Code of Professional Conduct for College of Immigration and Citizenship Consultants Licensees (SOR/2022-128)

Marginal note:Exemption from application of sections 23 and 24

26 The College may exempt a licensee from the application of sections 23 and 24 if the College is satisfied that the following conditions are met:

• (a) the licensee is a salaried employee of an organization other than an institution or organization referred to in section 25 and, in that capacity, provides immigration or citizenship consulting services to the organization or its employees;

• (b) the primary business of the organization is not the provision of immigration or citizenship consulting services;

• (c) no fees are payable to the licensee by employees of the organization in respect of the services;

• (d) the licensee discloses to the organization and the employees to whom the services are provided that the licensee is regulated by the College and is subject to this Code, but that the obligations set out in sections 23 and 24 do not apply;

• (e) the licensee provides information about the College’s complaints process to the organization and the employees to whom the services are provided; and

• (f) the licensee is not providing employment recruitment services to the organization or the employees.

Marginal note:Opinion to be provided

27 If a licensee is of the opinion that a client’s proposed application, expression of interest or proceeding is futile, unfounded or has little or no hope of success, the licensee must

• (a) provide the client with a written opinion that sets out the licensee’s reasoning; and

• (b) if, despite the opinion, the client wishes to pursue the matter, obtain written acknowledgement from the client of the risks of doing so.

Marginal note:Obligation of confidentiality

• 28 (1) A licensee must keep confidential all information in relation to a client or former client, or a client’s or former client’s business affairs, that was acquired in the course of their professional relationship with that client and take the measures that are necessary to maintain the confidentiality of that information indefinitely.

• Marginal note:Disclosure of confidential information

  (2) A licensee must not disclose any information referred to in subsection (1), or allow such information to be disclosed, unless the disclosure is

  • (a) authorized by the client;

  • (b) required or authorized by law;

  • (c) required to comply with a subpoena or warrant issued or an order made by a court, person or body with jurisdiction to compel the production of information, or to comply with rules of court relating to the production of records;

  • (d) required by the College in the exercise of its powers under the Act;

  • (e) made to a person who is assisting the licensee in the provision of immigration or citizenship consulting services to the client;

  • (f) necessary to collect an outstanding account; or

  • (g) required in the context of judicial or administrative proceedings to defend the licensee or a person who is assisting the licensee in the provision of immigration or citizenship consulting services against allegations that the licensee or the person has

    • (i) committed an offence involving a client’s affairs,

    • (ii) committed a violation involving a client’s affairs in respect of which administrative penalties and consequences may be imposed,

    • (iii) engaged their civil liability for an act or omission in relation to a client’s affairs, or

    • (iv) engaged in conduct that is subject to investigation by the College or a law society of a province or the Chambre des notaires du Québec.

• Marginal note:Scope of disclosure

  (3) If a licensee discloses confidential information under subsection (2), the licensee must not disclose more information than necessary to respond to the specific basis for the disclosure.

Marginal note:Complaints

29 A licensee must promptly respond to any complaints made to the licensee by a client in respect of the immigration or citizenship consulting services provided or in respect of any person assisting the licensee in the provision of those services.

Marginal note:Errors or omissions

• 30 (1) If a licensee is responsible for an error or omission, in respect of a client’s case, that results or may result in prejudice to the client and that cannot be readily corrected, the licensee must

  • (a) promptly and fully inform the client, the licensee’s professional liability insurer and the Registrar of the error or omission;

  • (b) promptly recommend that the client obtain legal advice concerning any rights that the client may have arising from the error or omission;

  • (c) promptly provide confirmation to the Registrar that the licensee’s professional liability insurer has been informed of the error or omission; and

  • (d) determine if it is appropriate to continue providing immigration or citizenship consulting services to the client.

• Marginal note:Interpretation — liability insurance

  (2) If a licensee is covered by an employer’s liability insurance in respect of the error or omission, the reference in paragraph (1)(a) and (c) to the licensee’s professional liability insurer is to be read as a reference to the employer’s liability insurer.

Marginal note:Fees

• 31 (1) All fees charged to a client by a licensee for immigration or citizenship consulting services must be fair and reasonable in the circumstances.

• Marginal note:Disbursements

  (2) Any disbursements charged to a client by a licensee for immigration or citizenship consulting services must not exceed the actual amount of the disbursement.

• Marginal note:Additional fees or disbursements

  (3) If any fees or disbursements will exceed the estimates or fixed amounts agreed to in the service agreement, or if any new disbursements arise, a licensee must

  • (a) inform the client of the additional fees or disbursements; and

  • (b) obtain the client’s agreement in writing.

• Marginal note:Unnecessary increases — fees or disbursements

  (4) A licensee must not undertake work that unnecessarily increases fees or disbursements.

