[2024] NZIACDT 12, RN v Li (Jiayu Li)

“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”