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From Crisis to Triumph: The Strategic Advice and Representations That Helped Save a Career and a Firm.

Immigration Advice Authority (“IAA”) Determination

Mansoor Fazli was instructed in a long running and complex regulatory investigation into an IAA regulated immigration law firm.

 

Background

Counsel Mr Fazli was instructed in relation to a complaint before the Immigration Advice Authority (“IAA”) concerning a regulated immigration advice organisation, arising from the provision of immigration services in a Skilled Worker visa matter.

The complaint concerned issues including client engagement, fee transparency, record-keeping, safeguarding of client funds, misleading the client, dishonesty and complaints handling, as well as allegations relating to the genuineness of the underlying employment. The IAA had at one stage made it clear that it was minded to cancel the registration of the organisation on the basis of the complaint, which it had initially indicated it was going to be upheld:

 

Determination

By determination, the IAA found the complaint to be substantiated only in part.

The Commissioner identified breaches of the Code of Standards in relation to:

  • client care and engagement
  • conflicts of interest
  • record-keeping and file management
  • safeguarding of client funds
  • complaints handling

Allegations of dishonesty / misleading conduct were found not substantiated. The organisation’s registration therefore remains in place.

 

Comment

The decision highlights the importance of adequate compliance with the IAA Code of Standards, particularly in relation to:

  • clear client engagement and documentation
  • transparency of fees and services
  • proper management of conflicts of interest
  • safeguarding of client monies
  • maintenance of adequate records

 

Counsel

Mansoor Fazli is experienced in advising and representing individuals and organisations in relation to regulatory, disciplinary and professional conduct matters. These include investigations by a variety of regulatory bodies in respect of issues concerning compliance with statutory and professional standards.

 

Enquiries

For enquiries or to seek advice in relation to similar matters, please contact: clerks@12oldsquare.com