in writing regarding steps to take once deadline was missed / adviser given benefit of the doubt she obtained instructions to make Ministerial request / incapacity / short periods in hospital & recuperating at home does not amount to incapacity / medical evidence shows health did not cause failure to meet deadline / complaint partially upheld 
  21. [2023] NZIACDT 12 - XX v Xu (13 April 2023) [PDF, 252 KB]

    Diligence and due care / Immigration Advisers Licensing Act 2007, s442 / Code of Conduct 2014, cl1, cl17a, cl17b, cl17c, cl18a, cl26c / HELD / breaches of cl1 lacking diligence and due care / adviser overlooked aspect of PPI letter and provided erroneous advice / also failed to check a communication from INZ, which was a decline letter / was not able to provide adequate advice on options as decline letter was missed / failed to promptly forward on decline letter after discovering it had been received / breach of cl17a, cl17b, cl17c / failed to provide or explain Code of Conduct when entering service agreement or provide internal complaints procedure / breach of cl18a / did not amend or provide new service agreement covering additional s61 request / breach of cl26c / did not confirm material discussions in writing / would have been particularly helpful to set out consequences of declined visa / complaint upheld
  22. [2023] NZIACDT 11 - SM v Kim (6 April 2023) [PDF, 192 KB]

    Sanctions / adviser bundled recruitment and immigration services together, and failed to appreciate professional obligations would apply to recruitment services / written agreement did not set out full description of recruitment services or fees / Immigration Advisers Licensing Act 2007, s3, s50, s51 / Code of Conduct 2014, cl19e, cl19f / HELD / first appearance before Tribunal / breaches were an honest mistake, and adviser acknowledges wrongdoing and has learned a lesson / it is important that written agreement covers entire services and specifies the fee / size of the fee ($18,805) is a material factor, but the client was advised of the fee before signing agreement / adviser censured / ordered to pay $500 financial penalty in light of acknowledgement and clean disciplinary record
  23. [2023] NZIACDT 9 - WS v Lawlor (23 March 2023) [PDF, 318 KB]

    Misleading behaviour / diligence and due care / professional practice requirements / Immigration Advisers Licensing Act 2007, s442 / Code of Conduct 2014, cl1, cl18a, cl22, cl24b, cl24c, cl25a, cl25e, cl25f, cl26b / HELD / adviser misled complainant into believing an NZQA assessment had been filed, giving false reasons for delays / behaviour not explained by confusion or deterioration in health / also, admits failing to forward INZ emails, breach of cl26b / filed incomplete application & failed to advise that lodgement had failed, and failed to file EOI in a timely manner & provide timely updates, breaches of cl1 and cl26b / failed to provide written agreement covering new work, breach of cl18a / admits he did not issue invoices for fees & delayed refund due to financial difficulties before funds were payable, breach of cl22, cl24b, cl25a, cl25e, cl25f, cl24c / complaint upheld
  24. [2023] NZIACDT 8 - BC v Murthy (22 March 2023) [PDF, 236 KB]

    Adviser failed to uphold numerous professional practice requirements / Immigration Advisers Licensing Act 2007, s442 / Code of Conduct 2014, cl24c, cl25a, cl25e, cl26b, cl26c, cl26d, cl26e, cl28b / HELD / adviser’s health is not material for liability decision / failed to promptly provide a refund after client terminated services, breach of cl24c / admits refusing refund before funds were payable and failed to recognise they remain the client’s property, breach of cl25a & cl25e / admits failing to provide complete file to IAA within deadline, which was missing emails, breach of cl26e /did not have a well-managed filing system, breach of cl26d / failed to confirm in writing material discussions about visa eligibility, breach of cl26c / failed to inform in writing when EOI was lodged and provide written updates, breach of cl26b / failed to inform INZ she was no longer representing the complainant, breach of cl28b / complaint substantially upheld
  25. [2023] NZIACDT 7 - EQ v McCarthy (20 March 2023) [PDF, 205 KB]

    Sanctions / adviser submitted EOIs without instructions and failed to communicate with INZ or the client for long periods / lacked diligence and due care / nine unprofessional acts breaching 10 Code provisions / Immigration Advisers Licensing Act 2007, s3, s50, s51 / Code of Conduct 2014, cl1, cl2a, cl2e, cl15b, cl24c, cl26b, cl26e, cl26f, cl27b, cl28c / HELD / second appearance before Tribunal, with prior decision involving dishonest or misleading behaviour / ill-health an important mitigating factor / has not renewed licence / no submissions on sanctions from complainant or adviser despite extensions / adviser censured / ordered to pay $4,000 financial penalty, having regard to breaches, disciplinary record and health / no submissions as to a fair and reasonable refund for service fee and the Tribunal declines to speculate / $5,070 refund ordered for application fees not incurred / no compensation sought by complainant