Marginal note:Advance payments

32 A licensee who receives an advance payment from a client for immigration or citizenship consulting services must

• (a) hold the funds in trust in a client account, opened by the licensee, at a financial institution that is approved by the College;

• (b) on receipt of an advance payment, provide the client with a receipt that clearly indicates the amount of the advance payment and deposit the funds into the client account;

• (c) refrain from depositing any funds not belonging to a client into the client account;

• (d) maintain separate records of deposits and withdrawals for each client;

• (e) use the funds held in the client account only for the purpose for which they were paid to the licensee;

• (f) before withdrawing funds from the client account, invoice the client in accordance with subsection 33(1); and

• (g) not later than 30 days after the day on which the client is invoiced under paragraph (f), withdraw the invoiced amount from the client account.

Marginal note:Invoice

• 33 (1) A licensee may invoice a client only once they have provided immigration or citizenship consulting services to the client or have made disbursements on the client’s behalf.

• Marginal note:Description of services and disbursements

  (2) Every invoice issued by the licensee must contain a full description of the services and disbursements to which the invoice relates.

• Marginal note:Receipt

  (3) When a payment is received from a client, the licensee must provide the client with a receipt that clearly indicates the invoice to which the payment relates.

Marginal note:Termination of service agreement

34 Subject to section 35, a licensee may terminate a service agreement before its completion only if reasonable notice is provided to the client and the termination

• (a) is done for good reason, such as the client having

  • (i) deceived the licensee,

  • (ii) failed to give adequate instructions to the licensee,

  • (iii) failed to follow the licensee’s advice on a significant point, or

  • (iv) failed to pay the licensee’s fees or disbursements as agreed; and

• (b) will not result in serious prejudice to the client.

Marginal note:Mandatory termination of service agreement

• 35 (1) A licensee must terminate a service agreement before its completion if

  • (a) the client no longer wishes to receive the services from the licensee;

  • (b) the client, despite advice provided in accordance with subsection (2), asks the licensee to act in a manner that is dishonest, fraudulent or illegal or that would not meet the standards of professional conduct and competence that are established by this Code or would contravene a provision of a regulation or a by-law made under the Act;

  • (c) the continued provision of the services would place the licensee in a conflict of interest, unless the licensee obtains the client’s consent in accordance with section 15; or

  • (d) the licensee lacks the competence to continue serving the client and fulfilling their professional obligations and does not obtain assistance from another individual in accordance with paragraph 20(1)(b).

• Marginal note:Dishonest or illegal conduct

  (2) If a client asks the licensee to act in a manner that is dishonest, fraudulent or illegal or that would not meet the standards of professional conduct and competence that are established by this Code or would contravene a provision of a regulation or a by-law made under the Act, the licensee must advise the client of that fact and that the conduct should not be pursued.

• Marginal note:Referral to other licensee

  (3) If a service agreement is terminated in accordance with paragraph (1)(c) or (d), the licensee must, if possible, refer the client to another individual who is authorized to provide representation or advice under section 91 of the Immigration and Refugee Protection Act or section 21.1 of the Citizenship Act and who is competent to provide the immigration or citizenship consulting services.

Marginal note:Actions required — completion or termination

• 36 (1) When a service agreement is completed or terminated before its completion a licensee must, not later than 30 days after the day on which the service agreement is completed or terminated,

  • (a) if the licensee is in possession of any of the client’s documents or anything else that belongs to the client, return them to the client;

  • (b) provide an accounting of all funds received from the client;

  • (c) issue a final invoice to the client for any amounts owed by the client for services rendered and disbursements made; and

  • (d) refund to the client any funds held in trust on the client’s behalf that are in excess of the invoiced amount.

• Marginal note:Actions required — termination

  (2) If the service agreement is terminated before its completion, the licensee must also

  • (a) provide the client with all information in the licensee’s possession that may be required in connection with the client’s file;

  • (b) cooperate with a successor representative, if any, to minimize expense and avoid prejudice to the client; and

  • (c) if the licensee is listed as the client’s representative with any department or agency of the government of Canada or of a province, provide notice that they are no longer representing the client to that department or agency

    • (i) in accordance with the department or agency’s procedures, or

    • (ii) if no procedures exist, in writing within 10 days after the day on which the service agreement is terminated.

• Marginal note:Transfer of file

  (3) If a client requests that their file be transferred to another representative, the licensee must, even if there are payments outstanding, deliver all documents relating to the client’s file to that representative not later than 10 business days after the day on which the transfer request is made.

• Marginal note:Delay

  (4) If it is, for reasons beyond the licensee’s control, not feasible to deliver the documents within the time frame referred to in subsection (3), the licensee must advise the client and the other representative of the delay and deliver the documents not later than 30 days after the day on which the transfer request is made.